Form N-CEN Filer Information | UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-CEN ANNUAL REPORT FOR REGISTERED INVESTMENT COMPANIES | OMB APPROVAL |
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N-CEN: Filer Information
Filer CIK | 0000097098 |
Filer CCC | ******** |
Filer Investment Company Type | Form N-1A Filer (Mutual Fund) |
Is this a LIVE or TEST Filing? | ![]() ![]() |
Is this an electronic copy of an official filing submitted in paper format? | ![]() |
Would you like a Return Copy? | ![]() |
Submission Contact Information | |
Name | |
Phone | |
E-Mail Address |
Notification Information |
Notify via Filing Website only? | ![]() |
N-CEN:Series/Class (Contract) Information
All? | ![]() |
N-CEN:Part A: General Information
Item A.1. Reporting period covered.
a. Report for period ending: | 2019-10-31 |
b. Does this report cover a period of less than 12 months? | ![]() ![]() |
N-CEN:Part B: Information About the Registrant
Item B.1. Background information.
a. Full name of Registrant | BlackRock Liquidity Funds |
b. Investment Company Act file number ( e.g., 811-) | 811-02354 |
c. CIK | 0000097098 |
d. LEI | 5493007YVNX55LTRQ706 |
Item B.2. Address and telephone number of Registrant.
a. Street 1 | 100 Bellevue Parkway |
Street 2 | |
b. City | Wilmington |
c. State, if applicable | DELAWARE |
d. Foreign country, if applicable | UNITED STATES OF AMERICA |
e. Zip code and zip code extension, or foreign postal code | 19809 |
f. Telephone number (including country code if foreign) | 800-441-7762 |
g. Public Website, if any | www.blackrock.com |
Item B.3. Location of books and records.
Instruction. Provide the requested information for each person maintaining physical possession of each account, book, or other document required to be maintained by section 31(a) of the Act (15 U.S.C. 80a-30(a)) and the rules under that section. |
Location books Record: 1 | |
a. Name of person (e.g., a custodian of records) | BlackRock Advisors, LLC |
b. Street 1 | 100 Bellevue Parkway |
Street 2 | |
c. City | Wilmington |
d. State, if applicable | DELAWARE |
e. Foreign country, if applicable | UNITED STATES OF AMERICA |
f. Zip code and zip code extension, or foreign postal code | 19809 |
g. Telephone number (including country code if foreign) | 302-797-2000 |
h. Briefly describe the books and records kept at this location: | Records related to its functions as advisor and administrator |
Location books Record: 2 | |
a. Name of person (e.g., a custodian of records) | BlackRock Investments, LLC |
b. Street 1 | 40 East 52nd Street |
Street 2 | |
c. City | New York |
d. State, if applicable | NEW YORK |
e. Foreign country, if applicable | UNITED STATES OF AMERICA |
f. Zip code and zip code extension, or foreign postal code | 10022 |
g. Telephone number (including country code if foreign) | 609-282-3046 |
h. Briefly describe the books and records kept at this location: | Records related to its functions as distributor |
Location books Record: 3 | |
a. Name of person (e.g., a custodian of records) | The Bank of New York Mellon |
b. Street 1 | 240 Greenwich Street |
Street 2 | |
c. City | New York |
d. State, if applicable | NEW YORK |
e. Foreign country, if applicable | UNITED STATES OF AMERICA |
f. Zip code and zip code extension, or foreign postal code | 10286 |
g. Telephone number (including country code if foreign) | 212-495-1784 |
h. Briefly describe the books and records kept at this location: | Records related to its functions as custodian |
Location books Record: 4 | |
a. Name of person (e.g., a custodian of records) | BNY Mellon Investment Servicing (US) Inc. |
b. Street 1 | 301 Bellevue Parkway |
Street 2 | |
c. City | Wilmington |
d. State, if applicable | DELAWARE |
e. Foreign country, if applicable | UNITED STATES OF AMERICA |
f. Zip code and zip code extension, or foreign postal code | 19809 |
g. Telephone number (including country code if foreign) | 302-791-1700 |
h. Briefly describe the books and records kept at this location: | Records related to its functions as transfer agent |
Location books Record: 5 | |
a. Name of person (e.g., a custodian of records) | JPMorgan Chase Bank, N.A. |
b. Street 1 | 383 Madison Avenue |
Street 2 | |
c. City | New York |
d. State, if applicable | NEW YORK |
e. Foreign country, if applicable | UNITED STATES OF AMERICA |
f. Zip code and zip code extension, or foreign postal code | 10179 |
g. Telephone number (including country code if foreign) | 212-648-0466 |
h. Briefly describe the books and records kept at this location: | Records related to its functions as custodian, sub-administrator, and accounting agent. |
Item B.4. Initial of final filings.
Instruction. Respond "yes" to Item B.4.b only if the Registrant has filed an application to deregister or will file an application to deregister before its next required filing on this form. |
a. Is this the first filing on this form by the Registrant? | ![]() ![]() |
b. Is this the last filing on this form by the Registrant? | ![]() ![]() |
Item B.5. Family of investment companies.
Instruction. "Family of investment companies" means, except for insurance company separate accounts, any two or more registered investment companies that (i) share the same investment adviser or principal underwriter; and (ii) hold themselves out to investors as related companies for purposes of investment and investor services.In responding to this item, all Registrants in the family of investment companies should report the name of the family of investment companies identically. |
Insurance company separate accounts that may not hold themselves out to investors as related companies (products) for purposes of investment and investor services should consider themselves part of the same family if the operational or accounting or control systems under which these entities function are substantially similar. |
a. Is the Registrant part of a family of investment companies? | ![]() ![]() |
i. Full name of family of investment companies | BlackRock-advised Funds |
Item B.6. Organization.
Instruction. For Item B.6.a.i., the Registrant should include all Series that have been established by the Registrant and have shares outstanding (other than shares issued in connection with an initial investment to satisfy section 14(a) of the Act). |
Indicate the classification of the Registrant by checking the applicable item below. |
i. Total number of Series of the Registrant | 10 |
Item B.7. Securities Act registration.
Is the Registrant the issuer of a class of securities registered under the Securities Act of 1933 ("Securities Act")? | ![]() ![]() |
Item B.8. Directors.
Provide the information requested below about each person serving as director of the Registrant (management investment companies only): |
Director Record: 1 | |
a. Full Name | Kenneth L. Urish |
b. CRD number, if any | 005352005 |
c. Is the person an "interested person" of the Registrant as that term is defined in section 2(a)(19) of the Act (15 U.S.C. 80a-2(a)(19))? | ![]() ![]() |
d. Investment Company Act file number of any other registered investment company for which the person also serves as a director (e.g., 811-) | |
File Number Record: 1 | |
File Number Record: | 811-02405 |
File Number Record: 2 | |
File Number Record: | 811-02809 |
File Number Record: 3 | |
File Number Record: | 811-09735 |
File Number Record: 4 | |
File Number Record: | 811-22061 |
File Number Record: 5 | |
File Number Record: | 811-05723 |
File Number Record: 6 | |
File Number Record: | 811-04282 |
File Number Record: 7 | |
File Number Record: | 811-06349 |
File Number Record: 8 | |
File Number Record: | 811-10095 |
File Number Record: 9 | |
File Number Record: | 811-21759 |
File Number Record: 10 | |
File Number Record: | 811-07899 |
File Number Record: 11 | |
File Number Record: | 811-02661 |
File Number Record: 12 | |
File Number Record: | 811-03189 |
File Number Record: 13 | |
File Number Record: | 811-05742 |
File Number Record: 14 | |
File Number Record: | 811-04612 |
File Number Record: 15 | |
File Number Record: | 811-07332 |
File Number Record: 16 | |
File Number Record: | 811-08797 |
File Number Record: 17 | |
File Number Record: | 811-08162 |
File Number Record: 18 | |
File Number Record: | 811-02556 |
File Number Record: 19 | |
File Number Record: | 811-03091 |
File Number Record: 20 | |
File Number Record: | 811-10631 |
File Number Record: 21 | |
File Number Record: | 811-07171 |
File Number Record: 22 | |
File Number Record: | 811-21763 |
File Number Record: 23 | |
File Number Record: | 811-23402 |
File Number Record: 24 | |
File Number Record: | 811-05149 |
File Number Record: 25 | |
File Number Record: | 811-06211 |
File Number Record: 26 | |
File Number Record: | 811-03310 |
File Number Record: 27 | |
File Number Record: | 811-05576 |
File Number Record: 28 | |
File Number Record: | 811-03290 |
File Number Record: 29 | |
File Number Record: | 811-07177 |
File Number Record: 30 | |
File Number Record: | 811-05178 |
File Number Record: 31 | |
File Number Record: | 811-06669 |
File Number Record: 32 | |
File Number Record: | 811-09651 |
File Number Record: 33 | |
File Number Record: | 811-09637 |
File Number Record: 34 | |
File Number Record: | 811-09739 |
File Number Record: 35 | |
File Number Record: | 811-02739 |
File Number Record: 36 | |
File Number Record: | 811-07885 |
Director Record: 2 | |
a. Full Name | John M. Perlowski |
b. CRD number, if any | N/A |
c. Is the person an "interested person" of the Registrant as that term is defined in section 2(a)(19) of the Act (15 U.S.C. 80a-2(a)(19))? | ![]() ![]() |
d. Investment Company Act file number of any other registered investment company for which the person also serves as a director (e.g., 811-) | |
File Number Record: 1 | |
File Number Record: | 811-06570 |
File Number Record: 2 | |
File Number Record: | 811-21349 |
File Number Record: 3 | |
File Number Record: | 811-22032 |
File Number Record: 4 | |
File Number Record: | 811-08621 |
File Number Record: 5 | |
File Number Record: | 811-21835 |
File Number Record: 6 | |
File Number Record: | 811-23343 |
File Number Record: 7 | |
File Number Record: | 811-09739 |
File Number Record: 8 | |
File Number Record: | 811-21184 |
File Number Record: 9 | |
File Number Record: | 811-23428 |
File Number Record: 10 | |
File Number Record: | 811-21656 |
File Number Record: 11 | |
File Number Record: | 811-21053 |
File Number Record: 12 | |
File Number Record: | 811-06349 |
File Number Record: 13 | |
File Number Record: | 811-07177 |
File Number Record: 14 | |
File Number Record: | 811-07478 |
File Number Record: 15 | |
File Number Record: | 811-05542 |
File Number Record: 16 | |
File Number Record: | 811-21051 |
File Number Record: 17 | |
File Number Record: | 811-06502 |
File Number Record: 18 | |
File Number Record: | 811-08081 |
File Number Record: 19 | |
File Number Record: | 811-07136 |
File Number Record: 20 | |
File Number Record: | 811-10337 |
File Number Record: 21 | |
File Number Record: | 811-22774 |
File Number Record: 22 | |
File Number Record: | 811-21759 |
File Number Record: 23 | |
File Number Record: | 811-23345 |
File Number Record: 24 | |
File Number Record: | 811-23218 |
File Number Record: 25 | |
File Number Record: | 811-10333 |
File Number Record: 26 | |
File Number Record: | 811-06669 |
File Number Record: 27 | |
File Number Record: | 811-09651 |
File Number Record: 28 | |
File Number Record: | 811-22991 |
File Number Record: 29 | |
File Number Record: | 811-07642 |
File Number Record: 30 | |
File Number Record: | 811-21179 |
File Number Record: 31 | |
File Number Record: | 811-09401 |
File Number Record: 32 | |
File Number Record: | 811-21457 |
File Number Record: 33 | |
File Number Record: | 811-08797 |
File Number Record: 34 | |
File Number Record: | 811-21126 |
File Number Record: 35 | |
File Number Record: | 811-06692 |
File Number Record: 36 | |
File Number Record: | 811-05739 |
File Number Record: 37 | |
File Number Record: | 811-21124 |
File Number Record: 38 | |
File Number Record: | 811-23340 |
File Number Record: 39 | |
File Number Record: | 811-23344 |
File Number Record: 40 | |
File Number Record: | 811-05576 |
File Number Record: 41 | |
File Number Record: | 811-10095 |
File Number Record: 42 | |
File Number Record: | 811-02857 |
File Number Record: 43 | |
File Number Record: | 811-23285 |
File Number Record: 44 | |
File Number Record: | 811-03310 |
File Number Record: 45 | |
File Number Record: | 811-06499 |
File Number Record: 46 | |
File Number Record: | 811-21729 |
File Number Record: 47 | |
File Number Record: | 811-08573 |
File Number Record: 48 | |
File Number Record: | 811-04612 |
File Number Record: 49 | |
File Number Record: | 811-21413 |
File Number Record: 50 | |
File Number Record: | 811-23402 |
File Number Record: 51 | |
File Number Record: | 811-08215 |
File Number Record: 52 | |
File Number Record: | 811-07885 |
File Number Record: 53 | |
File Number Record: | 811-08349 |
File Number Record: 54 | |
File Number Record: | 811-03189 |
File Number Record: 55 | |
File Number Record: | 811-02739 |
File Number Record: 56 | |
File Number Record: | 811-23339 |
File Number Record: 57 | |
File Number Record: | 811-02809 |
File Number Record: 58 | |
File Number Record: | 811-10331 |
File Number Record: 59 | |
File Number Record: | 811-23341 |
File Number Record: 60 | |
File Number Record: | 811-22426 |
File Number Record: 61 | |
File Number Record: | 811-06500 |
File Number Record: 62 | |
File Number Record: | 811-04264 |
File Number Record: 63 | |
File Number Record: | 811-21434 |
File Number Record: 64 | |
File Number Record: | 811-08162 |
File Number Record: 65 | |
File Number Record: | 811-07171 |
File Number Record: 66 | |
File Number Record: | 811-08603 |
File Number Record: 67 | |
File Number Record: | 811-21348 |
File Number Record: 68 | |
File Number Record: | 811-07660 |
File Number Record: 69 | |
File Number Record: | 811-06660 |
File Number Record: 70 | |
File Number Record: | 811-06540 |
File Number Record: 71 | |
File Number Record: | 811-21036 |
File Number Record: 72 | |
File Number Record: | 811-02556 |
File Number Record: 73 | |
File Number Record: | 811-03290 |
File Number Record: 74 | |
File Number Record: | 811-21318 |
File Number Record: 75 | |
File Number Record: | 811-21972 |
File Number Record: 76 | |
File Number Record: | 811-02405 |
File Number Record: 77 | |
File Number Record: | 811-21763 |
File Number Record: 78 | |
File Number Record: | 811-02661 |
File Number Record: 79 | |
File Number Record: | 811-07899 |
File Number Record: 80 | |
File Number Record: | 811-03091 |
File Number Record: 81 | |
File Number Record: | 811-06414 |
File Number Record: 82 | |
File Number Record: | 811-07354 |
File Number Record: 83 | |
File Number Record: | 811-05723 |
File Number Record: 84 | |
File Number Record: | 811-05149 |
File Number Record: 85 | |
File Number Record: | 811-21178 |
File Number Record: 86 | |
File Number Record: | 811-07156 |
File Number Record: 87 | |
File Number Record: | 811-05603 |
File Number Record: 88 | |
File Number Record: | 811-22603 |
File Number Record: 89 | |
File Number Record: | 811-06728 |
File Number Record: 90 | |
File Number Record: | 811-21784 |
File Number Record: 91 | |
File Number Record: | 811-23346 |
File Number Record: 92 | |
File Number Record: | 811-22061 |
File Number Record: 93 | |
File Number Record: | 811-04802 |
File Number Record: 94 | |
File Number Record: | 811-09735 |
File Number Record: 95 | |
File Number Record: | 811-05178 |
File Number Record: 96 | |
File Number Record: | 811-02688 |
File Number Record: 97 | |
File Number Record: | 811-06211 |
File Number Record: 98 | |
File Number Record: | 811-21566 |
File Number Record: 99 | |
File Number Record: | 811-07083 |
File Number Record: 100 | |
File Number Record: | 811-23357 |
File Number Record: 101 | |
File Number Record: | 811-07332 |
File Number Record: 102 | |
File Number Record: | 811-21346 |
File Number Record: 103 | |
File Number Record: | 811-05742 |
File Number Record: 104 | |
File Number Record: | 811-04282 |
File Number Record: 105 | |
File Number Record: | 811-22501 |
File Number Record: 106 | |
File Number Record: | 811-23380 |
File Number Record: 107 | |
File Number Record: | 811-10543 |
File Number Record: 108 | |
File Number Record: | 811-21181 |
File Number Record: 109 | |
File Number Record: | 811-09637 |
File Number Record: 110 | |
File Number Record: | 811-21506 |
File Number Record: 111 | |
File Number Record: | 811-08707 |
File Number Record: 112 | |
File Number Record: | 811-21037 |
File Number Record: 113 | |
File Number Record: | 811-21793 |
File Number Record: 114 | |
File Number Record: | 811-21702 |
File Number Record: 115 | |
File Number Record: | 811-21180 |
File Number Record: 116 | |
File Number Record: | 811-09191 |
File Number Record: 117 | |
File Number Record: | 811-22606 |
File Number Record: 118 | |
File Number Record: | 811-05611 |
File Number Record: 119 | |
File Number Record: | 811-10339 |
File Number Record: 120 | |
File Number Record: | 811-07080 |
File Number Record: 121 | |
File Number Record: | 811-04375 |
File Number Record: 122 | |
File Number Record: | 811-08217 |
File Number Record: 123 | |
File Number Record: | 811-10631 |
Director Record: 3 | |
a. Full Name | Claire A. Walton |
b. CRD number, if any | N/A |
c. Is the person an "interested person" of the Registrant as that term is defined in section 2(a)(19) of the Act (15 U.S.C. 80a-2(a)(19))? | ![]() ![]() |
d. Investment Company Act file number of any other registered investment company for which the person also serves as a director (e.g., 811-) | |
File Number Record: 1 | |
File Number Record: | 811-02739 |
File Number Record: 2 | |
File Number Record: | 811-03310 |
File Number Record: 3 | |
File Number Record: | 811-07899 |
File Number Record: 4 | |
File Number Record: | 811-07171 |
File Number Record: 5 | |
File Number Record: | 811-08797 |
File Number Record: 6 | |
File Number Record: | 811-03091 |
File Number Record: 7 | |
File Number Record: | 811-03290 |
File Number Record: 8 | |
File Number Record: | 811-05149 |
File Number Record: 9 | |
File Number Record: | 811-05742 |
File Number Record: 10 | |
File Number Record: | 811-02556 |
File Number Record: 11 | |
File Number Record: | 811-21759 |
File Number Record: 12 | |
File Number Record: | 811-10095 |
File Number Record: 13 | |
File Number Record: | 811-02809 |
File Number Record: 14 | |
File Number Record: | 811-09739 |
File Number Record: 15 | |
File Number Record: | 811-09651 |
File Number Record: 16 | |
File Number Record: | 811-02405 |
File Number Record: 17 | |
File Number Record: | 811-07332 |
File Number Record: 18 | |
File Number Record: | 811-04282 |
File Number Record: 19 | |
File Number Record: | 811-09735 |
File Number Record: 20 | |
File Number Record: | 811-07885 |
File Number Record: 21 | |
File Number Record: | 811-06211 |
File Number Record: 22 | |
File Number Record: | 811-02661 |
File Number Record: 23 | |
File Number Record: | 811-04612 |
File Number Record: 24 | |
File Number Record: | 811-03189 |
File Number Record: 25 | |
File Number Record: | 811-23402 |
File Number Record: 26 | |
File Number Record: | 811-22061 |
File Number Record: 27 | |
File Number Record: | 811-10631 |
File Number Record: 28 | |
File Number Record: | 811-21763 |
File Number Record: 29 | |
File Number Record: | 811-05178 |
File Number Record: 30 | |
File Number Record: | 811-06669 |
File Number Record: 31 | |
File Number Record: | 811-09637 |
File Number Record: 32 | |
File Number Record: | 811-05576 |
File Number Record: 33 | |
File Number Record: | 811-08162 |
File Number Record: 34 | |
File Number Record: | 811-06349 |
File Number Record: 35 | |
File Number Record: | 811-05723 |
File Number Record: 36 | |
File Number Record: | 811-07177 |
Director Record: 4 | |
a. Full Name | Neil A. Cotty |
b. CRD number, if any | N/A |
c. Is the person an "interested person" of the Registrant as that term is defined in section 2(a)(19) of the Act (15 U.S.C. 80a-2(a)(19))? | ![]() ![]() |
d. Investment Company Act file number of any other registered investment company for which the person also serves as a director (e.g., 811-) | |
File Number Record: 1 | |
File Number Record: | 811-09651 |
File Number Record: 2 | |
File Number Record: | 811-21763 |
File Number Record: 3 | |
File Number Record: | 811-07899 |
File Number Record: 4 | |
File Number Record: | 811-05742 |
File Number Record: 5 | |
File Number Record: | 811-08162 |
File Number Record: 6 | |
File Number Record: | 811-06349 |
File Number Record: 7 | |
File Number Record: | 811-05576 |
File Number Record: 8 | |
File Number Record: | 811-04282 |
File Number Record: 9 | |
File Number Record: | 811-07171 |
File Number Record: 10 | |
File Number Record: | 811-05723 |
File Number Record: 11 | |
File Number Record: | 811-05149 |
File Number Record: 12 | |
File Number Record: | 811-07885 |
File Number Record: 13 | |
File Number Record: | 811-05178 |
File Number Record: 14 | |
File Number Record: | 811-21759 |
File Number Record: 15 | |
File Number Record: | 811-03189 |
File Number Record: 16 | |
File Number Record: | 811-08797 |
File Number Record: 17 | |
File Number Record: | 811-03310 |
File Number Record: 18 | |
File Number Record: | 811-10631 |
File Number Record: 19 | |
File Number Record: | 811-09637 |
File Number Record: 20 | |
File Number Record: | 811-02405 |
File Number Record: 21 | |
File Number Record: | 811-02739 |
File Number Record: 22 | |
File Number Record: | 811-03091 |
File Number Record: 23 | |
File Number Record: | 811-23402 |
File Number Record: 24 | |
File Number Record: | 811-02809 |
File Number Record: 25 | |
File Number Record: | 811-06211 |
File Number Record: 26 | |
File Number Record: | 811-02661 |
File Number Record: 27 | |
File Number Record: | 811-09735 |
File Number Record: 28 | |
File Number Record: | 811-22061 |
File Number Record: 29 | |
File Number Record: | 811-09739 |
File Number Record: 30 | |
File Number Record: | 811-03290 |
File Number Record: 31 | |
File Number Record: | 811-07332 |
File Number Record: 32 | |
File Number Record: | 811-07177 |
File Number Record: 33 | |
File Number Record: | 811-02556 |
File Number Record: 34 | |
File Number Record: | 811-10095 |
File Number Record: 35 | |
File Number Record: | 811-06669 |
File Number Record: 36 | |
File Number Record: | 811-04612 |
Director Record: 5 | |
a. Full Name | Bruce R. Bond |
b. CRD number, if any | N/A |
c. Is the person an "interested person" of the Registrant as that term is defined in section 2(a)(19) of the Act (15 U.S.C. 80a-2(a)(19))? | ![]() ![]() |
d. Investment Company Act file number of any other registered investment company for which the person also serves as a director (e.g., 811-) | |
File Number Record: 1 | |
File Number Record: | 811-02556 |
File Number Record: 2 | |
File Number Record: | 811-21759 |
File Number Record: 3 | |
File Number Record: | 811-06349 |
File Number Record: 4 | |
File Number Record: | 811-03310 |
File Number Record: 5 | |
File Number Record: | 811-09735 |
File Number Record: 6 | |
File Number Record: | 811-07171 |
File Number Record: 7 | |
File Number Record: | 811-05742 |
File Number Record: 8 | |
File Number Record: | 811-06669 |
File Number Record: 9 | |
File Number Record: | 811-10631 |
File Number Record: 10 | |
File Number Record: | 811-05178 |
File Number Record: 11 | |
File Number Record: | 811-22061 |
File Number Record: 12 | |
File Number Record: | 811-09637 |
File Number Record: 13 | |
File Number Record: | 811-21763 |
File Number Record: 14 | |
File Number Record: | 811-04612 |
File Number Record: 15 | |
File Number Record: | 811-09651 |
File Number Record: 16 | |
File Number Record: | 811-02661 |
File Number Record: 17 | |
File Number Record: | 811-03189 |
File Number Record: 18 | |
File Number Record: | 811-02739 |
File Number Record: 19 | |
File Number Record: | 811-05149 |
File Number Record: 20 | |
File Number Record: | 811-02405 |
File Number Record: 21 | |
File Number Record: | 811-04282 |
File Number Record: 22 | |
File Number Record: | 811-10095 |
File Number Record: 23 | |
File Number Record: | 811-07177 |
File Number Record: 24 | |
File Number Record: | 811-08162 |
File Number Record: 25 | |
File Number Record: | 811-05576 |
File Number Record: 26 | |
File Number Record: | 811-07332 |
File Number Record: 27 | |
File Number Record: | 811-07899 |
File Number Record: 28 | |
File Number Record: | 811-09739 |
File Number Record: 29 | |
File Number Record: | 811-03091 |
File Number Record: 30 | |
File Number Record: | 811-23402 |
File Number Record: 31 | |
File Number Record: | 811-08797 |
File Number Record: 32 | |
File Number Record: | 811-03290 |
File Number Record: 33 | |
File Number Record: | 811-05723 |
File Number Record: 34 | |
File Number Record: | 811-07885 |
File Number Record: 35 | |
File Number Record: | 811-06211 |
File Number Record: 36 | |
File Number Record: | 811-02809 |
Director Record: 6 | |
a. Full Name | Collette Chilton |
b. CRD number, if any | N/A |
c. Is the person an "interested person" of the Registrant as that term is defined in section 2(a)(19) of the Act (15 U.S.C. 80a-2(a)(19))? | ![]() ![]() |
d. Investment Company Act file number of any other registered investment company for which the person also serves as a director (e.g., 811-) | |
File Number Record: 1 | |
File Number Record: | 811-02661 |
File Number Record: 2 | |
File Number Record: | 811-09739 |
File Number Record: 3 | |
File Number Record: | 811-21763 |
File Number Record: 4 | |
File Number Record: | 811-02739 |
File Number Record: 5 | |
File Number Record: | 811-07171 |
File Number Record: 6 | |
File Number Record: | 811-08162 |
File Number Record: 7 | |
File Number Record: | 811-10631 |
File Number Record: 8 | |
File Number Record: | 811-04282 |
File Number Record: 9 | |
File Number Record: | 811-02405 |
File Number Record: 10 | |
File Number Record: | 811-05576 |
File Number Record: 11 | |
File Number Record: | 811-06349 |
File Number Record: 12 | |
File Number Record: | 811-06669 |
File Number Record: 13 | |
File Number Record: | 811-07177 |
File Number Record: 14 | |
File Number Record: | 811-10095 |
File Number Record: 15 | |
File Number Record: | 811-09637 |
File Number Record: 16 | |
File Number Record: | 811-08797 |
File Number Record: 17 | |
File Number Record: | 811-03290 |
File Number Record: 18 | |
File Number Record: | 811-05178 |
File Number Record: 19 | |
File Number Record: | 811-09735 |
File Number Record: 20 | |
File Number Record: | 811-04612 |
File Number Record: 21 | |
File Number Record: | 811-03189 |
File Number Record: 22 | |
File Number Record: | 811-07899 |
File Number Record: 23 | |
File Number Record: | 811-07885 |
File Number Record: 24 | |
File Number Record: | 811-21759 |
File Number Record: 25 | |
File Number Record: | 811-03310 |
File Number Record: 26 | |
File Number Record: | 811-23402 |
File Number Record: 27 | |
File Number Record: | 811-07332 |
File Number Record: 28 | |
File Number Record: | 811-03091 |
File Number Record: 29 | |
File Number Record: | 811-02809 |
File Number Record: 30 | |
File Number Record: | 811-09651 |
File Number Record: 31 | |
File Number Record: | 811-02556 |
File Number Record: 32 | |
File Number Record: | 811-22061 |
File Number Record: 33 | |
File Number Record: | 811-05723 |
File Number Record: 34 | |
File Number Record: | 811-06211 |
File Number Record: 35 | |
File Number Record: | 811-05742 |
File Number Record: 36 | |
File Number Record: | 811-05149 |
Director Record: 7 | |
a. Full Name | Henry R. Keizer |
b. CRD number, if any | N/A |
c. Is the person an "interested person" of the Registrant as that term is defined in section 2(a)(19) of the Act (15 U.S.C. 80a-2(a)(19))? | ![]() ![]() |
d. Investment Company Act file number of any other registered investment company for which the person also serves as a director (e.g., 811-) | |
File Number Record: 1 | |
File Number Record: | 811-07899 |
File Number Record: 2 | |
File Number Record: | 811-07885 |
File Number Record: 3 | |
File Number Record: | 811-08797 |
File Number Record: 4 | |
File Number Record: | 811-02739 |
File Number Record: 5 | |
File Number Record: | 811-10095 |
File Number Record: 6 | |
File Number Record: | 811-08162 |
File Number Record: 7 | |
File Number Record: | 811-22061 |
File Number Record: 8 | |
File Number Record: | 811-23402 |
File Number Record: 9 | |
File Number Record: | 811-03290 |
File Number Record: 10 | |
File Number Record: | 811-07171 |
File Number Record: 11 | |
File Number Record: | 811-05178 |
File Number Record: 12 | |
File Number Record: | 811-02405 |
File Number Record: 13 | |
File Number Record: | 811-03091 |
File Number Record: 14 | |
File Number Record: | 811-06349 |
File Number Record: 15 | |
File Number Record: | 811-09739 |
File Number Record: 16 | |
File Number Record: | 811-07177 |
File Number Record: 17 | |
File Number Record: | 811-02556 |
File Number Record: 18 | |
File Number Record: | 811-05149 |
File Number Record: 19 | |
File Number Record: | 811-02661 |
File Number Record: 20 | |
File Number Record: | 811-21759 |
File Number Record: 21 | |
File Number Record: | 811-09651 |
File Number Record: 22 | |
File Number Record: | 811-06211 |
File Number Record: 23 | |
File Number Record: | 811-07332 |
File Number Record: 24 | |
File Number Record: | 811-04282 |
File Number Record: 25 | |
File Number Record: | 811-09735 |
File Number Record: 26 | |
File Number Record: | 811-21763 |
File Number Record: 27 | |
File Number Record: | 811-10631 |
File Number Record: 28 | |
File Number Record: | 811-03310 |
File Number Record: 29 | |
File Number Record: | 811-09637 |
File Number Record: 30 | |
File Number Record: | 811-05723 |
File Number Record: 31 | |
File Number Record: | 811-05576 |
File Number Record: 32 | |
File Number Record: | 811-04612 |
File Number Record: 33 | |
File Number Record: | 811-05742 |
File Number Record: 34 | |
File Number Record: | 811-03189 |
File Number Record: 35 | |
File Number Record: | 811-02809 |
File Number Record: 36 | |
File Number Record: | 811-06669 |
Director Record: 8 | |
a. Full Name | Mark Stalnecker |
b. CRD number, if any | N/A |
c. Is the person an "interested person" of the Registrant as that term is defined in section 2(a)(19) of the Act (15 U.S.C. 80a-2(a)(19))? | ![]() ![]() |
d. Investment Company Act file number of any other registered investment company for which the person also serves as a director (e.g., 811-) | |
File Number Record: 1 | |
File Number Record: | 811-06211 |
File Number Record: 2 | |
File Number Record: | 811-10631 |
File Number Record: 3 | |
File Number Record: | 811-02661 |
File Number Record: 4 | |
File Number Record: | 811-05576 |
File Number Record: 5 | |
File Number Record: | 811-02809 |
File Number Record: 6 | |
File Number Record: | 811-07332 |
File Number Record: 7 | |
File Number Record: | 811-02739 |
File Number Record: 8 | |
File Number Record: | 811-05149 |
File Number Record: 9 | |
File Number Record: | 811-04612 |
File Number Record: 10 | |
File Number Record: | 811-05742 |
File Number Record: 11 | |
File Number Record: | 811-08162 |
File Number Record: 12 | |
File Number Record: | 811-07885 |
File Number Record: 13 | |
File Number Record: | 811-05178 |
File Number Record: 14 | |
File Number Record: | 811-09651 |
File Number Record: 15 | |
File Number Record: | 811-21763 |
File Number Record: 16 | |
File Number Record: | 811-02556 |
File Number Record: 17 | |
File Number Record: | 811-06669 |
File Number Record: 18 | |
File Number Record: | 811-02405 |
File Number Record: 19 | |
File Number Record: | 811-08797 |
File Number Record: 20 | |
File Number Record: | 811-03310 |
File Number Record: 21 | |
File Number Record: | 811-09739 |
File Number Record: 22 | |
File Number Record: | 811-03290 |
File Number Record: 23 | |
File Number Record: | 811-10095 |
File Number Record: 24 | |
File Number Record: | 811-03189 |
File Number Record: 25 | |
File Number Record: | 811-03091 |
File Number Record: 26 | |
File Number Record: | 811-07899 |
File Number Record: 27 | |
File Number Record: | 811-06349 |
File Number Record: 28 | |
File Number Record: | 811-07177 |
File Number Record: 29 | |
File Number Record: | 811-09735 |
File Number Record: 30 | |
File Number Record: | 811-04282 |
File Number Record: 31 | |
File Number Record: | 811-09637 |
File Number Record: 32 | |
File Number Record: | 811-23402 |
File Number Record: 33 | |
File Number Record: | 811-21759 |
File Number Record: 34 | |
File Number Record: | 811-07171 |
File Number Record: 35 | |
File Number Record: | 811-22061 |
File Number Record: 36 | |
File Number Record: | 811-05723 |
Director Record: 9 | |
a. Full Name | Lena G. Goldberg |
b. CRD number, if any | N/A |
c. Is the person an "interested person" of the Registrant as that term is defined in section 2(a)(19) of the Act (15 U.S.C. 80a-2(a)(19))? | ![]() ![]() |
d. Investment Company Act file number of any other registered investment company for which the person also serves as a director (e.g., 811-) | |
File Number Record: 1 | |
File Number Record: | 811-04612 |
File Number Record: 2 | |
File Number Record: | 811-06349 |
File Number Record: 3 | |
File Number Record: | 811-05576 |
File Number Record: 4 | |
File Number Record: | 811-03189 |
File Number Record: 5 | |
File Number Record: | 811-03310 |
File Number Record: 6 | |
File Number Record: | 811-06669 |
File Number Record: 7 | |
File Number Record: | 811-02739 |
File Number Record: 8 | |
File Number Record: | 811-07899 |
File Number Record: 9 | |
File Number Record: | 811-09735 |
File Number Record: 10 | |
File Number Record: | 811-03290 |
File Number Record: 11 | |
File Number Record: | 811-08797 |
File Number Record: 12 | |
File Number Record: | 811-02556 |
File Number Record: 13 | |
File Number Record: | 811-07885 |
File Number Record: 14 | |
File Number Record: | 811-02405 |
File Number Record: 15 | |
File Number Record: | 811-07177 |
File Number Record: 16 | |
File Number Record: | 811-05178 |
File Number Record: 17 | |
File Number Record: | 811-05723 |
File Number Record: 18 | |
File Number Record: | 811-03091 |
File Number Record: 19 | |
File Number Record: | 811-05742 |
File Number Record: 20 | |
File Number Record: | 811-10095 |
File Number Record: 21 | |
File Number Record: | 811-08162 |
File Number Record: 22 | |
File Number Record: | 811-23402 |
File Number Record: 23 | |
File Number Record: | 811-02661 |
File Number Record: 24 | |
File Number Record: | 811-09739 |
File Number Record: 25 | |
File Number Record: | 811-10631 |
File Number Record: 26 | |
File Number Record: | 811-21763 |
File Number Record: 27 | |
File Number Record: | 811-09651 |
File Number Record: 28 | |
File Number Record: | 811-21759 |
File Number Record: 29 | |
File Number Record: | 811-09637 |
File Number Record: 30 | |
File Number Record: | 811-05149 |
File Number Record: 31 | |
File Number Record: | 811-06211 |
File Number Record: 32 | |
File Number Record: | 811-22061 |
File Number Record: 33 | |
File Number Record: | 811-07171 |
File Number Record: 34 | |
File Number Record: | 811-07332 |
File Number Record: 35 | |
File Number Record: | 811-02809 |
File Number Record: 36 | |
File Number Record: | 811-04282 |
Director Record: 10 | |
a. Full Name | Joseph P. Platt |
b. CRD number, if any | N/A |
c. Is the person an "interested person" of the Registrant as that term is defined in section 2(a)(19) of the Act (15 U.S.C. 80a-2(a)(19))? | ![]() ![]() |
d. Investment Company Act file number of any other registered investment company for which the person also serves as a director (e.g., 811-) | |
File Number Record: 1 | |
File Number Record: | 811-06669 |
File Number Record: 2 | |
File Number Record: | 811-03310 |
File Number Record: 3 | |
File Number Record: | 811-07332 |
File Number Record: 4 | |
File Number Record: | 811-07885 |
File Number Record: 5 | |
File Number Record: | 811-09637 |
File Number Record: 6 | |
File Number Record: | 811-05178 |
File Number Record: 7 | |
File Number Record: | 811-05576 |
File Number Record: 8 | |
File Number Record: | 811-09739 |
File Number Record: 9 | |
File Number Record: | 811-05742 |
File Number Record: 10 | |
File Number Record: | 811-07171 |
File Number Record: 11 | |
File Number Record: | 811-05149 |
File Number Record: 12 | |
File Number Record: | 811-09651 |
File Number Record: 13 | |
File Number Record: | 811-10631 |
File Number Record: 14 | |
File Number Record: | 811-03290 |
File Number Record: 15 | |
File Number Record: | 811-05723 |
File Number Record: 16 | |
File Number Record: | 811-21759 |
File Number Record: 17 | |
File Number Record: | 811-22061 |
File Number Record: 18 | |
File Number Record: | 811-21763 |
File Number Record: 19 | |
File Number Record: | 811-04282 |
File Number Record: 20 | |
File Number Record: | 811-02661 |
File Number Record: 21 | |
File Number Record: | 811-07899 |
File Number Record: 22 | |
File Number Record: | 811-08162 |
File Number Record: 23 | |
File Number Record: | 811-23402 |
File Number Record: 24 | |
File Number Record: | 811-06211 |
File Number Record: 25 | |
File Number Record: | 811-03189 |
File Number Record: 26 | |
File Number Record: | 811-02739 |
File Number Record: 27 | |
File Number Record: | 811-02809 |
File Number Record: 28 | |
File Number Record: | 811-02405 |
File Number Record: 29 | |
File Number Record: | 811-07177 |
File Number Record: 30 | |
File Number Record: | 811-02556 |
File Number Record: 31 | |
File Number Record: | 811-08797 |
File Number Record: 32 | |
File Number Record: | 811-06349 |
File Number Record: 33 | |
File Number Record: | 811-04612 |
File Number Record: 34 | |
File Number Record: | 811-09735 |
File Number Record: 35 | |
File Number Record: | 811-10095 |
File Number Record: 36 | |
File Number Record: | 811-03091 |
Director Record: 11 | |
a. Full Name | Robert Fairbairn |
b. CRD number, if any | 004992372 |
c. Is the person an "interested person" of the Registrant as that term is defined in section 2(a)(19) of the Act (15 U.S.C. 80a-2(a)(19))? | ![]() ![]() |
d. Investment Company Act file number of any other registered investment company for which the person also serves as a director (e.g., 811-) | |
File Number Record: 1 | |
File Number Record: | 811-03290 |
File Number Record: 2 | |
File Number Record: | 811-09401 |
File Number Record: 3 | |
File Number Record: | 811-21793 |
File Number Record: 4 | |
File Number Record: | 811-04802 |
File Number Record: 5 | |
File Number Record: | 811-21566 |
File Number Record: 6 | |
File Number Record: | 811-07899 |
File Number Record: 7 | |
File Number Record: | 811-08573 |
File Number Record: 8 | |
File Number Record: | 811-04282 |
File Number Record: 9 | |
File Number Record: | 811-21434 |
File Number Record: 10 | |
File Number Record: | 811-21053 |
File Number Record: 11 | |
File Number Record: | 811-22606 |
File Number Record: 12 | |
File Number Record: | 811-21037 |
File Number Record: 13 | |
File Number Record: | 811-21763 |
File Number Record: 14 | |
File Number Record: | 811-23285 |
File Number Record: 15 | |
File Number Record: | 811-21457 |
File Number Record: 16 | |
File Number Record: | 811-23343 |
File Number Record: 17 | |
File Number Record: | 811-22774 |
File Number Record: 18 | |
File Number Record: | 811-07332 |
File Number Record: 19 | |
File Number Record: | 811-21348 |
File Number Record: 20 | |
File Number Record: | 811-10333 |
File Number Record: 21 | |
File Number Record: | 811-21124 |
File Number Record: 22 | |
File Number Record: | 811-23218 |
File Number Record: 23 | |
File Number Record: | 811-06500 |
File Number Record: 24 | |
File Number Record: | 811-21656 |
File Number Record: 25 | |
File Number Record: | 811-05576 |
File Number Record: 26 | |
File Number Record: | 811-21179 |
File Number Record: 27 | |
File Number Record: | 811-07136 |
File Number Record: 28 | |
File Number Record: | 811-07177 |
File Number Record: 29 | |
File Number Record: | 811-21972 |
File Number Record: 30 | |
File Number Record: | 811-21506 |
File Number Record: 31 | |
File Number Record: | 811-02405 |
File Number Record: 32 | |
File Number Record: | 811-09191 |
File Number Record: 33 | |
File Number Record: | 811-22426 |
File Number Record: 34 | |
File Number Record: | 811-10331 |
File Number Record: 35 | |
File Number Record: | 811-08217 |
File Number Record: 36 | |
File Number Record: | 811-07642 |
File Number Record: 37 | |
File Number Record: | 811-23339 |
File Number Record: 38 | |
File Number Record: | 811-21036 |
File Number Record: 39 | |
File Number Record: | 811-02661 |
File Number Record: 40 | |
File Number Record: | 811-21184 |
File Number Record: 41 | |
File Number Record: | 811-08081 |
File Number Record: 42 | |
File Number Record: | 811-05742 |
File Number Record: 43 | |
File Number Record: | 811-05611 |
File Number Record: 44 | |
File Number Record: | 811-07171 |
File Number Record: 45 | |
File Number Record: | 811-10337 |
File Number Record: 46 | |
File Number Record: | 811-22501 |
File Number Record: 47 | |
File Number Record: | 811-06540 |
File Number Record: 48 | |
File Number Record: | 811-06660 |
File Number Record: 49 | |
File Number Record: | 811-07083 |
File Number Record: 50 | |
File Number Record: | 811-08797 |
File Number Record: 51 | |
File Number Record: | 811-21178 |
File Number Record: 52 | |
File Number Record: | 811-21180 |
File Number Record: 53 | |
File Number Record: | 811-21759 |
File Number Record: 54 | |
File Number Record: | 811-23340 |
File Number Record: 55 | |
File Number Record: | 811-04264 |
File Number Record: 56 | |
File Number Record: | 811-02739 |
File Number Record: 57 | |
File Number Record: | 811-23380 |
File Number Record: 58 | |
File Number Record: | 811-03310 |
File Number Record: 59 | |
File Number Record: | 811-08621 |
File Number Record: 60 | |
File Number Record: | 811-21729 |
File Number Record: 61 | |
File Number Record: | 811-08215 |
File Number Record: 62 | |
File Number Record: | 811-22603 |
File Number Record: 63 | |
File Number Record: | 811-23345 |
File Number Record: 64 | |
File Number Record: | 811-07478 |
File Number Record: 65 | |
File Number Record: | 811-06349 |
File Number Record: 66 | |
File Number Record: | 811-10095 |
File Number Record: 67 | |
File Number Record: | 811-08349 |
File Number Record: 68 | |
File Number Record: | 811-21346 |
File Number Record: 69 | |
File Number Record: | 811-21702 |
File Number Record: 70 | |
File Number Record: | 811-02809 |
File Number Record: 71 | |
File Number Record: | 811-23428 |
File Number Record: 72 | |
File Number Record: | 811-05542 |
File Number Record: 73 | |
File Number Record: | 811-21181 |
File Number Record: 74 | |
File Number Record: | 811-23357 |
File Number Record: 75 | |
File Number Record: | 811-07156 |
File Number Record: 76 | |
File Number Record: | 811-04612 |
File Number Record: 77 | |
File Number Record: | 811-03189 |
File Number Record: 78 | |
File Number Record: | 811-02688 |
File Number Record: 79 | |
File Number Record: | 811-23344 |
File Number Record: 80 | |
File Number Record: | 811-03091 |
File Number Record: 81 | |
File Number Record: | 811-06570 |
File Number Record: 82 | |
File Number Record: | 811-06211 |
File Number Record: 83 | |
File Number Record: | 811-02556 |
File Number Record: 84 | |
File Number Record: | 811-10543 |
File Number Record: 85 | |
File Number Record: | 811-21413 |
File Number Record: 86 | |
File Number Record: | 811-09637 |
File Number Record: 87 | |
File Number Record: | 811-05723 |
File Number Record: 88 | |
File Number Record: | 811-07660 |
File Number Record: 89 | |
File Number Record: | 811-09735 |
File Number Record: 90 | |
File Number Record: | 811-02857 |
File Number Record: 91 | |
File Number Record: | 811-06669 |
File Number Record: 92 | |
File Number Record: | 811-10339 |
File Number Record: 93 | |
File Number Record: | 811-09651 |
File Number Record: 94 | |
File Number Record: | 811-05149 |
File Number Record: 95 | |
File Number Record: | 811-06414 |
File Number Record: 96 | |
File Number Record: | 811-05739 |
File Number Record: 97 | |
File Number Record: | 811-21835 |
File Number Record: 98 | |
File Number Record: | 811-06728 |
File Number Record: 99 | |
File Number Record: | 811-06502 |
File Number Record: 100 | |
File Number Record: | 811-21784 |
File Number Record: 101 | |
File Number Record: | 811-05178 |
File Number Record: 102 | |
File Number Record: | 811-22061 |
File Number Record: 103 | |
File Number Record: | 811-23346 |
File Number Record: 104 | |
File Number Record: | 811-21126 |
File Number Record: 105 | |
File Number Record: | 811-07080 |
File Number Record: 106 | |
File Number Record: | 811-05603 |
File Number Record: 107 | |
File Number Record: | 811-08162 |
File Number Record: 108 | |
File Number Record: | 811-07885 |
File Number Record: 109 | |
File Number Record: | 811-21051 |
File Number Record: 110 | |
File Number Record: | 811-04375 |
File Number Record: 111 | |
File Number Record: | 811-23341 |
File Number Record: 112 | |
File Number Record: | 811-21349 |
File Number Record: 113 | |
File Number Record: | 811-06692 |
File Number Record: 114 | |
File Number Record: | 811-09739 |
File Number Record: 115 | |
File Number Record: | 811-10631 |
File Number Record: 116 | |
File Number Record: | 811-21318 |
File Number Record: 117 | |
File Number Record: | 811-23402 |
File Number Record: 118 | |
File Number Record: | 811-06499 |
File Number Record: 119 | |
File Number Record: | 811-08707 |
File Number Record: 120 | |
File Number Record: | 811-07354 |
File Number Record: 121 | |
File Number Record: | 811-08603 |
File Number Record: 122 | |
File Number Record: | 811-22032 |
File Number Record: 123 | |
File Number Record: | 811-22991 |
Director Record: 12 | |
a. Full Name | Susan J. Carter |
b. CRD number, if any | N/A |
c. Is the person an "interested person" of the Registrant as that term is defined in section 2(a)(19) of the Act (15 U.S.C. 80a-2(a)(19))? | ![]() ![]() |
d. Investment Company Act file number of any other registered investment company for which the person also serves as a director (e.g., 811-) | |
File Number Record: 1 | |
File Number Record: | 811-02556 |
File Number Record: 2 | |
File Number Record: | 811-10631 |
File Number Record: 3 | |
File Number Record: | 811-06349 |
File Number Record: 4 | |
File Number Record: | 811-23402 |
File Number Record: 5 | |
File Number Record: | 811-04282 |
File Number Record: 6 | |
File Number Record: | 811-03189 |
File Number Record: 7 | |
File Number Record: | 811-05178 |
File Number Record: 8 | |
File Number Record: | 811-02405 |
File Number Record: 9 | |
File Number Record: | 811-07885 |
File Number Record: 10 | |
File Number Record: | 811-06669 |
File Number Record: 11 | |
File Number Record: | 811-06211 |
File Number Record: 12 | |
File Number Record: | 811-21763 |
File Number Record: 13 | |
File Number Record: | 811-09735 |
File Number Record: 14 | |
File Number Record: | 811-02661 |
File Number Record: 15 | |
File Number Record: | 811-02809 |
File Number Record: 16 | |
File Number Record: | 811-21759 |
File Number Record: 17 | |
File Number Record: | 811-07177 |
File Number Record: 18 | |
File Number Record: | 811-03091 |
File Number Record: 19 | |
File Number Record: | 811-09739 |
File Number Record: 20 | |
File Number Record: | 811-09637 |
File Number Record: 21 | |
File Number Record: | 811-05149 |
File Number Record: 22 | |
File Number Record: | 811-05576 |
File Number Record: 23 | |
File Number Record: | 811-03290 |
File Number Record: 24 | |
File Number Record: | 811-04612 |
File Number Record: 25 | |
File Number Record: | 811-02739 |
File Number Record: 26 | |
File Number Record: | 811-07899 |
File Number Record: 27 | |
File Number Record: | 811-22061 |
File Number Record: 28 | |
File Number Record: | 811-07332 |
File Number Record: 29 | |
File Number Record: | 811-03310 |
File Number Record: 30 | |
File Number Record: | 811-10095 |
File Number Record: 31 | |
File Number Record: | 811-07171 |
File Number Record: 32 | |
File Number Record: | 811-05742 |
File Number Record: 33 | |
File Number Record: | 811-08162 |
File Number Record: 34 | |
File Number Record: | 811-09651 |
File Number Record: 35 | |
File Number Record: | 811-08797 |
File Number Record: 36 | |
File Number Record: | 811-05723 |
Director Record: 13 | |
a. Full Name | Cynthia A. Montgomery |
b. CRD number, if any | N/A |
c. Is the person an "interested person" of the Registrant as that term is defined in section 2(a)(19) of the Act (15 U.S.C. 80a-2(a)(19))? | ![]() ![]() |
d. Investment Company Act file number of any other registered investment company for which the person also serves as a director (e.g., 811-) | |
File Number Record: 1 | |
File Number Record: | 811-21759 |
File Number Record: 2 | |
File Number Record: | 811-10631 |
File Number Record: 3 | |
File Number Record: | 811-06211 |
File Number Record: 4 | |
File Number Record: | 811-05576 |
File Number Record: 5 | |
File Number Record: | 811-05742 |
File Number Record: 6 | |
File Number Record: | 811-07177 |
File Number Record: 7 | |
File Number Record: | 811-07171 |
File Number Record: 8 | |
File Number Record: | 811-05149 |
File Number Record: 9 | |
File Number Record: | 811-03290 |
File Number Record: 10 | |
File Number Record: | 811-09637 |
File Number Record: 11 | |
File Number Record: | 811-09735 |
File Number Record: 12 | |
File Number Record: | 811-03091 |
File Number Record: 13 | |
File Number Record: | 811-23402 |
File Number Record: 14 | |
File Number Record: | 811-06349 |
File Number Record: 15 | |
File Number Record: | 811-21763 |
File Number Record: 16 | |
File Number Record: | 811-08797 |
File Number Record: 17 | |
File Number Record: | 811-03310 |
File Number Record: 18 | |
File Number Record: | 811-02739 |
File Number Record: 19 | |
File Number Record: | 811-07332 |
File Number Record: 20 | |
File Number Record: | 811-07885 |
File Number Record: 21 | |
File Number Record: | 811-04282 |
File Number Record: 22 | |
File Number Record: | 811-05178 |
File Number Record: 23 | |
File Number Record: | 811-07899 |
File Number Record: 24 | |
File Number Record: | 811-04612 |
File Number Record: 25 | |
File Number Record: | 811-03189 |
File Number Record: 26 | |
File Number Record: | 811-10095 |
File Number Record: 27 | |
File Number Record: | 811-22061 |
File Number Record: 28 | |
File Number Record: | 811-06669 |
File Number Record: 29 | |
File Number Record: | 811-02661 |
File Number Record: 30 | |
File Number Record: | 811-02405 |
File Number Record: 31 | |
File Number Record: | 811-05723 |
File Number Record: 32 | |
File Number Record: | 811-02556 |
File Number Record: 33 | |
File Number Record: | 811-09739 |
File Number Record: 34 | |
File Number Record: | 811-02809 |
File Number Record: 35 | |
File Number Record: | 811-09651 |
File Number Record: 36 | |
File Number Record: | 811-08162 |
Director Record: 14 | |
a. Full Name | Donald C. Opatrny |
b. CRD number, if any | N/A |
c. Is the person an "interested person" of the Registrant as that term is defined in section 2(a)(19) of the Act (15 U.S.C. 80a-2(a)(19))? | ![]() ![]() |
d. Investment Company Act file number of any other registered investment company for which the person also serves as a director (e.g., 811-) | |
File Number Record: 1 | |
File Number Record: | 811-05149 |
File Number Record: 2 | |
File Number Record: | 811-22061 |
File Number Record: 3 | |
File Number Record: | 811-10095 |
File Number Record: 4 | |
File Number Record: | 811-09651 |
File Number Record: 5 | |
File Number Record: | 811-23402 |
File Number Record: 6 | |
File Number Record: | 811-09637 |
File Number Record: 7 | |
File Number Record: | 811-06669 |
File Number Record: 8 | |
File Number Record: | 811-21763 |
File Number Record: 9 | |
File Number Record: | 811-05742 |
File Number Record: 10 | |
File Number Record: | 811-10631 |
File Number Record: 11 | |
File Number Record: | 811-06211 |
File Number Record: 12 | |
File Number Record: | 811-05576 |
File Number Record: 13 | |
File Number Record: | 811-06349 |
File Number Record: 14 | |
File Number Record: | 811-02405 |
File Number Record: 15 | |
File Number Record: | 811-04282 |
File Number Record: 16 | |
File Number Record: | 811-05178 |
File Number Record: 17 | |
File Number Record: | 811-03091 |
File Number Record: 18 | |
File Number Record: | 811-07885 |
File Number Record: 19 | |
File Number Record: | 811-02556 |
File Number Record: 20 | |
File Number Record: | 811-03290 |
File Number Record: 21 | |
File Number Record: | 811-08162 |
File Number Record: 22 | |
File Number Record: | 811-07171 |
File Number Record: 23 | |
File Number Record: | 811-07177 |
File Number Record: 24 | |
File Number Record: | 811-03310 |
File Number Record: 25 | |
File Number Record: | 811-02809 |
File Number Record: 26 | |
File Number Record: | 811-02739 |
File Number Record: 27 | |
File Number Record: | 811-07332 |
File Number Record: 28 | |
File Number Record: | 811-02661 |
File Number Record: 29 | |
File Number Record: | 811-09739 |
File Number Record: 30 | |
File Number Record: | 811-04612 |
File Number Record: 31 | |
File Number Record: | 811-09735 |
File Number Record: 32 | |
File Number Record: | 811-08797 |
File Number Record: 33 | |
File Number Record: | 811-05723 |
File Number Record: 34 | |
File Number Record: | 811-07899 |
File Number Record: 35 | |
File Number Record: | 811-21759 |
File Number Record: 36 | |
File Number Record: | 811-03189 |
Director Record: 15 | |
a. Full Name | Robert M. Hernandez |
b. CRD number, if any | N/A |
c. Is the person an "interested person" of the Registrant as that term is defined in section 2(a)(19) of the Act (15 U.S.C. 80a-2(a)(19))? | ![]() ![]() |
d. Investment Company Act file number of any other registered investment company for which the person also serves as a director (e.g., 811-) | |
File Number Record: 1 | |
File Number Record: | 811-02405 |
File Number Record: 2 | |
File Number Record: | 811-10095 |
File Number Record: 3 | |
File Number Record: | 811-08162 |
File Number Record: 4 | |
File Number Record: | 811-05742 |
File Number Record: 5 | |
File Number Record: | 811-02556 |
File Number Record: 6 | |
File Number Record: | 811-02739 |
File Number Record: 7 | |
File Number Record: | 811-21763 |
File Number Record: 8 | |
File Number Record: | 811-07332 |
File Number Record: 9 | |
File Number Record: | 811-06669 |
File Number Record: 10 | |
File Number Record: | 811-07171 |
File Number Record: 11 | |
File Number Record: | 811-09739 |
File Number Record: 12 | |
File Number Record: | 811-06349 |
File Number Record: 13 | |
File Number Record: | 811-10631 |
File Number Record: 14 | |
File Number Record: | 811-03310 |
File Number Record: 15 | |
File Number Record: | 811-05723 |
File Number Record: 16 | |
File Number Record: | 811-04282 |
File Number Record: 17 | |
File Number Record: | 811-06211 |
File Number Record: 18 | |
File Number Record: | 811-05149 |
File Number Record: 19 | |
File Number Record: | 811-03189 |
File Number Record: 20 | |
File Number Record: | 811-09637 |
File Number Record: 21 | |
File Number Record: | 811-03091 |
File Number Record: 22 | |
File Number Record: | 811-23402 |
File Number Record: 23 | |
File Number Record: | 811-22061 |
File Number Record: 24 | |
File Number Record: | 811-07177 |
File Number Record: 25 | |
File Number Record: | 811-09735 |
File Number Record: 26 | |
File Number Record: | 811-07899 |
File Number Record: 27 | |
File Number Record: | 811-05178 |
File Number Record: 28 | |
File Number Record: | 811-02809 |
File Number Record: 29 | |
File Number Record: | 811-04612 |
File Number Record: 30 | |
File Number Record: | 811-21759 |
File Number Record: 31 | |
File Number Record: | 811-09651 |
File Number Record: 32 | |
File Number Record: | 811-08797 |
File Number Record: 33 | |
File Number Record: | 811-03290 |
File Number Record: 34 | |
File Number Record: | 811-05576 |
File Number Record: 35 | |
File Number Record: | 811-02661 |
File Number Record: 36 | |
File Number Record: | 811-07885 |
Item B.9. Chief compliance officer.
Provide the information requested below about each person serving as chief compliance officer of the Registrant for purposes of rule 38a-1 (17 CFR 270.38a- 1): |
Chief compliance officer Record: 1 | |
a. Full Name | Charles Park |
b. CRD Number, if any | N/A |
c. Street Address 1 | 55 East 52nd Street |
Street Address 2 | |
d. City | New York |
e. State, if applicable | NEW YORK |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Zip code and zip code extension, or foreign postal code | 10055 |
h. Telephone number (including country code if foreign) | XXXXXX |
i. Has the chief compliance officer changed since the last filing? | ![]() ![]() |
If the chief compliance officer is compensated or employed by any person other than the Registrant, or an affiliated person of the Registrant, for providing chief compliance officer services, provide: |
CCO employer Record: 1 | |
i. Name of the person | N/A |
ii. Person's IRS Employer Identification Number | N/A |
Item B.10. Matters for security holder vote.
Instruction. Registrants registered on Forms N-3, N-4 or N-6, should respond "yes" to this Item only if security holder votes were solicited on contract-level matters. |
Were any matters submitted by the Registrant for its security holders' vote during the reporting period? | ![]() ![]() | |
a. If yes, and to the extent the response relates only to certain series of the Registrant, indicate the series involved: | ||
Security Matter Series info Record: 1 | ||
1. Series name | MuniFund | |
2. Series identification number | S000001479 | |
Security Matter Series info Record: 2 | ||
1. Series name | Federal Trust Fund | |
2. Series identification number | S000001477 | |
Security Matter Series info Record: 3 | ||
1. Series name | T-Fund | |
2. Series identification number | S000001476 | |
Security Matter Series info Record: 4 | ||
1. Series name | TempCash | |
2. Series identification number | S000001474 | |
Security Matter Series info Record: 5 | ||
1. Series name | California Money Fund | |
2. Series identification number | S000001481 | |
Security Matter Series info Record: 6 | ||
1. Series name | New York Money Fund | |
2. Series identification number | S000001473 | |
Security Matter Series info Record: 7 | ||
1. Series name | MuniCash | |
2. Series identification number | S000001480 | |
Security Matter Series info Record: 8 | ||
1. Series name | TempFund | |
2. Series identification number | S000001472 | |
Security Matter Series info Record: 9 | ||
1. Series name | FedFund | |
2. Series identification number | S000001475 | |
Security Matter Series info Record: 10 | ||
1. Series name | Treasury Trust Fund | |
2. Series identification number | S000001478 |
Item B.11. Legal proceeding.
Instruction. For purposes of this Item, the following proceedings should be described: (1) any bankruptcy, receivership or similar proceeding with respect to the Registrant or any of its significant subsidiaries; (2) any proceeding to which any director, officer or other affiliated person of the Registrant is a party adverse to the Registrant or any of its subsidiaries; and (3) any proceeding involving the revocation or suspension of the right of the Registrant to sell securities. |
a. Have there been any material legal proceedings, other than routine litigation incidental to the business, to which the Registrant or any of its subsidiaries was a party or of which any of their property was the subject during the reporting period? | ![]() ![]() |
b. Has any proceeding previously reported been terminated? | ![]() ![]() |
Item B.12. Fidelity bond and insurance (management investment companies only).
a. Were any claims with respect to the Registrant filed under a fidelity bond (including, but not limited to, the fidelity insuring agreement of the bond) during the reporting period? | ![]() ![]() |
Item B.13. Directors and officers/errors and omissions insurance (management investment companies only).
a. Are the Registrant's officers or directors covered in their capacities as officers or directors under any directors and officers/errors and omissions insurance policy owned by the Registrant or anyone else? | ![]() ![]() |
i. If yes, were any claims filed under the policy during the reporting period with respect to the Registrant? | ![]() ![]() |
Item B.14. Provision of financial support.
Instruction. For purposes of this Item, a provision of financial support includes any (1) capital contribution, (2) purchase of a security from a Money Market Fund in reliance on rule 17a-9 under the Act (17 CFR 270.17a-9), (3) purchase of any defaulted or devalued security at fair value reasonably intended to increase or stabilize the value or liquidity of the Registrant's portfolio, (4) execution of letter of credit or letter of indemnity, (5) capital support agreement (whether or not the Registrant ultimately received support), (6) performance guarantee, or (7) other similar action reasonably intended to increase or stabilize the value or liquidity of the Registrant's portfolio. Provision of financial support does not include any (1) routine waiver of fees or reimbursement of Registrant's expenses, (2) routine inter-fund lending, (3) routine inter-fund purchases of Registrant's shares, or (4) action that would qualify as financial support as defined above, that the board of directors has otherwise determined not to be reasonably intended to increase or stabilize the value or liquidity of the Registrant's portfolio. |
Did an affiliated person, promoter, or principal underwriter of the Registrant, or an affiliated person of such a person, provide any form of financial support to the Registrant during the reporting period? | ![]() ![]() |
Item B.15. Exemptive orders.
a. During the reporting period, did the Registrant rely on any orders from the Commission granting an exemption from one or more provisions of the Act, Securities Act or Exchange Act? | ![]() ![]() |
Release number Record: 1 | |
i. If yes, provide below the release number for each order | IC-25100 |
Release number Record: 2 | |
i. If yes, provide below the release number for each order | IC-32252 |
Item B.16. Principal underwriters.
a. Provide the information requested below about each principal underwriter: |
Principal underwriter Record: 1 | |
i. Full name | BlackRock Investments, LLC |
ii. SEC file number (e.g., 8-) | 8-48436 |
iii. CRD number | 000038642 |
iv. LEI, if any | N/A |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Is the principal underwriter an affiliated person of the Registrant, or its investment adviser(s) or depositor? | ![]() ![]() |
b. Have any principal underwriters been hired or terminated during the reporting period? | ![]() ![]() |
Item B.17. Independent public accountant.
Provide the following information about eachthe independent public accountant: |
Public accountant Record: 1 | |
a. Full Name | Deloitte & Touche LLP |
b. PCAOB Number | 34 |
c. LEI, if any | N/A |
d. State, if applicable | MASSACHUSETTS |
e. Foreign country, if applicable | UNITED STATES OF AMERICA |
f. Has the independent public accountant changed since the last filing? | ![]() ![]() |
Item B.18. Report on internal control (management investment companies only).
Instruction. Small business investment companies are not required to respond to this item. |
For the reporting period, did an independent public accountant's report on internal control note any material weaknesses? | ![]() ![]() |
Item B.19. Audit opinion.
For the reporting period, did an independent public accountant issue an opinion other than an unqualified opinion with respect to its audit of the Registrant's financial statements? | ![]() ![]() |
Item B.20. Change in valuation methods.
Instruction. Responses to this item need not include changes to valuation techniques used for individual securities (e.g., changing from market approach to income approach for a private equity security). In responding to Item B.20.c., provide the applicable "asset type" category specified in Item C.4.a. of Form N-PORT. In responding to Item B.20.d., provide a brief description of the type of investments involved. If the change in valuation methods applies only to certain sub-asset types included in the response to Item B.20.c., please provide the sub-asset types in the response to Item B.20.d. The responses to Item B.20.c. and Item B.20.d. should be identical only if the change in valuation methods applies to all assets within that category. |
Have there been material changes in the method of valuation (e.g., change from use of bid price to mid price for fixed income securities or change in trigger threshold for use of fair value factors on international equity securities) of the Registrant's assets during the reporting period? | ![]() ![]() |
Item B.21. Change in accounting principles and practices.
Have there been any changes in accounting principles or practices, or any change in the method of applying any such accounting principles or practices, which will materially affect the financial statements filed or to be filed for the current year with the Commission and which has not been previously reported? | ![]() ![]() |
Item B.22. Net asset value error corrections (open-end management investment companies only).
a. During the reporting period, were any payments made to shareholders or shareholder accounts reprocessed as a result of an error in calculating the Registrant's net asset value (or net asset value per share)? | ![]() ![]() |
Item B.23. Rule 19a-1 notice (management investment companies only).
During the reporting period, did the Registrant pay any dividend or make any distribution in the nature of a dividend payment, required to be accompanied by a written statement pursuant to section 19(a) of the Act (15 U.S.C. 80a-19(a)) and rule 19a-1 thereunder (17 CFR 270.19a-1)? | ![]() ![]() |
N-CEN:Part C: Additional Questions for Management Investment Companies
General Instruction.Management investment companies that offer multiple series must complete Part C as to each series separately, even if some information is the same for two or more series. To begin this section or add an additional series(s), click on the bar labeled "Add a New Series" below. |
Management Investment Record: 1 |
Item C.1. Background information.
a. Full Name of the Fund | Federal Trust Fund |
b. Series identication number, if any | S000001477 |
c. LEI | 549300ZAULWRIGH03856 |
d. Is this the first filing on this form by the Fund? | ![]() ![]() |
Item C.2. Classes of open-end management investment companies.
a. How many Classes of shares of the Fund (if any) are authorized? | 9 |
b. How many new Classes of shares of the Fund were added during the reporting period? | 0 |
c. How many Classes of shares of the Fund were terminated during the reporting period? | 0 |
d. For each Class with shares outstanding, provide the information requested below: | |
Shares Outstanding Record: 1 | |
i. Full name of Class | Premier |
ii. Class identification number, if any | C000003945 |
iii. Ticker symbol, if any | FPXXX |
Shares Outstanding Record: 2 | |
i. Full name of Class | Dollar |
ii. Class identification number, if any | C000003949 |
iii. Ticker symbol, if any | TSDXX |
Shares Outstanding Record: 3 | |
i. Full name of Class | Institutional |
ii. Class identification number, if any | C000003948 |
iii. Ticker symbol, if any | TFFXX |
Shares Outstanding Record: 4 | |
i. Full name of Class | Cash Management |
ii. Class identification number, if any | C000003943 |
iii. Ticker symbol, if any | BFMXX |
Shares Outstanding Record: 5 | |
i. Full name of Class | Cash Reserve |
ii. Class identification number, if any | C000003947 |
iii. Ticker symbol, if any | BFDXX |
Shares Outstanding Record: 6 | |
i. Full name of Class | Administration |
ii. Class identification number, if any | C000003942 |
iii. Ticker symbol, if any | BFTXX |
Item C.3. Type of fund.
Instructions. 1. "Fund of Funds" means a fund that acquires securities issued by any other investment company in excess of the amounts permitted under paragraph (A) of section 12(d)(1) of the Act (15 U.S.C. 80a-12(d)(1)(A)), but, for purposes of this Item, does not include a fund that acquires securities issued by another company solely in reliance on rule 12d1-1 under the Act (CFR 270.12d1-1). 2. "Index Fund" means an investment company, including an Exchange-Traded Fund, that seeks to track the performance of a specified index. 3. "Interval Fund" means a closed-end management investment company that makes periodic repurchases of its shares pursuant to rule 23c-3 under the Act (17 CFR 270.23c-3). 4. "Master-Feeder Fund" means a two-tiered arrangement in which one or more funds (each a feeder fund) holds shares of a single Fund (the master fund) in accordance with section 12(d)(1)(E) of the Act (15 U.S.C. 80a-12(d)(1)(E)) or pursuant to exemptive relief granted by the Commission. 5. "Target Date Fund" means an investment company that has an investment objective or strategy of providing varying degrees of long-term appreciation and capital preservation through a mix of equity and fixed income exposures that changes over time based on an investor's age, target retirement date, or life expectancy. |
Indicate if the Fund is any one of the types listed below. Check all that apply. |
a. Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund i. ![]() ii. ![]() b. ![]() c. ![]() d. ![]() e. ![]() f. ![]() g. ![]() h. ![]() i. ![]() ![]() |
Item C.4. Diversification.
Does the Fund seek to operate as a “non-diversified company” as such term is defined in section 5(b)(2) of the Act (15 U.S.C. 80a- 5(b) (2))? | ![]() ![]() |
Item C.5. Investments in certain foreign corporations.
Instruction. "Controlled foreign corporation" has the meaning provided in section 957 of the Internal Revenue Code [26 U.S.C. 957]. |
a. Does the fund invest in a controlled foreign corporation for the purpose of investing in certain types of instruments such as, but not limited to, commodities? | ![]() ![]() |
Item C.6. Securities lending.
Instruction. For purposes of this Item, other adverse impacts would include, for example, (1) a loss to the Fund if collateral and indemnification were not sufficient to replace the loaned securities or their value, (2) the Fund's ineligibility to vote shares in a proxy, or (3) the Fund's ineligibility to receive a direct distribution from the issuer. |
a. Is the Fund authorized to engage in securities lending transactions? | ![]() ![]() |
b. Did the Fund lend any of its securities during the reporting period? | ![]() ![]() |
c. Provide the information requested below about each securities lending agent, if any, retained by the Fund: |
Securities Lending Record: 1 | |
i. Full name of securities lending agent | BlackRock Investment Management, LLC |
ii. LEI, if any | 5493006MRTEZZ4S4CQ20 |
iii. Is the securities lending agent an affiliated person, or an affiliated person of an affiliated person, of the Fund? | ![]() ![]() |
iv. Does the securities lending agent or any other entity indemnify the fund against borrower default on loans administered by this agent? | ![]() ![]() |
v. If the entity providing the indemnification is not the securities lending agent, provide the following information: |
Idemnity Providers Record: 1 |
1. Name of person providing indemnification | N/A |
2. LEI, if any, of person providing indemnification | N/A |
vi. Did the Fund exercise its indemnification rights during the reporting period? | ![]() ![]() |
d. If a person providing cash collateral management services to the Fund in connection with the Fund's securities lending activities does not also serve as securities lending agent, provide the following information about each cash collateral manager: |
i. Full name of cash collateral manager: | |
ii. LEI, if any: | |
iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund? | ![]() ![]() |
iv. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of the Fund? | ![]() ![]() |
e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply): | ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
If other, describe: | Rebates paid to borrowers |
f. Provide the monthly average of the value of portfolio securities on loan during the reporting period | N/A |
g. Provide the net income from securities lending activities | N/A |
Item C.7. Reliance on certain rules.
Did the Fund rely on any of the following rules under the Act during the reporting period? (check all that apply) | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Item C.8. Expense limitations.
Instruction. Provide information concerning any direct or indirect limitations, waivers or reductions, on the level of expenses incurred by the fund during the reporting period. A limitation, for example, may be applied indirectly (such as when an adviser agrees to accept a reduced fee pursuant to a voluntary fee waiver) or it may apply only for a temporary period such as for a new fund in its start-up phase. |
a. Did the Fund have an expense limitation arrangement in place during the reporting period? | ![]() ![]() |
b. Were any expenses of the Fund reduced or waived pursuant to an expense limitation arrangement during the reporting period? | ![]() ![]() |
c. Are the fees waived subject to recoupment? | ![]() ![]() |
d. Were any expenses previously waived recouped during the period? | ![]() ![]() |
Item C.9. Investment advisers.
a. Provide the following information about each investment adviser (other than a sub-adviser) of the Fund: |
Investment Advisers Record: 1 | |
i. Full name | BlackRock Advisors, LLC |
ii. SEC file number ( e.g., 801- ) | 801-47710 |
iii.CRD number | 000106614 |
iv. LEI, if any | 5493001LN9MRM6A35J74 |
v. State, if applicable | DELAWARE |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Was the investment adviser hired during the reporting period? | ![]() ![]() |
b. If an investment adviser (other than a sub- adviser) to the Fund was terminated during the reporting period, provide the following with respect to each investment adviser: |
i. Full name | |
ii. SEC file number ( e.g., 801- ) | |
iii. CRD number | |
iv. LEI, if any | |
v. State, if applicable | |
vi. Foreign country, if applicable | |
vii. Termination date |
c. For each sub-adviser to the Fund, provide the information requested: |
i. Full name | |
ii. SEC file number ( e.g., 801- ), if applicable | |
iii. CRD number | |
iv. LEI, if any | |
v. State, if applicable | |
vi. Foreign country, if applicable | |
vii. Is the sub-adviser an affiliated person of the Fund's investment adviser(s)? | ![]() ![]() |
viii. Was the sub-adviser hired during the reporting period? | ![]() ![]() |
d. If a sub-adviser was terminated during the reporting period, provide the following with respect to such sub-adviser: |
i. Full name | |
ii. SEC file number ( e.g., 801- ) | |
iii. CRD number | |
iv. LEI, if any | |
v. State, if applicable | |
vi. Foreign country, if applicable | |
vii. Termination date |
Item C.10. Transfer agents.
a. Provide the following information about each person providing transfer agency services to the Fund: |
Transfer Agents Record: 1 | |
i. Full name | BNY Mellon Investment Servicing (US) Inc. |
ii.SEC file number ( e.g., 84- or 85- ) | 84-01761 |
iii. LEI, if any | 549300CFZQLI9QMJ1Z03 |
iv. State, if applicable | DELAWARE |
v. Foreign country, if applicable | UNITED STATES OF AMERICA |
vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vii. Is the transfer agent a sub-transfer agent? | ![]() ![]() |
b. Has a transfer agent been hired or terminated during the reporting period? | ![]() ![]() |
Item C.11. Pricing services.
a. Provide the following information about each person that provided pricing services to the Fund during the reporting period: |
Pricing Services Record: 1 | |
i. Full name | ICE Data Pricing & Reference Data, LLC |
ii. LEI, if any, or provide and describe other identifying number | 5493000NQ9LYLDBCTL34 |
Description of other identifying number | |
iii. State, if applicable | NEW YORK |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
b. Was a pricing service hired or terminated during the reporting period? | ![]() ![]() |
Item C.12. Custodians.
a. Provide the following information about each person that provided custodial services to the Fund during the reporting period: |
Custodians Record: 1 | |
i. Full name | JPMorgan Chase Bank, N.A. |
ii. LEI, if any | 7H6GLXDRUGQFU57RNE97 |
iii. State, if applicable | NEW YORK |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 2 | |
i. Full name | The Bank of New York Mellon |
ii. LEI, if any | HPFHU0OQ28E4N0NFVK49 |
iii. State, if applicable | NEW YORK |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
b. Has a custodian been hired or terminated during the reporting period?* | ![]() ![]() |
Item C.13. Shareholder servicing agents.
a. Provide the following information about each shareholder servicing agent of the Fund: |
Shareholder servicing agents Record: 1 | |
i. Full name | Alerus Securities |
ii. LEI, if any, or provide and describe other identifying number | 8-47152 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 2 | |
i. Full name | Allegiance Capital, L.L.C. |
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 | 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 3 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 4 | |
i. Full name | American Enterprise Investment Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-42582 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 5 | |
i. Full name | ARCA Capital Investments, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-53110 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 6 | |
i. Full name | 1st Global Capital Corp. |
ii. LEI, if any, or provide and describe other identifying number | 8-44870 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 7 | |
i. Full name | Avondale Partners, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-51550 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 8 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 9 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 10 | |
i. Full name | Bristol Financial Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-67140 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 11 | |
i. Full name | AxA 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 12 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 13 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 14 | |
i. Full name | Allen & Company of Florida, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-09877 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 15 | |
i. Full name | Aon Benfield Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-14953 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 16 | |
i. Full name | Caldwell Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-27639 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 17 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 18 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 19 | |
i. Full name | Cambridge Investment Research, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-48740 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 20 | |
i. Full name | Client One 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 21 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 22 | |
i. Full name | Empire Asset Management Company |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 23 | |
i. Full name | Access Financial Group, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-46065 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 24 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 25 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 26 | |
i. Full name | Avisen Securities, 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 27 | |
i. Full name | B.C. Ziegler & Company |
ii. LEI, if any, or provide and describe other identifying number | 8-00094 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 28 | |
i. Full name | BOSC, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-35381 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 29 | |
i. Full name | Ameriprise Financial Services, Inc. |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 30 | |
i. Full name | Fairport Capital, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-32162 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 31 | |
i. Full name | Conover Securities Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-35085 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 32 | |
i. Full name | First Southern, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-69733 |
Description of other identifying number | SEC File Number |
iii. State, if applicable | PUERTO RICO |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 33 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 34 | |
i. Full name | David A. Noyes & Company |
ii. LEI, if any, or provide and describe other identifying number | 8-22752 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 35 | |
i. Full name | CGIS Securities LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-68758 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 36 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 37 | |
i. Full name | Capitol Securities Management, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-30353 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 38 | |
i. Full name | CBIZ Financial Solutions, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-34205 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 39 | |
i. Full name | BC Securities, Inc. (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 | 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 40 | |
i. Full name | Benjamin F. Edwards & Company, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-68023 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 41 | |
i. Full name | Intercontinental Asset Management Group, Ltd. |
ii. LEI, if any, or provide and describe other identifying number | 8-39706 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 42 | |
i. Full name | Landolt Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-43645 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 43 | |
i. Full name | Capital Institutional Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-22273 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 44 | |
i. Full name | Citizens Bank |
ii. LEI, if any, or provide and describe other identifying number | DRMSV1Q0EKMEXLAU1P80 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 45 | |
i. Full name | Cascade Investment Group, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-46943 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 46 | |
i. Full name | Herndon Plant Oakley, LTD |
ii. LEI, if any, or provide and describe other identifying number | 8-50912 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 47 | |
i. Full name | Leigh Baldwin & Co., LLC |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 48 | |
i. Full name | Crestone Securities |
ii. LEI, if any, or provide and describe other identifying number | 8-52463 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 49 | |
i. Full name | CoreCap Investments, Inc. |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 50 | |
i. Full name | M&T Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-35185 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 51 | |
i. Full name | Loring Ward Securities Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-51381 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 52 | |
i. Full name | Federated Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-15644 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 53 | |
i. Full name | CRI Securities, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-39877 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 54 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 55 | |
i. Full name | InvestShares (Legal name: IMA Securities LLC) |
ii. LEI, if any, or provide and describe other identifying number | 8-68365 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 56 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 57 | |
i. Full name | First Allied Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-46167 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 58 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 59 | |
i. Full name | Ameritas Investment Corp. |
ii. LEI, if any, or provide and describe other identifying number | 8-31296 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 60 | |
i. Full name | American Financial Associates, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-44065 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 61 | |
i. Full name | Fieldpoint Private 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 62 | |
i. Full name | Arque Capital, Ltd. |
ii. LEI, if any, or provide and describe other identifying number | 8-65390 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 63 | |
i. Full name | Ascensus Broker Dealer Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-47312 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 64 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 65 | |
i. Full name | Neidiger, Tucker, Bruner, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-21884 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 66 | |
i. Full name | MV Securities Group, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-47827 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 67 | |
i. Full name | Family Investors Company |
ii. LEI, if any, or provide and describe other identifying number | 8-11190 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 68 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 69 | |
i. Full name | Bill Few Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-49625 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 70 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 71 | |
i. Full name | Northern Trust Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-23689 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 72 | |
i. Full name | Fortune Financial Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-49727 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 73 | |
i. Full name | Bolton Global Capital |
ii. LEI, if any, or provide and describe other identifying number | 8-33222 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 74 | |
i. Full name | Financial Services International Corp. |
ii. LEI, if any, or provide and describe other identifying number | 8-48032 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 75 | |
i. Full name | First State Financial Management, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-34201 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 76 | |
i. Full name | BCG Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-12680 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 77 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 78 | |
i. Full name | Broadridge Business Process Outsourcing, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-53412 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 79 | |
i. Full name | Cetera Financial Specialists LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-27082 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 80 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 81 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 82 | |
i. Full name | FMSBonds, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-23280 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 83 | |
i. Full name | Sabadell Securities USA, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-67975 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 84 | |
i. Full name | BPU Investment Management, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-34979 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 85 | |
i. Full name | G. W. & 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 86 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 87 | |
i. Full name | Century Securities Associates, Inc. |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 88 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 89 | |
i. Full name | Sentinel Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-53142 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 90 | |
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 | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 91 | |
i. Full name | Great Pacific Securities |
ii. LEI, if any, or provide and describe other identifying number | 8-44398 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 92 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 93 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 94 | |
i. Full name | G.L.S. & Associates, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-51808 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 95 | |
i. Full name | CIBC World Markets Corp. |
ii. LEI, if any, or provide and describe other identifying number | 8-18333 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 96 | |
i. Full name | Signator Investors, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-13995 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 97 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 98 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 99 | |
i. Full name | HSBC Securities (USA), Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-41562 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 100 | |
i. Full name | Buckman, Buckman & Reid, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-40413 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 101 | |
i. Full name | The O.N. Equity Sales Company |
ii. LEI, if any, or provide and describe other identifying number | 8-14161 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 102 | |
i. Full name | JHW Financial Services Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-45304 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 103 | |
i. Full name | Donegal Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-66137 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 104 | |
i. Full name | KCD Financial, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-66005 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 105 | |
i. Full name | First Republic Securities Company, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-52973 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 106 | |
i. Full name | The Huntington Investment Company |
ii. LEI, if any, or provide and describe other identifying number | 8-34867 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 107 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 108 | |
i. Full name | The Investment Center, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-35826 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 109 | |
i. Full name | L. B. Fisher & Company |
ii. LEI, if any, or provide and describe other identifying number | 8-21023 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 110 | |
i. Full name | Whitehall-Parker Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-27688 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 111 | |
i. Full name | Corinthian Partners, L.L.C. |
ii. LEI, if any, or provide and describe other identifying number | 8-48461 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 112 | |
i. Full name | Halliday Financial, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-45529 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 113 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 114 | |
i. Full name | First Kentucky Securities Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-22224 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 115 | |
i. Full name | Key Investment Services LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-66999 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 116 | |
i. Full name | Goldman Sachs & Co. LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-00129 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 117 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 118 | |
i. Full name | J.A. Glynn & Co. |
ii. LEI, if any, or provide and describe other identifying number | 8-39465 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 119 | |
i. Full name | DWS Investments Distributors, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-47765 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 120 | |
i. Full name | Herbert J. Sims & Co. Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-03315 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 121 | |
i. Full name | Kovack Securities Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-50847 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 122 | |
i. Full name | Fiduciary Trust International |
ii. LEI, if any, or provide and describe other identifying number | N1YKEWO2IYPRS4742F57 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 123 | |
i. Full name | Investment Planners, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-35642 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 124 | |
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 | |
iv. Foreign country, if applicable | UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND |
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 125 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 126 | |
i. Full name | Larson Financial Securities, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-68456 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 127 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 128 | |
i. Full name | Lucia Securities, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-47643 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 129 | |
i. Full name | Maplewood Investment Advisors, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-52221 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 130 | |
i. Full name | Fifth Third Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-02428 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 131 | |
i. Full name | Mercantil Commercebank Investment Services |
ii. LEI, if any, or provide and describe other identifying number | 8-53612 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 132 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 133 | |
i. Full name | Lantern Investments, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-45285 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 134 | |
i. Full name | First Manhattan Co. |
ii. LEI, if any, or provide and describe other identifying number | 8-10438 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 135 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 136 | |
i. Full name | Genworth Life & Annuity Insurance Company |
ii. LEI, if any, or provide and describe other identifying number | TAI340D9BWT9R77O0P03 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 137 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 138 | |
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 | NEW HAMPSHIRE |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 139 | |
i. Full name | M Holdings Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-50214 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 140 | |
i. Full name | M. Griffith Investment Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-02259 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 141 | |
i. Full name | Mid-Atlantic Clearing & Settlement Corp. |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 142 | |
i. Full name | Means Investment Co., Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-27458 |
Description of other identifying number | SEC File Number |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 143 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 144 | |
i. Full name | Maxim Group LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-65337 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 145 | |
i. Full name | Nicol Investors Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-65566 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 146 | |
i. Full name | NIA Securities, L.L.C. |
ii. LEI, if any, or provide and describe other identifying number | 8-50591 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 147 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 148 | |
i. Full name | People's Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-29667 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 149 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 150 | |
i. Full name | Pension Dynamics Securities Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-52535 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 151 | |
i. Full name | Northern Capital Securities Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-49130 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 152 | |
i. Full name | Joseph Gunnar & Co. LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-41386 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 153 | |
i. Full name | Investment Architects, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-35724 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 154 | |
i. Full name | Patapsco Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-43485 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 155 | |
i. Full name | Meridien Financial Group, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-26090 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 156 | |
i. Full name | Planners Financial Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-18027 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 157 | |
i. Full name | Monex Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-44874 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 158 | |
i. Full name | Quest Capital Strategies, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-34532 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 159 | |
i. Full name | Robinson & Robinson, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-17109 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 160 | |
i. Full name | Simmons First Investment Group, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-51795 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 161 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 162 | |
i. Full name | LaBrunerie Financial Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-47830 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 163 | |
i. Full name | Key West Investments, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-68166 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 164 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 165 | |
i. Full name | Raymond James Financial Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-17983 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 166 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 167 | |
i. Full name | Roberts & Ryan Investments Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-37469 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 168 | |
i. Full name | Morgan Stanley & Co. LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-15869 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 169 | |
i. Full name | Northwest Investment Advisors, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-65282 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 170 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 171 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 172 | |
i. Full name | Rhodes Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-37689 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 173 | |
i. Full name | Pyramid Funds Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-12769 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 174 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 175 | |
i. Full name | Leumi Investment Services Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-52993 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 176 | |
i. Full name | Schlitt Investor Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-34202 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 177 | |
i. Full name | Royal Alliance Associates, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-40218 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 178 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 179 | |
i. Full name | Hefren-Tillotson, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-10646 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 180 | |
i. Full name | MidWestern Securities Trading Company, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-52074 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 181 | |
i. Full name | Ross, Sinclaire & Associates, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-41740 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 182 | |
i. Full name | Kovitz Securities, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-66267 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 183 | |
i. Full name | Signature Securities Group Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-52697 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 184 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 185 | |
i. Full name | Kercheville & Company, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-32795 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 186 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 187 | |
i. Full name | S F Sentry Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-43101 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 188 | |
i. Full name | TD Ameritrade Clearing, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-16335 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 189 | |
i. Full name | Samuel A Ramirez & Co., Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-19014 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 190 | |
i. Full name | StockCross Financial Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-17758 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 191 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 192 | |
i. Full name | The Tavenner Company |
ii. LEI, if any, or provide and describe other identifying number | 8-41206 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 193 | |
i. Full name | Snowden Account Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-68188 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 194 | |
i. Full name | Trade-PMR 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 195 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 196 | |
i. Full name | Wood (Arthur W.) Company, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-03368 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 197 | |
i. Full name | Vision Financial Markets LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-67447 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 198 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 199 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 200 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 201 | |
i. Full name | Titleist Asset Management, Ltd. |
ii. LEI, if any, or provide and describe other identifying number | 8-65859 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 202 | |
i. Full name | Hartford Life Insurance Company |
ii. LEI, if any, or provide and describe other identifying number | 8CE7JPU9IU72L3PPD756 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 203 | |
i. Full name | Superior Financial Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-52618 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 204 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 205 | |
i. Full name | Weston Securities Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-32664 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 206 | |
i. Full name | Northland Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-48994 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 207 | |
i. Full name | Planned Investment Co., Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-15266 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 208 | |
i. Full name | Northeastern Financial Group, Incorporated |
ii. LEI, if any, or provide and describe other identifying number | 8-33132 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 209 | |
i. Full name | Register Financial Associates, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-45012 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 210 | |
i. Full name | ACA/Prudent Investors Planning Corporation |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 211 | |
i. Full name | USCA Securities LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-52285 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 212 | |
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 | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 213 | |
i. Full name | Chalice Capital Partners, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-69967 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 214 | |
i. Full name | Thoroughbred Financial Services, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-51944 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 215 | |
i. Full name | John Hancock Life Insurance Company |
ii. LEI, if any, or provide and describe other identifying number | QQ0OZ8J9C4B5QT1XDG31 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 216 | |
i. Full name | VBC Securities, LLC |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 217 | |
i. Full name | Newport Retirement Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | N/A |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 218 | |
i. Full name | Alight Solutions LLC |
ii. LEI, if any, or provide and describe other identifying number | 084-01996 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 219 | |
i. Full name | Guardian Insurance & Annuity Company, Inc., The |
ii. LEI, if any, or provide and describe other identifying number | TGIU5N0SIMULU6I57R64 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 220 | |
i. Full name | Whitney National Bank |
ii. LEI, if any, or provide and describe other identifying number | NSGZD26XPW2CUM2JKU70 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 221 | |
i. Full name | ACP Securities, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-67185 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 222 | |
i. Full name | Allegis Investment Services, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-69318 |
Description of other identifying number | SEC File Number |
iii. State, if applicable | IDAHO |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 223 | |
i. Full name | Principal Life Insurance Company |
ii. LEI, if any, or provide and describe other identifying number | SDCMU2LVKGV2AF1KWP64 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 224 | |
i. Full name | Great-West Financial Retirement Plan Services, LLC |
ii. LEI, if any, or provide and describe other identifying number | N/A |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 225 | |
i. Full name | Invicta Capital, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-69923 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 226 | |
i. Full name | Wheelhouse Securities Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-68105 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 227 | |
i. Full name | Robert W. Baird & Co. Incorporated |
ii. LEI, if any, or provide and describe other identifying number | 8-00497 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 228 | |
i. Full name | Riversource Distributors, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-67196 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 229 | |
i. Full name | Sisung Securities Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-42121 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 230 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 231 | |
i. Full name | Woodlands Securities Corporation |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 232 | |
i. Full name | Actinver Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-49311 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 233 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 234 | |
i. Full name | World Trend Financial Planning Services, Ltd. |
ii. LEI, if any, or provide and describe other identifying number | 8-43693 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 235 | |
i. Full name | MerCap Securities |
ii. LEI, if any, or provide and describe other identifying number | 8-68810 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 236 | |
i. Full name | American Century Investment Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-35220 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 237 | |
i. Full name | World Equity Group, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-44088 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 238 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 239 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 240 | |
i. Full name | Advisory Group Equity 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 241 | |
i. Full name | American Independent Securities Group, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-66905 |
Description of other identifying number | SEC File Number |
iii. State, if applicable | IDAHO |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 242 | |
i. Full name | BNP Paribas Securities Corp |
ii. LEI, if any, or provide and describe other identifying number | 8-40490 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 243 | |
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 | PUERTO RICO |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 244 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 245 | |
i. Full name | BB&T Securities, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-67486 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 246 | |
i. Full name | SEI Private Trust Company |
ii. LEI, if any, or provide and describe other identifying number | 028-10625 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 247 | |
i. Full name | Wunderlich Securities, 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 248 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 249 | |
i. Full name | First Mercantile Trust Company |
ii. LEI, if any, or provide and describe other identifying number | 028-10498 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 250 | |
i. Full name | Conduent HR Services LLC |
ii. LEI, if any, or provide and describe other identifying number | 084-06035 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 251 | |
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 | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 252 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 253 | |
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 | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 254 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 255 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 256 | |
i. Full name | Digital Retirement Solutions, Inc. |
ii. LEI, if any, or provide and describe other identifying number | N/A |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 257 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 258 | |
i. Full name | ViewTrade Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-51605 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 259 | |
i. Full name | State Farm VP Management Corp |
ii. LEI, if any, or provide and describe other identifying number | 8-50128 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 260 | |
i. Full name | BFT Financial Group, 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 261 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 262 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 263 | |
i. Full name | Alight Financial Solutions LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-47344 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 264 | |
i. Full name | Concord Wealth Brokerage |
ii. LEI, if any, or provide and describe other identifying number | 8-41511 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 265 | |
i. Full name | Carter, Terry & Company, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-33797 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 266 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 267 | |
i. Full name | Cetera Investment Services, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-31826 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 268 | |
i. Full name | BancWest Investment Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-44261 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 269 | |
i. Full name | Cetera Advisors LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-26892 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 270 | |
i. Full name | Bankers Life Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-69562 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 271 | |
i. Full name | City National Bank |
ii. LEI, if any, or provide and describe other identifying number | 593C3GZG957YOJPS2Z63 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 272 | |
i. Full name | Comerica Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-35001 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 273 | |
i. Full name | BBVA Securities Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-42857 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 274 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 275 | |
i. Full name | Calamar Financial Group |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 276 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 277 | |
i. Full name | The GMS Group, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-23936 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 278 | |
i. Full name | BestVest Investments, Ltd. |
ii. LEI, if any, or provide and describe other identifying number | 8-49007 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 279 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 280 | |
i. Full name | TransAm 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 | 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 281 | |
i. Full name | GLP Investment Services |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 282 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 283 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 284 | |
i. Full name | Benchmark Investments, Inc. |
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 | 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 285 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 286 | |
i. Full name | Commerce Brokerage Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-35096 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 287 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 288 | |
i. Full name | Rogan & Associates, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-49995 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 289 | |
i. Full name | Bley Investments 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 290 | |
i. Full name | Cadaret, Grant & Co., Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-27844 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 291 | |
i. Full name | Tradition Asiel Securities Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-43559 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 292 | |
i. Full name | Calton & Associates, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-38635 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 293 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 294 | |
i. Full name | Vanderbilt Securities, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-16712 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 295 | |
i. Full name | Capital Financial Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-25203 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 296 | |
i. Full name | Cascade Financial Management, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-53730 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 297 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 298 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 299 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 300 | |
i. Full name | Centaurus Financial, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-45185 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 301 | |
i. Full name | Excel Securities & Associates, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-34261 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 302 | |
i. Full name | Charles Schwab & Co., Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-16514 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 303 | |
i. Full name | Western Growers Financial Services, Inc. |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 304 | |
i. Full name | American Portfolios Financial Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-37085 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 305 | |
i. Full name | Citigroup Global Markets Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-08177 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 306 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 307 | |
i. Full name | AssetMark Trust Company |
ii. LEI, if any, or provide and describe other identifying number | N/A |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 308 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 309 | |
i. Full name | Dougherty & Company LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-21937 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 310 | |
i. Full name | Westport Resources Investment Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-40904 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 311 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 312 | |
i. Full name | Dorsey & Company, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-07541 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 313 | |
i. Full name | 1st Discount Brokerage, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-48557 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 314 | |
i. Full name | Coastal Equities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-40822 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 315 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 316 | |
i. Full name | Duncan-Williams, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-18971 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 317 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 318 | |
i. Full name | Coburn & Meredith, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-02474 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 319 | |
i. Full name | Sammons Retirement Solutions, Inc. |
ii. LEI, if any, or provide and describe other identifying number | N/A |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 320 | |
i. Full name | UBATCO & Co. |
ii. LEI, if any, or provide and describe other identifying number | N/A |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 321 | |
i. Full name | Essex Securities LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-51472 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 322 | |
i. Full name | First Financial Equity Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-34082 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 323 | |
i. Full name | Coker & Palmer, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-44129 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 324 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 325 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 326 | |
i. Full name | Consolidated Financial Investments, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-37004 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 327 | |
i. Full name | Commonwealth Equity Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-24040 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 328 | |
i. Full name | Coldstream Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-51549 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 329 | |
i. Full name | Credit Suisse Securities (USA) LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-00422 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 330 | |
i. Full name | Crescent Securities Group |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 331 | |
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 | 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 332 | |
i. Full name | Cuso Financial Services, L.P. |
ii. LEI, if any, or provide and describe other identifying number | 8-49711 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 333 | |
i. Full name | David Lerner Associates, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-20746 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 334 | |
i. Full name | Crews & Associates, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-24075 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 335 | |
i. Full name | MSEC, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-68627 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 336 | |
i. Full name | Insigneo Securities, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-44166 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 337 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 338 | |
i. Full name | Foresters Equity Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-36703 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 339 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 340 | |
i. Full name | Detwiler Fenton & Co. |
ii. LEI, if any, or provide and describe other identifying number | 8-16324 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 341 | |
i. Full name | Cutter & Company Brokerage, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-39590 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 342 | |
i. Full name | E. E. Powell & Company Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-01893 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 343 | |
i. Full name | Slavic Investment Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-40024 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 344 | |
i. Full name | Deutsche Bank Securities Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-17822 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 345 | |
i. Full name | Edward D. Jones & Co., L.P. |
ii. LEI, if any, or provide and describe other identifying number | 8-00759 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 346 | |
i. Full name | First Honolulu Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-23919 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 347 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 348 | |
i. Full name | Gerwin Group, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-40282 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 349 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 350 | |
i. Full name | Glen Eagle Advisors LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-65678 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 351 | |
i. Full name | Interactive Brokers LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-47257 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 352 | |
i. Full name | Edwin C. Blitz Investments, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-22741 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 353 | |
i. Full name | Feldstein Financial Group, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-53388 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 354 | |
i. Full name | Gold Coast Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-53148 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 355 | |
i. Full name | Global Brokerage Services, Inc. |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 356 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 357 | |
i. Full name | Feltl & Company |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 358 | |
i. Full name | Fidelity Brokerage Services LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-23292 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 359 | |
i. Full name | E*Trade Securities |
ii. LEI, if any, or provide and describe other identifying number | 8-44112 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 360 | |
i. Full name | Financial Planning Consultants, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-25384 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 361 | |
i. Full name | GWFS Equities, 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 362 | |
i. Full name | Fidelity Investments Life |
ii. LEI, if any, or provide and describe other identifying number | 54930024AKTQGTIV1P93 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 363 | |
i. Full name | First Bankers' Banc Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-31584 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 364 | |
i. Full name | H. C. Denison Co. |
ii. LEI, if any, or provide and describe other identifying number | 8-00044 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 365 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 366 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 367 | |
i. Full name | First Financial Securities of America, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-29565 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 368 | |
i. Full name | First Command Financial Planning, 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 369 | |
i. Full name | CUNA Brokerage Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-30027 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 370 | |
i. Full name | Hanson McClain Securities |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 371 | |
i. Full name | Foresters Financial Services |
ii. LEI, if any, or provide and describe other identifying number | 8-13891 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 372 | |
i. Full name | Hapoalim Securities USA, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-03018 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 373 | |
i. Full name | Freimark Blair & Company, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-28646 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 374 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 375 | |
i. Full name | Harvest Financial Corporation |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 376 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 377 | |
i. Full name | GRF Capital Investors, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-41494 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 378 | |
i. Full name | FolioFN 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 379 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 380 | |
i. Full name | Horace Mann Life Insurance Co. |
ii. LEI, if any, or provide and describe other identifying number | 5493000HR2JKKNH2FL09 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 381 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 382 | |
i. Full name | International Assets Advisory, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-27736 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 383 | |
i. Full name | Gardner Financial Services, 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 384 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 385 | |
i. Full name | Hennion & Walsh, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-41988 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 386 | |
i. Full name | Highlander Capital Group, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-37169 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 387 | |
i. Full name | Insight Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-16247 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 388 | |
i. Full name | Gilbert, Doniger & Co., Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-22326 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 389 | |
i. Full name | L.S.Y., Inc. |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 390 | |
i. Full name | Gladowsky Capital Management Corp. |
ii. LEI, if any, or provide and describe other identifying number | 8-51017 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 391 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 392 | |
i. Full name | Mutual Trust Co. of America Securities |
ii. LEI, if any, or provide and describe other identifying number | 8-25547 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 393 | |
i. Full name | Morgan Stanley Smith Barney LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-68191 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 394 | |
i. Full name | Hazlett, Burt & Watson, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-17737 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 395 | |
i. Full name | GWN Securities Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-66185 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 396 | |
i. Full name | Hilltop Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-45123 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 397 | |
i. Full name | Hornor, Townsend & Kent, Inc. |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 398 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 399 | |
i. Full name | Hightower Securities, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-53560 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 400 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 401 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 402 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 403 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 404 | |
i. Full name | Keystone Capital 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 405 | |
i. Full name | Ladenburg Thalman & Co. Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-17230 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 406 | |
i. Full name | Infinex Investments, 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 407 | |
i. Full name | Hunter Associates, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-44779 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 408 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 409 | |
i. Full name | Mack Investment Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-35536 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 410 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 411 | |
i. Full name | Loria Financial Group, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-52128 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 412 | |
i. Full name | Finance 500, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-28302 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 413 | |
i. Full name | MBSC Securities Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-13801 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 414 | |
i. Full name | Invex, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-44695 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 415 | |
i. Full name | J.D. Seibert & Company, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-23604 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 416 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 417 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 418 | |
i. Full name | Jefferies, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-15074 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 419 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 420 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 421 | |
i. Full name | K. W. Chambers & CO. |
ii. LEI, if any, or provide and describe other identifying number | 8-10533 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 422 | |
i. Full name | Merrill Lynch, Pierce, Fenner & Smith Incorporated |
ii. LEI, if any, or provide and describe other identifying number | 8-07221 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 423 | |
i. Full name | Lincoln Investment Planning, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-14354 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 424 | |
i. Full name | Kalos Capital, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-50630 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 425 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 426 | |
i. Full name | MMC Securities Corp. |
ii. LEI, if any, or provide and describe other identifying number | 8-52349 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 427 | |
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 | 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 428 | |
i. Full name | 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 429 | |
i. Full name | Landaas & Company |
ii. LEI, if any, or provide and describe other identifying number | 8-51826 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 430 | |
i. Full name | Lexington Investment Company, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-43085 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 431 | |
i. Full name | Morris Group, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-28916 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 432 | |
i. Full name | Prospera Financial Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-28164 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 433 | |
i. Full name | Neuberger Berman LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-01068 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 434 | |
i. Full name | LPL Financial LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-17668 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 435 | |
i. Full name | Madison Avenue Securities, Inc. |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 436 | |
i. Full name | NorthWestern Mutual Investment Services, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-14088 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 437 | |
i. Full name | Lincoln Financial Distributors, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-13431 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 438 | |
i. Full name | Nelson Ivest Brokerage Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-26448 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 439 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 440 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 441 | |
i. Full name | Mid-Atlantic Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-36997 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 442 | |
i. Full name | OFG Financial Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-40770 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 443 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 444 | |
i. Full name | M. S. Howells & Co. |
ii. LEI, if any, or provide and describe other identifying number | 8-52558 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 445 | |
i. Full name | MHA Financial Corp. |
ii. LEI, if any, or provide and describe other identifying number | 8-21836 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 446 | |
i. Full name | Financial Northeastern Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-34883 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 447 | |
i. Full name | Northeast Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-42227 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 448 | |
i. Full name | Mora WM Securities, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-68910 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 449 | |
i. Full name | Planned Financial Programs, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-05727 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 450 | |
i. Full name | S.A. Stone Wealth Management |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 451 | |
i. Full name | Huntleigh Securities Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-21893 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 452 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 453 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 454 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 455 | |
i. Full name | Nationwide Planning Associates Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-45310 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 456 | |
i. Full name | Nestlerode & Loy, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-12629 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 457 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 458 | |
i. Full name | SG Americas Securities, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-66125 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 459 | |
i. Full name | Middlegate Securities Ltd. |
ii. LEI, if any, or provide and describe other identifying number | 8-39031 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 460 | |
i. Full name | Peak Brokerage Services, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-68829 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 461 | |
i. Full name | Pershing Advisor Solutions, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-47425 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 462 | |
i. Full name | North South Capital, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-67979 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 463 | |
i. Full name | Pacific Financial Associates, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-40712 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 464 | |
i. Full name | Navy Federal Brokerage 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 465 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 466 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 467 | |
i. Full name | Piper Jaffray & Co. |
ii. LEI, if any, or provide and describe other identifying number | 8-15204 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 468 | |
i. Full name | PNC Capital Markets LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-32493 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 469 | |
i. Full name | NBC Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-35870 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 470 | |
i. Full name | NYLife Securities LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-15517 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 471 | |
i. Full name | Oberweis Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-49679 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 472 | |
i. Full name | RBC Capital Markets, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-45411 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 473 | |
i. Full name | PNC Bank, N.A. |
ii. LEI, if any, or provide and describe other identifying number | AD6GFRVSDT01YPT1CS68 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 474 | |
i. Full name | Repex & Co., Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-26431 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 475 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 476 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 477 | |
i. Full name | Regulus Advisors, 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 478 | |
i. Full name | RJJ Pasadena Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-25324 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 479 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 480 | |
i. Full name | SecureVest Financial Group |
ii. LEI, if any, or provide and describe other identifying number | 8-26030 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 481 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 482 | |
i. Full name | Omni Financial Securities |
ii. LEI, if any, or provide and describe other identifying number | 8-44034 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 484 | |
i. Full name | PTS 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 485 | |
i. Full name | Sigma Financial Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-30466 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 486 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 487 | |
i. Full name | Oriental Financial Services Corp. |
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 | PUERTO RICO |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 488 | |
i. Full name | NPB Financial Group, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-67113 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 489 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 490 | |
i. Full name | Queens Road Securities, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-52737 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 491 | |
i. Full name | Stannard Financial Services, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-50654 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 492 | |
i. Full name | Silber Bennett Financial, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-68795 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 493 | |
i. Full name | Quincy Cass Associates, Incorporated |
ii. LEI, if any, or provide and describe other identifying number | 8-05743 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 494 | |
i. Full name | Oppenheimer & Co. Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-04077 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 495 | |
i. Full name | Summit Equities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-27556 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 496 | |
i. Full name | Planmember Securities Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-25065 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 497 | |
i. Full name | SunTrust Bank |
ii. LEI, if any, or provide and describe other identifying number | IYDOJBGJWY9T8XKCSX06 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 498 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 499 | |
i. Full name | PWA Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-67700 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 500 | |
i. Full name | Stephens Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-01927 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 501 | |
i. Full name | Rehmann Financial Network |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 502 | |
i. Full name | SWBC Investment Services, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-66764 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 503 | |
i. Full name | RIM Securities LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-36759 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 504 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 505 | |
i. Full name | The Garbacz Group Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-42366 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 506 | |
i. Full name | Podesta & Co. |
ii. LEI, if any, or provide and describe other identifying number | 8-28860 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 507 | |
i. Full name | Rothschild Investment Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-16429 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 508 | |
i. Full name | Sanders Morris Harris Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-38325 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 509 | |
i. Full name | Saperston Asset Management, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-50658 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 510 | |
i. Full name | RF Lafferty & Co |
ii. LEI, if any, or provide and describe other identifying number | 8-25581 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 511 | |
i. Full name | Regions Bank |
ii. LEI, if any, or provide and describe other identifying number | EQTWLK1G7ODGC2MGLV11 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 512 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 513 | |
i. Full name | SECU Brokerage Services |
ii. LEI, if any, or provide and describe other identifying number | 8-37927 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 514 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 515 | |
i. Full name | SDDCO Brokerage Advisors, 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 516 | |
i. Full name | Sage, Rutty & Co., 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 517 | |
i. Full name | The Jeffrey Matthews Financial Group, L.L.C. |
ii. LEI, if any, or provide and describe other identifying number | 8-49352 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 518 | |
i. Full name | Shareholders Service Group, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-65778 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 519 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 520 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 521 | |
i. Full name | TD Ameritrade, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-23395 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 522 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 523 | |
i. Full name | Thurston, Springer, Miller, Herd & Titak, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-25452 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 524 | |
i. Full name | Uhlmann Price Securities, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-50041 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 525 | |
i. Full name | Safra Securities LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-51935 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 526 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 527 | |
i. Full name | Saxony Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-53490 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 528 | |
i. Full name | TCFG Wealth Management, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-69089 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 529 | |
i. Full name | Fidelity Investments Institutional Operations Company, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-35097 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 530 | |
i. Full name | Summit Brokerage Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-46310 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 531 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 532 | |
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 | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 533 | |
i. Full name | Wayne Hummer Investments, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-00484 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 534 | |
i. Full name | St. Bernard Financial Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-47566 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 535 | |
i. Full name | Unionbanc Investment Services, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-30706 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 536 | |
i. Full name | Synovus Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-34709 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 537 | |
i. Full name | UBS AG, New York Branch |
ii. LEI, if any, or provide and describe other identifying number | BFM8T61CT2L1QCEMIK50 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 538 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 539 | |
i. Full name | Univest Investments, Inc. |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 540 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 541 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 542 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 543 | |
i. Full name | John Hancock Trust Company |
ii. LEI, if any, or provide and describe other identifying number | 549300W205WZCFZS6R51 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 544 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 545 | |
i. Full name | TIAA-CREF Individual & Institutional Services, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-44454 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 546 | |
i. Full name | Visun Securities Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-31907 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 547 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 548 | |
i. Full name | TradeStation Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-48711 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 549 | |
i. Full name | Primerica Shareholder Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 084-01499 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 550 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 551 | |
i. Full name | VOYA Investments Distributors, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-48020 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 552 | |
i. Full name | Wall Street Access |
ii. LEI, if any, or provide and describe other identifying number | 8-25936 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 553 | |
i. Full name | Vestor Capital Securities |
ii. LEI, if any, or provide and describe other identifying number | 8-32743 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 554 | |
i. Full name | TimeCapital Securities Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-18248 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 555 | |
i. Full name | Ascensus, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 549300K5MHNFPEU2RK82 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 556 | |
i. Full name | American United Life Insurance Company |
ii. LEI, if any, or provide and describe other identifying number | 549300T82H2DYU80LV98 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 557 | |
i. Full name | Triad Advisors, Inc. |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 558 | |
i. Full name | Mercer HR Services, LLC |
ii. LEI, if any, or provide and describe other identifying number | N/A |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 559 | |
i. Full name | Weller, Anderson & Co., 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 560 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 561 | |
i. Full name | Wiley Bros.-Aintree Capital, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-03774 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 562 | |
i. Full name | Bruderman Brothers, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-51974 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 563 | |
i. Full name | TRG Advisors, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-50449 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 564 | |
i. Full name | Woodstock Financial Group, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-48080 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 565 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 566 | |
i. Full name | Treasure Financial Corp. |
ii. LEI, if any, or provide and describe other identifying number | 8-48165 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 567 | |
i. Full name | Nationwide Financial Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 5493001H7AZNDS6BKJ36 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 568 | |
i. Full name | Charles Schwab Bank |
ii. LEI, if any, or provide and describe other identifying number | 549300INFJ8TYNZ1G568 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 569 | |
i. Full name | Vanguard Group, Inc., The |
ii. LEI, if any, or provide and describe other identifying number | 5493002789CY3L0CJP65 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 570 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 571 | |
i. Full name | Nest Investments BD, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-70117 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 572 | |
i. Full name | UBS Financial Services Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-16267 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 573 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 574 | |
i. Full name | ABD Retirement Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-69271 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 575 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 576 | |
i. Full name | Umpqua Investments, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-02915 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 577 | |
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 | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 578 | |
i. Full name | Saturna Trust Company |
ii. LEI, if any, or provide and describe other identifying number | N/A |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 579 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 580 | |
i. Full name | BD4RIA, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-70022 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 581 | |
i. Full name | Wells Fargo Bank, N.A. |
ii. LEI, if any, or provide and describe other identifying number | KB1H1DSPRFMYMCUFXT09 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 582 | |
i. Full name | Wells Fargo Clearing Services, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-37180 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 583 | |
i. Full name | ADCAP Securities |
ii. LEI, if any, or provide and describe other identifying number | 8-51285 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 584 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 585 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 586 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 587 | |
i. Full name | XP Securities, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-68817 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 588 | |
i. Full name | IFP Securities |
ii. LEI, if any, or provide and describe other identifying number | 8-70150 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 589 | |
i. Full name | William Blair & Company L.L.C. |
ii. LEI, if any, or provide and describe other identifying number | 8-02698 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 590 | |
i. Full name | Amegy Investments, Inc. (Zions) |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 591 | |
i. Full name | Zions Investment |
ii. LEI, if any, or provide and describe other identifying number | 8-35721 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 592 | |
i. Full name | Allianz Life Financial Services, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-13630 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 593 | |
i. Full name | Axiom Capital Management, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-42638 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 594 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 595 | |
i. Full name | American Municipal Securities, 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 596 | |
i. Full name | TrustCore Investments, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-32152 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 597 | |
i. Full name | T. Rowe Price Retirement Plan Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 084-06219 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 598 | |
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 | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 599 | |
i. Full name | Apex Clearing Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-23522 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 600 | |
i. Full name | JPMorgan Chase Bank, N.A. |
ii. LEI, if any, or provide and describe other identifying number | 7H6GLYDRUGQFU57RNE97 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 601 | |
i. Full name | Benefit Trust Company |
ii. LEI, if any, or provide and describe other identifying number | N/A |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 602 | |
i. Full name | Arkadios Capital |
ii. LEI, if any, or provide and describe other identifying number | 8-69729 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 603 | |
i. Full name | Voya Institutional Plan Services, LLC |
ii. LEI, if any, or provide and describe other identifying number | N/A |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 604 | |
i. Full name | Berthel, Fisher & Company Financial Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-29426 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 605 | |
i. Full name | Arive Capital Markets |
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 | 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 606 | |
i. Full name | Avalon Investment & Securities Group, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-17078 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 607 | |
i. Full name | BAC Florida Investments |
ii. LEI, if any, or provide and describe other identifying number | 8-37483 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 608 | |
i. Full name | Bolton Securities Corp. |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 609 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 610 | |
i. Full name | Barclays Capital Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-41342 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 611 | |
i. Full name | Bernard Herold & Co., Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-17005 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 612 | |
i. Full name | Blakeslee and 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 613 | |
i. Full name | BMO Harris Bank |
ii. LEI, if any, or provide and describe other identifying number | 3Y4U8VZURTYWI1W2K376 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 614 | |
i. Full name | BMO Harris Financial Advisors, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-67064 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 615 | |
i. Full name | Bodell Overcash Anderson & Co., Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-15775 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 616 | |
i. Full name | Stonnington Group, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-66919 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 617 | |
i. Full name | Cantella & Co., Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-23904 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 618 | |
i. Full name | BTG Pactual US Capital, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-68148 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 619 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 620 | |
i. Full name | Broker Dealer Financial Services Corp. |
ii. LEI, if any, or provide and describe other identifying number | 8-24220 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 621 | |
i. Full name | C. R. Davis & Company |
ii. LEI, if any, or provide and describe other identifying number | 8-859 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 622 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 623 | |
i. Full name | BTS Securities Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-26818 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 624 | |
i. Full name | CFT Securities, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-51345 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 625 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 626 | |
i. Full name | Thompson Davis & Co., Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-49386 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 627 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 628 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 629 | |
i. Full name | Carty & Company, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-19082 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 630 | |
i. Full name | Centennial Securities Company, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-23406 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 631 | |
i. Full name | Ceros Financial Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-47955 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 632 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 633 | |
i. Full name | Comprehensive Asset Management and Servicing, 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 634 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 635 | |
i. Full name | Country Club Financial Services, 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 636 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 637 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 638 | |
i. Full name | DesPain Financial Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-37056 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 639 | |
i. Full name | D.H. Hill Securities LLP |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 640 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 641 | |
i. Full name | D.M. Kelly & Company |
ii. LEI, if any, or provide and describe other identifying number | 8-48398 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 642 | |
i. Full name | DFPG Investments, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-68730 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 643 | |
i. Full name | D.A. Davidson & Co. |
ii. LEI, if any, or provide and describe other identifying number | 8-02399 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 644 | |
i. Full name | Dinosaur Securities, L.L.C. |
ii. LEI, if any, or provide and describe other identifying number | 8-52908 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 645 | |
i. Full name | Davenport & Company LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-17103 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 646 | |
i. Full name | Essex Financial Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-66015 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 647 | |
i. Full name | EK Riley Investments, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-65369 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 648 | |
i. Full name | E*Trade Savings Bank |
ii. LEI, if any, or provide and describe other identifying number | 549300DXPO50FJ75QA85 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 649 | |
i. Full name | E-W Investments, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-35259 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 650 | |
i. Full name | Etico Partners, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-65500 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 651 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 652 | |
i. Full name | Exeter Trust Company |
ii. LEI, if any, or provide and describe other identifying number | 028-04279 |
Description of other identifying number | SEC File Number |
iii. State, if applicable | NEW HAMPSHIRE |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 653 | |
i. Full name | Farmers Financial Solutions, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-52361 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 654 | |
i. Full name | Andbanc Brokerage, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-68759 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 655 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 656 | |
i. Full name | Callaway Financial Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-52474 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 657 | |
i. Full name | FCG Advisors, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-49104 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 658 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 659 | |
i. Full name | Eastern Point Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-39398 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 660 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 661 | |
i. Full name | Citizens Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-48744 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 662 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 663 | |
i. Full name | FNBB Capital Markets, LLC |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 664 | |
i. Full name | First Heartland Capital, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-46008 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 665 | |
i. Full name | Integral Financial LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-65284 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 666 | |
i. Full name | Garden State Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-25790 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 667 | |
i. Full name | FTB 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 668 | |
i. Full name | General Securities Corp. |
ii. LEI, if any, or provide and describe other identifying number | 8-31654 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 669 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 670 | |
i. Full name | Hancock Bank Corporation |
ii. LEI, if any, or provide and describe other identifying number | 549300GRNBWY8HIICT41 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 671 | |
i. Full name | H. Beck, Inc. |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 672 | |
i. Full name | Healthcare Community Securities Corporation |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 673 | |
i. Full name | ING Financial Markets LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-43978 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 674 | |
i. Full name | Hancock Investment Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-49106 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 675 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 676 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 677 | |
i. Full name | Inverness Securities, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-66278 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 678 | |
i. Full name | Liberty Group, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-52994 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 679 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 680 | |
i. Full name | Investment Placement Group |
ii. LEI, if any, or provide and describe other identifying number | 8-30700 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 681 | |
i. Full name | Innovation Partners LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-67812 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 682 | |
i. Full name | IDB Capital Corp. |
ii. LEI, if any, or provide and describe other identifying number | 8-53000 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 683 | |
i. Full name | Independent Financial Group, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-22870 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 684 | |
i. Full name | Itau International Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-67674 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 685 | |
i. Full name | International Financial Solutions, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-49020 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 686 | |
i. Full name | Institutional Securities Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-38158 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 687 | |
i. Full name | Mesirow Financial, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-28816 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 688 | |
i. Full name | International Research Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-37954 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 689 | |
i. Full name | J.P. Morgan Securities LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-35008 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 690 | |
i. Full name | Jack V. Butterfield Investment Company |
ii. LEI, if any, or provide and describe other identifying number | 8-12454 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 691 | |
i. Full name | JJB Hilliard WL Lyons |
ii. LEI, if any, or provide and describe other identifying number | 8-33133 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 692 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 693 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 694 | |
i. Full name | KMS Financial Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-15433 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 695 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 696 | |
i. Full name | LaSalle St. Securities, L.L.C. |
ii. LEI, if any, or provide and describe other identifying number | 8-18860 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 697 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 698 | |
i. Full name | Lara, May & Associates, 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 699 | |
i. Full name | Legacy Asset Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-51871 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 700 | |
i. Full name | Liberty Partners Financial Services, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-66335 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 701 | |
i. Full name | Liberty Capital Investment Corporation |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 702 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 703 | |
i. Full name | Lieblong & Associates, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-49880 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 704 | |
i. Full name | Marsco Investment Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-36754 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 705 | |
i. Full name | Lockton Financial Advisors, 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 706 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 707 | |
i. Full name | Keel Point Capital, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-22990 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 708 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 709 | |
i. Full name | Penates Group, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-50594 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 710 | |
i. Full name | Place Trade Financial, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-65915 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 711 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 712 | |
i. Full name | Portfolio Resources Group, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-45380 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 713 | |
i. Full name | Monere Investments, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-52982 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 714 | |
i. Full name | Moors & Cabot, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-23060 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 715 | |
i. Full name | Nations Financial Group, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-50588 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 716 | |
i. Full name | National Financial Services, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-26740 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 717 | |
i. Full name | Nationwide Securities, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-12500 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 718 | |
i. Full name | Old National Trust Company |
ii. LEI, if any, or provide and describe other identifying number | 028-00344 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 719 | |
i. Full name | NYLife Distributors LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-46655 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 720 | |
i. Full name | North Ridge Securities Corp. |
ii. LEI, if any, or provide and describe other identifying number | 8-42879 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 721 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 722 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 723 | |
i. Full name | Ohanesian / Lecours, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-40729 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 724 | |
i. Full name | Petersen Investments, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-48306 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 725 | |
i. Full name | Pershing, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-17574 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 726 | |
i. Full name | Philip J. Greenblatt Securities Ltd |
ii. LEI, if any, or provide and describe other identifying number | 8-30725 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 727 | |
i. Full name | PFS Investments Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-26486 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 728 | |
i. Full name | Proequities, 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 729 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 730 | |
i. Full name | Pruco Securities, LLC. |
ii. LEI, if any, or provide and describe other identifying number | 8-16402 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 731 | |
i. Full name | Princor Financial Services Corporation |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 732 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 733 | |
i. Full name | R.M. Stark & Co., Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-22543 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 734 | |
i. Full name | Purshe Kaplan Sterling Investments |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 735 | |
i. Full name | Questar Capital Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-50174 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 736 | |
i. Full name | R. Seelaus & Co., Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-31475 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 737 | |
i. Full name | Reliance Worldwide Investments, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-67575 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 738 | |
i. Full name | Raymond James & Associates, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-10999 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 739 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 740 | |
i. Full name | Reliance Trust Company |
ii. LEI, if any, or provide and describe other identifying number | 549300NV8FSQRNOUQO50 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 741 | |
i. Full name | Rodgers Brothers, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-33475 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 742 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 743 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 744 | |
i. Full name | Securities Service Network, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-28980 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 745 | |
i. Full name | Securian Financial Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-31955 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 746 | |
i. Full name | Security Distributors, Inc. |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 747 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 748 | |
i. Full name | Securities Research, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-23699 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 749 | |
i. Full name | Standard Insurance Company |
ii. LEI, if any, or provide and describe other identifying number | 549300KVA8DBYKHPXO21 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 750 | |
i. Full name | SKA Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-53366 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 751 | |
i. Full name | VectorGlobal WMG |
ii. LEI, if any, or provide and describe other identifying number | 8-45715 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 752 | |
i. Full name | Southeast Investments, N.C., Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-50127 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 753 | |
i. Full name | Vorpahl Wing Securities |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 754 | |
i. Full name | Stifel, Nicolaus & Company, Incorporated |
ii. LEI, if any, or provide and describe other identifying number | 8-01447 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 755 | |
i. Full name | Stephen A. Kohn & Associates, Ltd. |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 756 | |
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 | 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 757 | |
i. Full name | SunTrust 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 758 | |
i. Full name | WedBush Securities Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-12987 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 759 | |
i. Full name | T. Rowe Price Investment Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-25130 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 760 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 761 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 762 | |
i. Full name | The Capital Group Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-52512 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 763 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 764 | |
i. Full name | Teachers Insurance and Annuity Association of America |
ii. LEI, if any, or provide and describe other identifying number | O06YD7BJ4EPYNABVFN69 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 765 | |
i. Full name | U.S. Bancorp Investments, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-35359 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 766 | |
i. Full name | Transamerica Financial Advisors, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-33429 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 767 | |
i. Full name | UMB Financial Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-34999 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 768 | |
i. Full name | USAA Investment Management Company |
ii. LEI, if any, or provide and describe other identifying number | 8-41241 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 769 | |
i. Full name | The Oak Ridge Financial Services Group, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-50082 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 770 | |
i. Full name | ValMark Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-45463 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 771 | |
i. Full name | World Choice Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-45235 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 772 | |
i. Full name | Vanguard Marketing Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-21570 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 773 | |
i. Full name | Vaughan & Co Securities, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-36916 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 774 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 775 | |
i. Full name | Supreme Alliance, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-51046 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 776 | |
i. Full name | Voya Financial Partners, LLC |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 777 | |
i. Full name | Waddell & Reed, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-27030 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 778 | |
i. Full name | Wescom Financial Services, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-66189 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 779 | |
i. Full name | William C. Burnside & Company, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-21242 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 780 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 781 | |
i. Full name | Winslow, Evans & Crocker, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-44347 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 782 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 783 | |
i. Full name | TD Ameritrade Trust Company |
ii. LEI, if any, or provide and describe other identifying number | 028-15163 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 784 | |
i. Full name | Prudential Insurance Company of America |
ii. LEI, if any, or provide and describe other identifying number | Y574KRZ6V5A7UBU45C31 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 785 | |
i. Full name | Benefit Plans Administrative Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | N/A |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 786 | |
i. Full name | Voya Retirement Insurance and Annuity Company |
ii. LEI, if any, or provide and describe other identifying number | OK3MKCDYPD4NN6QDGK18 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 787 | |
i. Full name | American Wealth Management |
ii. LEI, if any, or provide and describe other identifying number | 8-41807 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 788 | |
i. Full name | Fifth Third Bank |
ii. LEI, if any, or provide and describe other identifying number | QFROUN1UWUYU0DVIWD51 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 789 | |
i. Full name | Aufhaser Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-48786 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 790 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 791 | |
i. Full name | Arvest Investments, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-49677 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 792 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 793 | |
i. Full name | Dominick & Dominick LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-21076 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 794 | |
i. Full name | American Capital Partners, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-65165 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 795 | |
i. Full name | American Financial Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-53205 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 796 | |
i. Full name | Mutual Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-28580 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 797 | |
i. Full name | Cary Street Partners LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-66085 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 798 | |
i. Full name | Hantz Financial Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-51291 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 799 | |
i. Full name | Investment Professionals, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-44786 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 800 | |
i. Full name | Paradigm Equities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-45593 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 801 | |
i. Full name | Detalus Securities, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-52180 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 802 | |
i. Full name | Sterling Monroe Securities, 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 803 | |
i. Full name | Investacorp, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-22598 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 804 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 805 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 806 | |
i. Full name | Folger Nolan Fleming Douglas Incorporated |
ii. LEI, if any, or provide and describe other identifying number | 8-03335 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 807 | |
i. Full name | Oscar Gruss & Son Incorporated |
ii. LEI, if any, or provide and describe other identifying number | 8-22371 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 808 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 809 | |
i. Full name | Sweney Cartwright & Company |
ii. LEI, if any, or provide and describe other identifying number | 8-03150 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 810 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 811 | |
i. Full name | TCM Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-50313 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 812 | |
i. Full name | Capital One Investing LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-51160 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 813 | |
i. Full name | Access Investments, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-49750 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 814 | |
i. Full name | Mid Atlantic Capital Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-27663 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 815 | |
i. Full name | H.D. Vest Investment Services |
ii. LEI, if any, or provide and describe other identifying number | 8-29533 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 816 | |
i. Full name | Western International Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-48572 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 817 | |
i. Full name | Wells Fargo Securities, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-65876 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 818 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 819 | |
i. Full name | Arete Wealth Management, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-50854 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 820 | |
i. Full name | Watermark Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-43902 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 821 | |
i. Full name | Hartford Funds Management Company, LLC |
ii. LEI, if any, or provide and describe other identifying number | 801-77209 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 822 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 823 | |
i. Full name | First Western Advisors |
ii. LEI, if any, or provide and describe other identifying number | 8-28729 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 824 | |
i. Full name | G.F. Investment Services, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-66659 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 825 | |
i. Full name | Brazos Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-39119 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 826 | |
i. Full name | Forest Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-33568 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 827 | |
i. Full name | Boenning & Scattergood, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-15543 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 828 | |
i. Full name | ICMA-RC Services, Inc. |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 829 | |
i. Full name | FSB Warner Financial, 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 830 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 831 | |
i. Full name | Sycamore Financial Group |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 832 | |
i. Full name | Geoffrey Richards Securities Corp. |
ii. LEI, if any, or provide and describe other identifying number | 8-65251 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 833 | |
i. Full name | P. R. Herzig & Co. Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-22589 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 834 | |
i. Full name | The Lawrence D. Vitez Corp. DBA Consolidated Securities |
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 | 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 835 | |
i. Full name | Wellington Shields & Co., LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-68098 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 836 | |
i. Full name | VOYA Financial Advisors, 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 837 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 838 | |
i. Full name | United Planners' Financial Services of America A Limited Partner |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
b. Has a shareholder servicing agent been hired or terminated during the reporting period? | ![]() ![]() |
Item C.14. Administrators.
a. Provide the following information about each administrator of the Fund: |
Administrators Record: 1 | |
i. Full name | JPMorgan Chase Bank, N.A. |
ii. LEI, if any, or other identifying number | 7H6GLXDRUGQFU57RNE97 |
Description of other identifying number | |
iii. State, if applicable | NEW YORK |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the administrator an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the administrator a sub-administrator? | ![]() ![]() |
Administrators Record: 2 | |
i. Full name | BlackRock Advisors, LLC |
ii. LEI, if any, or other identifying number | 5493001LN9MRM6A35J74 |
Description of other identifying number | |
iii. State, if applicable | DELAWARE |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the administrator an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the administrator a sub-administrator? | ![]() ![]() |
b.Has a third-party administrator been hired or terminated during the reporting period? | ![]() ![]() |
Item C.15. Affiliated broker-dealers.
Provide the following information about each affiliated broker-dealer: |
Broker Dealers Record: 1 | |
a. Full name | BlackRock Execution Services |
b. SEC file number | 8-48719 |
c. CRD number | 000039438 |
d. LEI, if any | 549300HFCRQ0NT5KY652 |
e. State, if applicable | NEW YORK |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0 |
Broker Dealers Record: 2 | |
a. Full name | BlackRock Investments, LLC |
b. SEC file number | 8-48436 |
c. CRD number | 000038642 |
d. LEI, if any | N/A |
e. State, if applicable | NEW YORK |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0 |
Item C.16. Brokers.
Instructions to Item C.16 and Item C.17. To help Registrants distinguish between agency and principal transactions, and to promote consistent reporting of the information required by these items, the following criteria should be used: 1. If a security is purchased or sold in a transaction for which the confirmation specifies the amount of the commission to be paid by the Registrant, the transaction should be considered an agency transaction and included in determining the answers to Item C.16. 2. If a security is purchased or sold in a transaction for which the confirmation specifies only the net amount to be paid or received by the Registrant and such net amount is equal to the market value of the security at the time of the transaction, the transaction should be considered a principal transaction and included in determining the amounts in Item C.17. 3. If a security is purchased by the Registrant in an underwritten offering, the acquisition should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the underwriters are receiving from the issuer. 4. If a security is sold by the Registrant in a tender offer, the sale should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the offeror is paying to soliciting brokers or dealers. 5. If a security is purchased directly from the issuer (such as a bank CD), the purchase should be considered a principal transaction and included in answering Item C.17. 6. The value of called or maturing securities should not be counted in either agency or principal transactions and should not be included in determining the amounts shown in Item C.16 and Item C.17. This means that the acquisition of a security may be included, but it is possible that its disposition may not be included. Disposition of a repurchase agreement at its expiration date should not be included. 7. The purchase or sales of securities in transactions not described in paragraphs (1) through (6) above should be evaluated by the Fund based upon the guidelines established in those paragraphs and classified accordingly. The agents considered in Item C.16 may be persons or companies not registered under the Exchange Act as securities brokers. The persons or companies from whom the investment company purchased or to whom it sold portfolio instruments on a principal basis may be persons or entities not registered under the Exchange Act as securities dealers. |
a. For each of the ten brokers that received the largest dollar amount of brokerage commissions (excluding dealer concessions in underwritings) by virtue of direct or indirect participation in the Fund’s portfolio transactions, provide the information below: |
i. Full name of broker | |
ii. SEC file number | |
iii. CRD number | |
iv. LEI, if any | |
v. State, if applicable | |
vi. Foreign country, if applicable | |
vii. Gross commissions paid by the Fund for the reporting period |
b. Aggregate brokerage commissions paid by Fund during the reporting period: | 0 |
Item C.17. Principal transactions.
a. For each of the ten entities acting as principals with which the Fund did the largest dollar amount of principal transactions (include all short-term obligations, and U.S. government and tax-free securities) in both the secondary market and in underwritten offerings, provide the information below: |
Principal Transactions Record: 1 | |
i. Full name of dealer | Citigroup Global Markets, Inc. |
ii. SEC file number | 8-08177 |
iii. CRD number | 000007059 |
iv. LEI, if any | MBNUM2BPBDO7JBLYG310 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 4415037321.93 |
Principal Transactions Record: 2 | |
i. Full name of dealer | Mizuho Securities USA LLC |
ii. SEC file number | 8-37710 |
iii. CRD number | 000019647 |
iv. LEI, if any | 549300HS3WTRS6D88H32 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 2498027699.2000003 |
Principal Transactions Record: 3 | |
i. Full name of dealer | HSBC Securities (USA) Inc. |
ii. SEC file number | 8-41562 |
iii. CRD number | 000019585 |
iv. LEI, if any | CYYGQCGNHMHPSMRL3R97 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 1107326290.19 |
Principal Transactions Record: 4 | |
i. Full name of dealer | Wells Fargo Securities LLC |
ii. SEC file number | 8-65876 |
iii. CRD number | 000126292 |
iv. LEI, if any | VYVVCKR63DVZZN70PB21 |
v. State, if applicable | NORTH CAROLINA |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 2075936420.21 |
Principal Transactions Record: 5 | |
i. Full name of dealer | Deutsche Bank Securities, Inc. |
ii. SEC file number | 8-17822 |
iii. CRD number | 000002525 |
iv. LEI, if any | 9J6MBOOO7BECTDTUZW19 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 1062198684.9699999 |
Principal Transactions Record: 6 | |
i. Full name of dealer | U.S. Bancorp Investments, Inc. |
ii. SEC file number | 8-35359 |
iii. CRD number | 000017868 |
iv. LEI, if any | N1GZ7BBF3NP8GI976H15 |
v. State, if applicable | MINNESOTA |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 4220950388.68 |
Principal Transactions Record: 7 | |
i. Full name of dealer | Barclays Capital, Inc. |
ii. SEC file number | 8-41342 |
iii. CRD number | 000019714 |
iv. LEI, if any | AC28XWWI3WIBK2824319 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 1252934060.63 |
Principal Transactions Record: 8 | |
i. Full name of dealer | Nomura Securities International, Inc. |
ii. SEC file number | 8-15255 |
iii. CRD number | 000004297 |
iv. LEI, if any | OXTKY6Q8X53C9ILVV871 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 7655688497.8 |
Principal Transactions Record: 9 | |
i. Full name of dealer | J.P. Morgan Securities LLC |
ii. SEC file number | 8-35008 |
iii. CRD number | 000000079 |
iv. LEI, if any | ZBUT11V806EZRVTWT807 |
v. State, if applicable | OHIO |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 7542088370.52 |
Principal Transactions Record: 10 | |
i. Full name of dealer | BofA Securities, Inc. |
ii. SEC file number | 8-69787 |
iii. CRD number | 000283942 |
iv. LEI, if any | 549300HN4UKV1E2R3U73 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 2766384155.7799997 |
b. Aggregate value of principal purchase/sale transactions of Fund during the reporting period: | 39420463466.009995 |
Item C.18. Payments for brokerage and research.
During the reporting period, did the Fund pay commissions to broker-dealers for "brokerage and research services" within the meaning of section 28(e) of the Exchange Act (15 U.S.C. 78bb)? | ![]() ![]() |
Item C.19. Average net assets.
a. Provide the Fund's (other than a money market fund's) monthly average net assets during the reporting period | |
b. Provide the money market fund's daily average net assets during the reporting period | 3140445241.98 |
Item C.20. Lines of credit, interfund lending and interfund borrowing.
a. Does the Fund have available a line of credit? | ![]() ![]() |
b. Did the Fund engage in interfund lending? | ![]() ![]() |
c.Did the Fund engage in interfund borrowing? | ![]() ![]() |
Management Investment Record: 2 |
Item C.1. Background information.
a. Full Name of the Fund | TempFund |
b. Series identication number, if any | S000001472 |
c. LEI | 549300G1JT7AZ9HXPG86 |
d. Is this the first filing on this form by the Fund? | ![]() ![]() |
Item C.2. Classes of open-end management investment companies.
a. How many Classes of shares of the Fund (if any) are authorized? | 10 |
b. How many new Classes of shares of the Fund were added during the reporting period? | 0 |
c. How many Classes of shares of the Fund were terminated during the reporting period? | 0 |
d. For each Class with shares outstanding, provide the information requested below: | |
Shares Outstanding Record: 1 | |
i. Full name of Class | Dollar |
ii. Class identification number, if any | C000003897 |
iii. Ticker symbol, if any | TDOXX |
Shares Outstanding Record: 2 | |
i. Full name of Class | Private Client |
ii. Class identification number, if any | C000003903 |
iii. Ticker symbol, if any | BTVXX |
Shares Outstanding Record: 3 | |
i. Full name of Class | Administration |
ii. Class identification number, if any | C000003898 |
iii. Ticker symbol, if any | BTMXX |
Shares Outstanding Record: 4 | |
i. Full name of Class | Institutional |
ii. Class identification number, if any | C000003896 |
iii. Ticker symbol, if any | TMPXX |
Shares Outstanding Record: 5 | |
i. Full name of Class | Cash Reserve |
ii. Class identification number, if any | C000003900 |
iii. Ticker symbol, if any | BRRXX |
Shares Outstanding Record: 6 | |
i. Full name of Class | Cash Management |
ii. Class identification number, if any | C000003899 |
iii. Ticker symbol, if any | BRTXX |
Item C.3. Type of fund.
Instructions. 1. "Fund of Funds" means a fund that acquires securities issued by any other investment company in excess of the amounts permitted under paragraph (A) of section 12(d)(1) of the Act (15 U.S.C. 80a-12(d)(1)(A)), but, for purposes of this Item, does not include a fund that acquires securities issued by another company solely in reliance on rule 12d1-1 under the Act (CFR 270.12d1-1). 2. "Index Fund" means an investment company, including an Exchange-Traded Fund, that seeks to track the performance of a specified index. 3. "Interval Fund" means a closed-end management investment company that makes periodic repurchases of its shares pursuant to rule 23c-3 under the Act (17 CFR 270.23c-3). 4. "Master-Feeder Fund" means a two-tiered arrangement in which one or more funds (each a feeder fund) holds shares of a single Fund (the master fund) in accordance with section 12(d)(1)(E) of the Act (15 U.S.C. 80a-12(d)(1)(E)) or pursuant to exemptive relief granted by the Commission. 5. "Target Date Fund" means an investment company that has an investment objective or strategy of providing varying degrees of long-term appreciation and capital preservation through a mix of equity and fixed income exposures that changes over time based on an investor's age, target retirement date, or life expectancy. |
Indicate if the Fund is any one of the types listed below. Check all that apply. |
a. Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund i. ![]() ii. ![]() b. ![]() c. ![]() d. ![]() e. ![]() f. ![]() g. ![]() h. ![]() i. ![]() ![]() |
Item C.4. Diversification.
Does the Fund seek to operate as a “non-diversified company” as such term is defined in section 5(b)(2) of the Act (15 U.S.C. 80a- 5(b) (2))? | ![]() ![]() |
Item C.5. Investments in certain foreign corporations.
Instruction. "Controlled foreign corporation" has the meaning provided in section 957 of the Internal Revenue Code [26 U.S.C. 957]. |
a. Does the fund invest in a controlled foreign corporation for the purpose of investing in certain types of instruments such as, but not limited to, commodities? | ![]() ![]() |
Item C.6. Securities lending.
Instruction. For purposes of this Item, other adverse impacts would include, for example, (1) a loss to the Fund if collateral and indemnification were not sufficient to replace the loaned securities or their value, (2) the Fund's ineligibility to vote shares in a proxy, or (3) the Fund's ineligibility to receive a direct distribution from the issuer. |
a. Is the Fund authorized to engage in securities lending transactions? | ![]() ![]() |
b. Did the Fund lend any of its securities during the reporting period? | ![]() ![]() |
c. Provide the information requested below about each securities lending agent, if any, retained by the Fund: |
Securities Lending Record: 1 | |
i. Full name of securities lending agent | BlackRock Investment Management, LLC |
ii. LEI, if any | 5493006MRTEZZ4S4CQ20 |
iii. Is the securities lending agent an affiliated person, or an affiliated person of an affiliated person, of the Fund? | ![]() ![]() |
iv. Does the securities lending agent or any other entity indemnify the fund against borrower default on loans administered by this agent? | ![]() ![]() |
v. If the entity providing the indemnification is not the securities lending agent, provide the following information: |
Idemnity Providers Record: 1 |
1. Name of person providing indemnification | N/A |
2. LEI, if any, of person providing indemnification | N/A |
vi. Did the Fund exercise its indemnification rights during the reporting period? | ![]() ![]() |
d. If a person providing cash collateral management services to the Fund in connection with the Fund's securities lending activities does not also serve as securities lending agent, provide the following information about each cash collateral manager: |
i. Full name of cash collateral manager: | |
ii. LEI, if any: | |
iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund? | ![]() ![]() |
iv. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of the Fund? | ![]() ![]() |
e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply): | ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
If other, describe: | Rebates paid to borrowers |
f. Provide the monthly average of the value of portfolio securities on loan during the reporting period | N/A |
g. Provide the net income from securities lending activities | N/A |
Item C.7. Reliance on certain rules.
Did the Fund rely on any of the following rules under the Act during the reporting period? (check all that apply) | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Item C.8. Expense limitations.
Instruction. Provide information concerning any direct or indirect limitations, waivers or reductions, on the level of expenses incurred by the fund during the reporting period. A limitation, for example, may be applied indirectly (such as when an adviser agrees to accept a reduced fee pursuant to a voluntary fee waiver) or it may apply only for a temporary period such as for a new fund in its start-up phase. |
a. Did the Fund have an expense limitation arrangement in place during the reporting period? | ![]() ![]() |
b. Were any expenses of the Fund reduced or waived pursuant to an expense limitation arrangement during the reporting period? | ![]() ![]() |
c. Are the fees waived subject to recoupment? | ![]() ![]() |
d. Were any expenses previously waived recouped during the period? | ![]() ![]() |
Item C.9. Investment advisers.
a. Provide the following information about each investment adviser (other than a sub-adviser) of the Fund: |
Investment Advisers Record: 1 | |
i. Full name | BlackRock Advisors, LLC |
ii. SEC file number ( e.g., 801- ) | 801-47710 |
iii.CRD number | 000106614 |
iv. LEI, if any | 5493001LN9MRM6A35J74 |
v. State, if applicable | DELAWARE |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Was the investment adviser hired during the reporting period? | ![]() ![]() |
b. If an investment adviser (other than a sub- adviser) to the Fund was terminated during the reporting period, provide the following with respect to each investment adviser: |
i. Full name | |
ii. SEC file number ( e.g., 801- ) | |
iii. CRD number | |
iv. LEI, if any | |
v. State, if applicable | |
vi. Foreign country, if applicable | |
vii. Termination date |
c. For each sub-adviser to the Fund, provide the information requested: |
i. Full name | |
ii. SEC file number ( e.g., 801- ), if applicable | |
iii. CRD number | |
iv. LEI, if any | |
v. State, if applicable | |
vi. Foreign country, if applicable | |
vii. Is the sub-adviser an affiliated person of the Fund's investment adviser(s)? | ![]() ![]() |
viii. Was the sub-adviser hired during the reporting period? | ![]() ![]() |
d. If a sub-adviser was terminated during the reporting period, provide the following with respect to such sub-adviser: |
i. Full name | |
ii. SEC file number ( e.g., 801- ) | |
iii. CRD number | |
iv. LEI, if any | |
v. State, if applicable | |
vi. Foreign country, if applicable | |
vii. Termination date |
Item C.10. Transfer agents.
a. Provide the following information about each person providing transfer agency services to the Fund: |
Transfer Agents Record: 1 | |
i. Full name | BNY Mellon Investment Servicing (US) Inc. |
ii.SEC file number ( e.g., 84- or 85- ) | 84-01761 |
iii. LEI, if any | 549300CFZQLI9QMJ1Z03 |
iv. State, if applicable | DELAWARE |
v. Foreign country, if applicable | UNITED STATES OF AMERICA |
vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vii. Is the transfer agent a sub-transfer agent? | ![]() ![]() |
b. Has a transfer agent been hired or terminated during the reporting period? | ![]() ![]() |
Item C.11. Pricing services.
a. Provide the following information about each person that provided pricing services to the Fund during the reporting period: |
Pricing Services Record: 1 | |
i. Full name | ICE Data Pricing & Reference Data, LLC |
ii. LEI, if any, or provide and describe other identifying number | 5493000NQ9LYLDBCTL34 |
Description of other identifying number | |
iii. State, if applicable | NEW YORK |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
b. Was a pricing service hired or terminated during the reporting period? | ![]() ![]() |
Item C.12. Custodians.
a. Provide the following information about each person that provided custodial services to the Fund during the reporting period: |
Custodians Record: 1 | |
i. Full name | The Bank of New York Mellon |
ii. LEI, if any | HPFHU0OQ28E4N0NFVK49 |
iii. State, if applicable | NEW YORK |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 2 | |
i. Full name | Euroclear Bank SA/NV |
ii. LEI, if any | 549300OZ46BRLZ8Y6F65 |
iii. State, if applicable | |
iv. Foreign country, if applicable | BELGIUM |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 3 | |
i. Full name | JPMorgan Chase Bank, N.A. |
ii. LEI, if any | 7H6GLXDRUGQFU57RNE97 |
iii. State, if applicable | NEW YORK |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
b. Has a custodian been hired or terminated during the reporting period?* | ![]() ![]() |
Item C.13. Shareholder servicing agents.
a. Provide the following information about each shareholder servicing agent of the Fund: |
Shareholder servicing agents Record: 1 | |
i. Full name | ABD Retirement Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-69271 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 2 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 3 | |
i. Full name | American Independent Securities Group, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-66905 |
Description of other identifying number | SEC File Number |
iii. State, if applicable | IDAHO |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 4 | |
i. Full name | Ameritas Investment Corp. |
ii. LEI, if any, or provide and describe other identifying number | 8-31296 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 5 | |
i. Full name | American Portfolios Financial Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-37085 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 6 | |
i. Full name | Avisen Securities, 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 7 | |
i. Full name | Axiom Capital Management, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-42638 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 8 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 9 | |
i. Full name | Cadaret, Grant & Co., Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-27844 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 10 | |
i. Full name | BTS Securities Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-26818 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 11 | |
i. Full name | Calton & Associates, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-38635 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 12 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 13 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 14 | |
i. Full name | Commerce Brokerage Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-35096 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 15 | |
i. Full name | First Southern, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-69733 |
Description of other identifying number | SEC File Number |
iii. State, if applicable | PUERTO RICO |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 16 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 17 | |
i. Full name | Gardner Financial Services, 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 18 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 19 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 20 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 21 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 22 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 23 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 24 | |
i. Full name | J.P. Morgan Securities LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-35008 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 25 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 26 | |
i. Full name | Mesirow Financial, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-28816 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 27 | |
i. Full name | Nationwide Securities, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-12500 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 28 | |
i. Full name | Nicol Investors Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-65566 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 29 | |
i. Full name | PFS Investments Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-26486 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 30 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 31 | |
i. Full name | RBC Capital Markets, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-45411 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 32 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 33 | |
i. Full name | Stephens Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-01927 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 34 | |
i. Full name | Trade-PMR 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 35 | |
i. Full name | UMB Financial Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-34999 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 36 | |
i. Full name | Wayne Hummer Investments, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-00484 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 37 | |
i. Full name | Wells Fargo Securities, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-65876 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 38 | |
i. Full name | Wheelhouse Securities Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-68105 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 39 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 40 | |
i. Full name | Woodstock Financial Group, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-48080 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 41 | |
i. Full name | Westport Resources Investment Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-40904 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 42 | |
i. Full name | 1st Discount Brokerage, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-48557 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 43 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 44 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 45 | |
i. Full name | Advisory Group Equity 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 46 | |
i. Full name | World Trend Financial Planning Services, Ltd. |
ii. LEI, if any, or provide and describe other identifying number | 8-43693 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 47 | |
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 | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 48 | |
i. Full name | Amegy Investments, Inc. (Zions) |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 49 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 50 | |
i. Full name | Benefit Trust Company |
ii. LEI, if any, or provide and describe other identifying number | N/A |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 51 | |
i. Full name | Calamar Financial Group |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 52 | |
i. Full name | ARCA Capital Investments, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-53110 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 53 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 54 | |
i. Full name | Bill Few Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-49625 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 55 | |
i. Full name | CBIZ Financial Solutions, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-34205 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 56 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 57 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 58 | |
i. Full name | Capital One Investing LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-51160 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 59 | |
i. Full name | CGIS Securities LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-68758 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 60 | |
i. Full name | ADCAP Securities |
ii. LEI, if any, or provide and describe other identifying number | 8-51285 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 61 | |
i. Full name | Commonwealth Equity Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-24040 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 62 | |
i. Full name | American Financial Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-53205 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 63 | |
i. Full name | Coldstream Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-51549 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 64 | |
i. Full name | 1st Global Capital Corp. |
ii. LEI, if any, or provide and describe other identifying number | 8-44870 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 65 | |
i. Full name | Empire Asset Management Company |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 66 | |
i. Full name | Fifth Third Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-02428 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 67 | |
i. Full name | Fairport Capital, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-32162 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 68 | |
i. Full name | First Command Financial Planning, 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 69 | |
i. Full name | American Enterprise Investment Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-42582 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 70 | |
i. Full name | Arete Wealth Management, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-50854 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 71 | |
i. Full name | Andbanc Brokerage, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-68759 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 72 | |
i. Full name | ACA/Prudent Investors Planning Corporation |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 73 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 74 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 75 | |
i. Full name | Cascade Investment Group, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-46943 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 76 | |
i. Full name | Capital Financial Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-25203 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 77 | |
i. Full name | Arkadios Capital |
ii. LEI, if any, or provide and describe other identifying number | 8-69729 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 78 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 79 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 80 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 81 | |
i. Full name | Allianz Life Financial Services, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-13630 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 82 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 83 | |
i. Full name | American Financial Associates, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-44065 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 84 | |
i. Full name | Arque Capital, Ltd. |
ii. LEI, if any, or provide and describe other identifying number | 8-65390 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 85 | |
i. Full name | GWN Securities Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-66185 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 86 | |
i. Full name | Avalon Investment & Securities Group, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-17078 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 87 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 88 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 89 | |
i. Full name | David Lerner Associates, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-20746 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 90 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 91 | |
i. Full name | E. E. Powell & Company Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-01893 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 92 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 93 | |
i. Full name | BFT Financial Group, 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 94 | |
i. Full name | BTG Pactual US Capital, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-68148 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 95 | |
i. Full name | Century Securities Associates, Inc. |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 96 | |
i. Full name | Dougherty & Company LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-21937 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 97 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 98 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 99 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 100 | |
i. Full name | Benjamin F. Edwards & Company, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-68023 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 101 | |
i. Full name | Federated Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-15644 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 102 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 103 | |
i. Full name | First Honolulu Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-23919 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 104 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 105 | |
i. Full name | Interactive Brokers LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-47257 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 106 | |
i. Full name | InvestShares (Legal name: IMA Securities LLC) |
ii. LEI, if any, or provide and describe other identifying number | 8-68365 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 107 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 108 | |
i. Full name | Feldstein Financial Group, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-53388 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 109 | |
i. Full name | Institutional Securities Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-38158 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 110 | |
i. Full name | Centennial Securities Company, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-23406 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 111 | |
i. Full name | Investment Planners, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-35642 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 112 | |
i. Full name | GWFS Equities, 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 113 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 114 | |
i. Full name | Lieblong & Associates, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-49880 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 115 | |
i. Full name | Financial Services International Corp. |
ii. LEI, if any, or provide and describe other identifying number | 8-48032 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 116 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 117 | |
i. Full name | Folger Nolan Fleming Douglas Incorporated |
ii. LEI, if any, or provide and describe other identifying number | 8-03335 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 118 | |
i. Full name | JHW Financial Services Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-45304 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 119 | |
i. Full name | Freimark Blair & Company, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-28646 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 120 | |
i. Full name | Alight Financial Solutions LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-47344 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 121 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 122 | |
i. Full name | Hanson McClain Securities |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 123 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 124 | |
i. Full name | M&T Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-35185 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 125 | |
i. Full name | CUNA Brokerage Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-30027 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 126 | |
i. Full name | Hancock Investment Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-49106 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 127 | |
i. Full name | Hennion & Walsh, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-41988 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 128 | |
i. Full name | Glen Eagle Advisors LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-65678 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 129 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 130 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 131 | |
i. Full name | Horace Mann Life Insurance Co. |
ii. LEI, if any, or provide and describe other identifying number | 5493000HR2JKKNH2FL09 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 132 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 133 | |
i. Full name | Huntleigh Securities Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-21893 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 134 | |
i. Full name | Mid-Atlantic Clearing & Settlement Corp. |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 135 | |
i. Full name | Investment Placement Group |
ii. LEI, if any, or provide and describe other identifying number | 8-30700 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 136 | |
i. Full name | Monere Investments, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-52982 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 137 | |
i. Full name | B.C. Ziegler & Company |
ii. LEI, if any, or provide and describe other identifying number | 8-00094 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 138 | |
i. Full name | BC Securities, Inc. (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 | 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 139 | |
i. Full name | KCD Financial, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-66005 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 140 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 141 | |
i. Full name | Carter, Terry & Company, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-33797 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 142 | |
i. Full name | LaBrunerie Financial Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-47830 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 143 | |
i. Full name | Larson Financial Securities, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-68456 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 144 | |
i. Full name | Ladenburg Thalman & Co. Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-17230 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 145 | |
i. Full name | North Ridge Securities Corp. |
ii. LEI, if any, or provide and describe other identifying number | 8-42879 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 146 | |
i. Full name | IDB Capital Corp. |
ii. LEI, if any, or provide and describe other identifying number | 8-53000 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 147 | |
i. Full name | NYLife Securities LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-15517 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 148 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 149 | |
i. Full name | Key Investment Services LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-66999 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 150 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 151 | |
i. Full name | P. R. Herzig & Co. Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-22589 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 152 | |
i. Full name | Loria Financial Group, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-52128 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 153 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 154 | |
i. Full name | Infinex Investments, 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 155 | |
i. Full name | Credit Suisse Securities (USA) LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-00422 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 156 | |
i. Full name | M Holdings Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-50214 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 157 | |
i. Full name | Podesta & Co. |
ii. LEI, if any, or provide and describe other identifying number | 8-28860 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 158 | |
i. Full name | Mack Investment Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-35536 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 159 | |
i. Full name | Mid Atlantic Capital Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-27663 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 160 | |
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 | 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 161 | |
i. Full name | Princor Financial Services Corporation |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 162 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 163 | |
i. Full name | National Financial Services, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-26740 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 164 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 165 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 166 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 167 | |
i. Full name | DesPain Financial Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-37056 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 168 | |
i. Full name | RF Lafferty & Co |
ii. LEI, if any, or provide and describe other identifying number | 8-25581 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 169 | |
i. Full name | Oriental Financial Services Corp. |
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 | PUERTO RICO |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 170 | |
i. Full name | R.M. Stark & Co., Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-22543 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 171 | |
i. Full name | Fidelity Brokerage Services LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-23292 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 172 | |
i. Full name | First Heartland Capital, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-46008 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 173 | |
i. Full name | Robinson & Robinson, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-17109 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 174 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 175 | |
i. Full name | Riversource Distributors, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-67196 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 176 | |
i. Full name | Old National Trust Company |
ii. LEI, if any, or provide and describe other identifying number | 028-00344 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 177 | |
i. Full name | OFG Financial Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-40770 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 178 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 179 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 180 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 181 | |
i. Full name | Piper Jaffray & Co. |
ii. LEI, if any, or provide and describe other identifying number | 8-15204 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 182 | |
i. Full name | Rodgers Brothers, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-33475 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 183 | |
i. Full name | Planned Financial Programs, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-05727 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 184 | |
i. Full name | Sigma Financial Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-30466 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 185 | |
i. Full name | Fortune Financial Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-49727 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 186 | |
i. Full name | Repex & Co., Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-26431 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 187 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 188 | |
i. Full name | Raymond James Financial Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-17983 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 189 | |
i. Full name | Reliance Worldwide Investments, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-67575 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 190 | |
i. Full name | Samuel A Ramirez & Co., Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-19014 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 191 | |
i. Full name | Silber Bennett Financial, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-68795 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 192 | |
i. Full name | Stannard Financial Services, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-50654 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 193 | |
i. Full name | SWBC Investment Services, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-66764 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 194 | |
i. Full name | SEI Private Trust Company |
ii. LEI, if any, or provide and describe other identifying number | 028-10625 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 195 | |
i. Full name | H. Beck, Inc. |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 196 | |
i. Full name | SECU Brokerage Services |
ii. LEI, if any, or provide and describe other identifying number | 8-37927 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 197 | |
i. Full name | Sentinel Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-53142 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 198 | |
i. Full name | Schlitt Investor Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-34202 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 199 | |
i. Full name | Sycamore Financial Group |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 200 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 201 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 202 | |
i. Full name | Sterling Monroe Securities, 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 203 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 204 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 205 | |
i. Full name | Hantz Financial Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-51291 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 206 | |
i. Full name | Simmons First Investment Group, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-51795 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 207 | |
i. Full name | Landaas & Company |
ii. LEI, if any, or provide and describe other identifying number | 8-51826 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 208 | |
i. Full name | Keystone Capital 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 209 | |
i. Full name | Kalos Capital, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-50630 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 210 | |
i. Full name | The Lawrence D. Vitez Corp. DBA Consolidated Securities |
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 | 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 211 | |
i. Full name | Uhlmann Price Securities, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-50041 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 212 | |
i. Full name | Hartford Life Insurance Company |
ii. LEI, if any, or provide and describe other identifying number | 8CE7JPU9IU72L3PPD756 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 213 | |
i. Full name | Lincoln Investment Planning, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-14354 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 214 | |
i. Full name | VBC Securities, LLC |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 215 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 216 | |
i. Full name | Morgan Stanley & Co. LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-15869 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 217 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 218 | |
i. Full name | Lockton Financial Advisors, 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 219 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 220 | |
i. Full name | TD Ameritrade Clearing, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-16335 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 221 | |
i. Full name | The Jeffrey Matthews Financial Group, L.L.C. |
ii. LEI, if any, or provide and describe other identifying number | 8-49352 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 222 | |
i. Full name | Guardian Insurance & Annuity Company, Inc., The |
ii. LEI, if any, or provide and describe other identifying number | TGIU5N0SIMULU6I57R64 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 223 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 224 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 225 | |
i. Full name | Newport Retirement Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | N/A |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 226 | |
i. Full name | Whitehall-Parker Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-27688 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 227 | |
i. Full name | Wall Street Access |
ii. LEI, if any, or provide and describe other identifying number | 8-25936 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 228 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 229 | |
i. Full name | Stonnington Group, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-66919 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 230 | |
i. Full name | World Choice Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-45235 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 231 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 232 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 233 | |
i. Full name | Treasure Financial Corp. |
ii. LEI, if any, or provide and describe other identifying number | 8-48165 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 234 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 235 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 236 | |
i. Full name | Teachers Insurance and Annuity Association of America |
ii. LEI, if any, or provide and describe other identifying number | O06YD7BJ4EPYNABVFN69 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 237 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 238 | |
i. Full name | Benefit Plans Administrative Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | N/A |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 239 | |
i. Full name | State Farm VP Management Corp |
ii. LEI, if any, or provide and describe other identifying number | 8-50128 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 240 | |
i. Full name | Fifth Third Bank |
ii. LEI, if any, or provide and describe other identifying number | QFROUN1UWUYU0DVIWD51 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 241 | |
i. Full name | Saturna Trust Company |
ii. LEI, if any, or provide and describe other identifying number | N/A |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 242 | |
i. Full name | Aufhaser Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-48786 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 243 | |
i. Full name | Northern Capital Securities Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-49130 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 244 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 245 | |
i. Full name | Northeastern Financial Group, Incorporated |
ii. LEI, if any, or provide and describe other identifying number | 8-33132 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 246 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 247 | |
i. Full name | Oscar Gruss & Son Incorporated |
ii. LEI, if any, or provide and describe other identifying number | 8-22371 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 248 | |
i. Full name | TCM Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-50313 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 249 | |
i. Full name | Omni Financial Securities |
ii. LEI, if any, or provide and describe other identifying number | 8-44034 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 250 | |
i. Full name | Peak Brokerage Services, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-68829 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 251 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 252 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 253 | |
i. Full name | Proequities, 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 254 | |
i. Full name | Sisung Securities Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-42121 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 255 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 256 | |
i. Full name | Security Distributors, Inc. |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 257 | |
i. Full name | Transamerica Financial Advisors, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-33429 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 258 | |
i. Full name | Triad Advisors, Inc. |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 259 | |
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 | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 260 | |
i. Full name | Weller, Anderson & Co., 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 261 | |
i. Full name | ViewTrade Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-51605 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 262 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 263 | |
i. Full name | William Blair & Company L.L.C. |
ii. LEI, if any, or provide and describe other identifying number | 8-02698 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 264 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 265 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 266 | |
i. Full name | Concord Wealth Brokerage |
ii. LEI, if any, or provide and describe other identifying number | 8-41511 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 267 | |
i. Full name | GLP Investment Services |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 268 | |
i. Full name | John Hancock Trust Company |
ii. LEI, if any, or provide and describe other identifying number | 549300W205WZCFZS6R51 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 269 | |
i. Full name | Winslow, Evans & Crocker, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-44347 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 270 | |
i. Full name | Nest Investments BD, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-70117 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 271 | |
i. Full name | XP Securities, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-68817 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 272 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 273 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 274 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 275 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 276 | |
i. Full name | Brazos Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-39119 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 277 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 278 | |
i. Full name | Bolton Global Capital |
ii. LEI, if any, or provide and describe other identifying number | 8-33222 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 279 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 280 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 281 | |
i. Full name | BCG Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-12680 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 282 | |
i. Full name | BOSC, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-35381 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 283 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 284 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 285 | |
i. Full name | Caldwell Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-27639 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 286 | |
i. Full name | Capitol Securities Management, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-30353 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 287 | |
i. Full name | Cetera Advisors LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-26892 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 288 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 289 | |
i. Full name | Cetera Financial Specialists LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-27082 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 290 | |
i. Full name | D.H. Hill Securities LLP |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 291 | |
i. Full name | Coker & Palmer, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-44129 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 292 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 293 | |
i. Full name | Centaurus Financial, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-45185 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 294 | |
i. Full name | Corinthian Partners, L.L.C. |
ii. LEI, if any, or provide and describe other identifying number | 8-48461 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 295 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 296 | |
i. Full name | Crews & Associates, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-24075 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 297 | |
i. Full name | Crescent Securities Group |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 298 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 299 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 300 | |
i. Full name | E*Trade Savings Bank |
ii. LEI, if any, or provide and describe other identifying number | 549300DXPO50FJ75QA85 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 301 | |
i. Full name | Etico Partners, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-65500 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 302 | |
i. Full name | Feltl & Company |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 303 | |
i. Full name | FSB Warner Financial, 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 304 | |
i. Full name | Essex Financial Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-66015 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 305 | |
i. Full name | Family Investors Company |
ii. LEI, if any, or provide and describe other identifying number | 8-11190 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 306 | |
i. Full name | Fiduciary Trust International |
ii. LEI, if any, or provide and describe other identifying number | N1YKEWO2IYPRS4742F57 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 307 | |
i. Full name | Foresters Financial Services |
ii. LEI, if any, or provide and describe other identifying number | 8-13891 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 308 | |
i. Full name | H. C. Denison Co. |
ii. LEI, if any, or provide and describe other identifying number | 8-00044 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 309 | |
i. Full name | Harvest Financial Corporation |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 310 | |
i. Full name | Hornor, Townsend & Kent, Inc. |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 311 | |
i. Full name | Integral Financial LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-65284 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 312 | |
i. Full name | International Assets Advisory, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-27736 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 313 | |
i. Full name | International Research Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-37954 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 314 | |
i. Full name | Jack V. Butterfield Investment Company |
ii. LEI, if any, or provide and describe other identifying number | 8-12454 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 315 | |
i. Full name | Hilltop Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-45123 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 316 | |
i. Full name | Fieldpoint Private 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 317 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 318 | |
i. Full name | David A. Noyes & Company |
ii. LEI, if any, or provide and describe other identifying number | 8-22752 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 319 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 320 | |
i. Full name | K. W. Chambers & CO. |
ii. LEI, if any, or provide and describe other identifying number | 8-10533 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 321 | |
i. Full name | JJB Hilliard WL Lyons |
ii. LEI, if any, or provide and describe other identifying number | 8-33133 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 322 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 323 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 324 | |
i. Full name | MBSC Securities Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-13801 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 325 | |
i. Full name | CRI Securities, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-39877 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 326 | |
i. Full name | HSBC Securities (USA), Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-41562 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 327 | |
i. Full name | Mid-Atlantic Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-36997 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 328 | |
i. Full name | MMC Securities Corp. |
ii. LEI, if any, or provide and describe other identifying number | 8-52349 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 329 | |
i. Full name | Morris Group, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-28916 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 330 | |
i. Full name | Merrill Lynch, Pierce, Fenner & Smith Incorporated |
ii. LEI, if any, or provide and describe other identifying number | 8-07221 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 331 | |
i. Full name | Mora WM Securities, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-68910 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 332 | |
i. Full name | Ohanesian / Lecours, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-40729 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 333 | |
i. Full name | Pacific Financial Associates, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-40712 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 334 | |
i. Full name | PNC Capital Markets LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-32493 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 335 | |
i. Full name | Nationwide Planning Associates Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-45310 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 336 | |
i. Full name | Nestlerode & Loy, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-12629 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 337 | |
i. Full name | Quest Capital Strategies, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-34532 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 338 | |
i. Full name | RJJ Pasadena Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-25324 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 339 | |
i. Full name | Patapsco Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-43485 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 340 | |
i. Full name | Planned Investment Co., Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-15266 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 341 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 342 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 343 | |
i. Full name | PWA Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-67700 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 344 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 345 | |
i. Full name | S F Sentry Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-43101 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 346 | |
i. Full name | Sage, Rutty & Co., 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 347 | |
i. Full name | Royal Alliance Associates, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-40218 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 348 | |
i. Full name | Saxony Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-53490 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 349 | |
i. Full name | Alerus Securities |
ii. LEI, if any, or provide and describe other identifying number | 8-47152 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 350 | |
i. Full name | Allegis Investment Services, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-69318 |
Description of other identifying number | SEC File Number |
iii. State, if applicable | IDAHO |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 351 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 352 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 353 | |
i. Full name | Ameriprise Financial Services, Inc. |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 354 | |
i. Full name | Arive Capital Markets |
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 | 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 355 | |
i. Full name | Alight Solutions LLC |
ii. LEI, if any, or provide and describe other identifying number | 084-01996 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 356 | |
i. Full name | Bolton Securities Corp. |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 357 | |
i. Full name | Allen & Company of Florida, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-09877 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 358 | |
i. Full name | Southeast Investments, N.C., Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-50127 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 359 | |
i. Full name | Aon Benfield Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-14953 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 360 | |
i. Full name | BMO Harris Financial Advisors, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-67064 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 361 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 362 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 363 | |
i. Full name | Securities Service Network, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-28980 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 364 | |
i. Full name | AxA 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 365 | |
i. Full name | BancWest Investment Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-44261 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 366 | |
i. Full name | Access Financial Group, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-46065 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 367 | |
i. Full name | BPU Investment Management, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-34979 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 368 | |
i. Full name | BAC Florida Investments |
ii. LEI, if any, or provide and describe other identifying number | 8-37483 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 369 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 370 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 371 | |
i. Full name | The GMS Group, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-23936 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 372 | |
i. Full name | TimeCapital Securities Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-18248 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 373 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 374 | |
i. Full name | The Investment Center, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-35826 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 375 | |
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 | 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 376 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 377 | |
i. Full name | Citizens Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-48744 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 378 | |
i. Full name | Vision Financial Markets LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-67447 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 379 | |
i. Full name | Country Club Financial Services, 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 380 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 381 | |
i. Full name | Fidelity Investments Institutional Operations Company, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-35097 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 382 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 383 | |
i. Full name | Voya Financial Partners, LLC |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 384 | |
i. Full name | Voya Retirement Insurance and Annuity Company |
ii. LEI, if any, or provide and describe other identifying number | OK3MKCDYPD4NN6QDGK18 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 385 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 386 | |
i. Full name | Coburn & Meredith, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-02474 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 387 | |
i. Full name | Dominick & Dominick LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-21076 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 388 | |
i. Full name | MerCap Securities |
ii. LEI, if any, or provide and describe other identifying number | 8-68810 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 389 | |
i. Full name | Bley Investments 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 390 | |
i. Full name | Essex Securities LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-51472 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 391 | |
i. Full name | Deutsche Bank Securities Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-17822 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 392 | |
i. Full name | Edward D. Jones & Co., L.P. |
ii. LEI, if any, or provide and describe other identifying number | 8-00759 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 393 | |
i. Full name | World Equity Group, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-44088 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 394 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 395 | |
i. Full name | Digital Retirement Solutions, Inc. |
ii. LEI, if any, or provide and describe other identifying number | N/A |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 396 | |
i. Full name | Benchmark Investments, Inc. |
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 | 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 397 | |
i. Full name | Fidelity Investments Life |
ii. LEI, if any, or provide and describe other identifying number | 54930024AKTQGTIV1P93 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 398 | |
i. Full name | Bernard Herold & Co., Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-17005 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 399 | |
i. Full name | BB&T Securities, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-67486 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 400 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 401 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 402 | |
i. Full name | Foresters Equity Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-36703 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 403 | |
i. Full name | BMO Harris Bank |
ii. LEI, if any, or provide and describe other identifying number | 3Y4U8VZURTYWI1W2K376 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 404 | |
i. Full name | C. R. Davis & Company |
ii. LEI, if any, or provide and describe other identifying number | 8-859 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 405 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 406 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 407 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 408 | |
i. Full name | Berthel, Fisher & Company Financial Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-29426 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 409 | |
i. Full name | Ceros Financial Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-47955 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 410 | |
i. Full name | Cascade Financial Management, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-53730 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 411 | |
i. Full name | Cary Street Partners LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-66085 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 412 | |
i. Full name | Comprehensive Asset Management and Servicing, 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 413 | |
i. Full name | Consolidated Financial Investments, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-37004 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 414 | |
i. Full name | Herndon Plant Oakley, LTD |
ii. LEI, if any, or provide and describe other identifying number | 8-50912 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 415 | |
i. Full name | Conover Securities Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-35085 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 416 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 417 | |
i. Full name | Duncan-Williams, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-18971 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 418 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 419 | |
i. Full name | Citigroup Global Markets Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-08177 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 420 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 421 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 422 | |
i. Full name | Independent Financial Group, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-22870 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 423 | |
i. Full name | Detalus Securities, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-52180 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 424 | |
i. Full name | Gladowsky Capital Management Corp. |
ii. LEI, if any, or provide and describe other identifying number | 8-51017 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 425 | |
i. Full name | Hightower Securities, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-53560 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 426 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 427 | |
i. Full name | Innovation Partners LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-67812 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 428 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 429 | |
i. Full name | Edwin C. Blitz Investments, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-22741 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 430 | |
i. Full name | Itau International Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-67674 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 431 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 432 | |
i. Full name | First Allied Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-46167 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 433 | |
i. Full name | G. W. & 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 434 | |
i. Full name | Finance 500, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-28302 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 435 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 436 | |
i. Full name | Invex, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-44695 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 437 | |
i. Full name | First Kentucky Securities Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-22224 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 438 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 439 | |
i. Full name | Hefren-Tillotson, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-10646 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 440 | |
i. Full name | Lexington Investment Company, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-43085 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 441 | |
i. Full name | GRF Capital Investors, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-41494 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 442 | |
i. Full name | ING Financial Markets LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-43978 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 443 | |
i. Full name | Legacy Asset Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-51871 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 444 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 445 | |
i. Full name | Key West Investments, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-68166 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 446 | |
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 | |
iv. Foreign country, if applicable | UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND |
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 447 | |
i. Full name | L.S.Y., Inc. |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 448 | |
i. Full name | Landolt Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-43645 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 449 | |
i. Full name | Leumi Investment Services Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-52993 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 450 | |
i. Full name | Lucia Securities, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-47643 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 451 | |
i. Full name | Kercheville & Company, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-32795 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 452 | |
i. Full name | First Western Advisors |
ii. LEI, if any, or provide and describe other identifying number | 8-28729 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 453 | |
i. Full name | Loring Ward Securities Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-51381 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 454 | |
i. Full name | First State Financial Management, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-34201 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 455 | |
i. Full name | Maxim Group LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-65337 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 456 | |
i. Full name | LaSalle St. Securities, L.L.C. |
ii. LEI, if any, or provide and describe other identifying number | 8-18860 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 457 | |
i. Full name | Pension Dynamics Securities Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-52535 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 458 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 459 | |
i. Full name | 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 460 | |
i. Full name | Morgan Stanley Smith Barney LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-68191 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 461 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 462 | |
i. Full name | NIA Securities, L.L.C. |
ii. LEI, if any, or provide and describe other identifying number | 8-50591 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 463 | |
i. Full name | Paradigm Equities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-45593 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 464 | |
i. Full name | Genworth Life & Annuity Insurance Company |
ii. LEI, if any, or provide and describe other identifying number | TAI340D9BWT9R77O0P03 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 465 | |
i. Full name | Portfolio Resources Group, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-45380 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 466 | |
i. Full name | North South Capital, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-67979 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 467 | |
i. Full name | NYLife Distributors LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-46655 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 468 | |
i. Full name | Planmember Securities Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-25065 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 469 | |
i. Full name | S.A. Stone Wealth Management |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 470 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 471 | |
i. Full name | Queens Road Securities, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-52737 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 472 | |
i. Full name | SunTrust Bank |
ii. LEI, if any, or provide and describe other identifying number | IYDOJBGJWY9T8XKCSX06 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 473 | |
i. Full name | Stifel, Nicolaus & Company, Incorporated |
ii. LEI, if any, or provide and describe other identifying number | 8-01447 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 474 | |
i. Full name | Great Pacific Securities |
ii. LEI, if any, or provide and describe other identifying number | 8-44398 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 475 | |
i. Full name | Quincy Cass Associates, Incorporated |
ii. LEI, if any, or provide and describe other identifying number | 8-05743 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 476 | |
i. Full name | Hapoalim Securities USA, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-03018 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 477 | |
i. Full name | Rhodes Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-37689 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 478 | |
i. Full name | Safra Securities LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-51935 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 479 | |
i. Full name | Securian Financial Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-31955 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 480 | |
i. Full name | Summit Equities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-27556 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 481 | |
i. Full name | Gerwin Group, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-40282 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 482 | |
i. Full name | Thurston, Springer, Miller, Herd & Titak, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-25452 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 483 | |
i. Full name | Signature Securities Group Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-52697 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 484 | |
i. Full name | The Oak Ridge Financial Services Group, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-50082 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 485 | |
i. Full name | Regulus Advisors, 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 486 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 487 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 488 | |
i. Full name | SunTrust 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 489 | |
i. Full name | Summit Brokerage Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-46310 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 490 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 491 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 492 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 493 | |
i. Full name | Investment Professionals, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-44786 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 494 | |
i. Full name | TrustCore Investments, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-32152 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 495 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 496 | |
i. Full name | Keel Point Capital, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-22990 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 497 | |
i. Full name | Univest Investments, Inc. |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 498 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 499 | |
i. Full name | Principal Life Insurance Company |
ii. LEI, if any, or provide and describe other identifying number | SDCMU2LVKGV2AF1KWP64 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 500 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 501 | |
i. Full name | Wescom Financial Services, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-66189 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 502 | |
i. Full name | Sammons Retirement Solutions, Inc. |
ii. LEI, if any, or provide and describe other identifying number | N/A |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 503 | |
i. Full name | UBS Financial Services Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-16267 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 504 | |
i. Full name | J.A. Glynn & Co. |
ii. LEI, if any, or provide and describe other identifying number | 8-39465 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 505 | |
i. Full name | KMS Financial Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-15433 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 506 | |
i. Full name | WedBush Securities Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-12987 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 507 | |
i. Full name | Kovack Securities Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-50847 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 508 | |
i. Full name | Meridien Financial Group, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-26090 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 509 | |
i. Full name | MV Securities Group, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-47827 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 510 | |
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 | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 511 | |
i. Full name | Nations Financial Group, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-50588 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 512 | |
i. Full name | Middlegate Securities Ltd. |
ii. LEI, if any, or provide and describe other identifying number | 8-39031 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 513 | |
i. Full name | NBC Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-35870 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 514 | |
i. Full name | Northland Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-48994 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 515 | |
i. Full name | Joseph Gunnar & Co. LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-41386 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 516 | |
i. Full name | Marsco Investment Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-36754 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 517 | |
i. Full name | Oppenheimer & Co. Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-04077 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 518 | |
i. Full name | USAA Investment Management Company |
ii. LEI, if any, or provide and describe other identifying number | 8-41241 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 519 | |
i. Full name | Northern Trust Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-23689 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 520 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 521 | |
i. Full name | L. B. Fisher & Company |
ii. LEI, if any, or provide and describe other identifying number | 8-21023 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 522 | |
i. Full name | Place Trade Financial, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-65915 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 523 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 524 | |
i. Full name | ValMark Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-45463 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 525 | |
i. Full name | LPL Financial LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-17668 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 526 | |
i. Full name | Liberty Partners Financial Services, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-66335 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 527 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 528 | |
i. Full name | MidWestern Securities Trading Company, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-52074 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 529 | |
i. Full name | VOYA Investments Distributors, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-48020 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 530 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 531 | |
i. Full name | Inverness Securities, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-66278 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 532 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 533 | |
i. Full name | Petersen Investments, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-48306 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 534 | |
i. Full name | People's Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-29667 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 535 | |
i. Full name | R. Seelaus & Co., Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-31475 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 536 | |
i. Full name | Penates Group, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-50594 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 537 | |
i. Full name | Questar Capital Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-50174 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 538 | |
i. Full name | Reliance Trust Company |
ii. LEI, if any, or provide and describe other identifying number | 549300NV8FSQRNOUQO50 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 539 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 540 | |
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 | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 541 | |
i. Full name | Snowden Account Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-68188 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 542 | |
i. Full name | Wunderlich Securities, 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 543 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 544 | |
i. Full name | Superior Financial Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-52618 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 545 | |
i. Full name | The Capital Group Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-52512 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 546 | |
i. Full name | Synovus Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-34709 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 547 | |
i. Full name | Thompson Davis & Co., Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-49386 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 548 | |
i. Full name | The Garbacz Group Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-42366 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 549 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 550 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 551 | |
i. Full name | The Tavenner Company |
ii. LEI, if any, or provide and describe other identifying number | 8-41206 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 552 | |
i. Full name | Vaughan & Co Securities, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-36916 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 553 | |
i. Full name | Wells Fargo Bank, N.A. |
ii. LEI, if any, or provide and describe other identifying number | KB1H1DSPRFMYMCUFXT09 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 554 | |
i. Full name | Nationwide Financial Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 5493001H7AZNDS6BKJ36 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 555 | |
i. Full name | Roberts & Ryan Investments Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-37469 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 556 | |
i. Full name | Wellington Shields & Co., LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-68098 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 557 | |
i. Full name | Conduent HR Services LLC |
ii. LEI, if any, or provide and describe other identifying number | 084-06035 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 558 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 559 | |
i. Full name | Robert W. Baird & Co. Incorporated |
ii. LEI, if any, or provide and describe other identifying number | 8-00497 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 560 | |
i. Full name | Regions Bank |
ii. LEI, if any, or provide and describe other identifying number | EQTWLK1G7ODGC2MGLV11 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 561 | |
i. Full name | SecureVest Financial Group |
ii. LEI, if any, or provide and describe other identifying number | 8-26030 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 562 | |
i. Full name | Voya Institutional Plan Services, LLC |
ii. LEI, if any, or provide and describe other identifying number | N/A |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 563 | |
i. Full name | TradeStation Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-48711 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 564 | |
i. Full name | Invicta Capital, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-69923 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 565 | |
i. Full name | United Planners' Financial Services of America A Limited Partner |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 566 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 567 | |
i. Full name | Watermark Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-43902 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 568 | |
i. Full name | Great-West Financial Retirement Plan Services, LLC |
ii. LEI, if any, or provide and describe other identifying number | N/A |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 569 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 570 | |
i. Full name | Mercer HR Services, LLC |
ii. LEI, if any, or provide and describe other identifying number | N/A |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 571 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 572 | |
i. Full name | Stephen A. Kohn & Associates, Ltd. |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 573 | |
i. Full name | BD4RIA, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-70022 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 574 | |
i. Full name | First Mercantile Trust Company |
ii. LEI, if any, or provide and describe other identifying number | 028-10498 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 575 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 576 | |
i. Full name | Vanguard Marketing Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-21570 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 577 | |
i. Full name | USCA Securities LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-52285 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 578 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 579 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 580 | |
i. Full name | Register Financial Associates, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-45012 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 581 | |
i. Full name | Ascensus, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 549300K5MHNFPEU2RK82 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 582 | |
i. Full name | Zions Investment |
ii. LEI, if any, or provide and describe other identifying number | 8-35721 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 583 | |
i. Full name | St. Bernard Financial Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-47566 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 584 | |
i. Full name | JPMorgan Chase Bank, N.A. |
ii. LEI, if any, or provide and describe other identifying number | 7H6GLYDRUGQFU57RNE97 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 585 | |
i. Full name | UBATCO & Co. |
ii. LEI, if any, or provide and describe other identifying number | N/A |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 586 | |
i. Full name | Vanguard Group, Inc., The |
ii. LEI, if any, or provide and describe other identifying number | 5493002789CY3L0CJP65 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 587 | |
i. Full name | ACP Securities, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-67185 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 588 | |
i. Full name | Actinver Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-49311 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 589 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 590 | |
i. Full name | Allegiance Capital, L.L.C. |
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 | 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 591 | |
i. Full name | American Capital Partners, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-65165 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 592 | |
i. Full name | American Century Investment Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-35220 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 593 | |
i. Full name | Apex Clearing Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-23522 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 594 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 595 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 596 | |
i. Full name | Ascensus Broker Dealer Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-47312 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 597 | |
i. Full name | Avondale Partners, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-51550 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 598 | |
i. Full name | American Municipal Securities, 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 599 | |
i. Full name | Arvest Investments, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-49677 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 600 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 601 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 602 | |
i. Full name | Bankers Life Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-69562 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 603 | |
i. Full name | BestVest Investments, Ltd. |
ii. LEI, if any, or provide and describe other identifying number | 8-49007 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 604 | |
i. Full name | Barclays Capital Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-41342 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 605 | |
i. Full name | Broadridge Business Process Outsourcing, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-53412 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 606 | |
i. Full name | Bodell Overcash Anderson & Co., Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-15775 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 607 | |
i. Full name | Blakeslee and 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 608 | |
i. Full name | BBVA Securities Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-42857 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 609 | |
i. Full name | Broker Dealer Financial Services Corp. |
ii. LEI, if any, or provide and describe other identifying number | 8-24220 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 610 | |
i. Full name | Bristol Financial Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-67140 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 611 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 612 | |
i. Full name | Boenning & Scattergood, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-15543 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 613 | |
i. Full name | Capital Institutional Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-22273 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 614 | |
i. Full name | BNP Paribas Securities Corp |
ii. LEI, if any, or provide and describe other identifying number | 8-40490 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 615 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 616 | |
i. Full name | Buckman, Buckman & Reid, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-40413 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 617 | |
i. Full name | Cambridge Investment Research, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-48740 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 618 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 619 | |
i. Full name | Callaway Financial Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-52474 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 620 | |
i. Full name | CFT Securities, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-51345 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 621 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 622 | |
i. Full name | Carty & Company, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-19082 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 623 | |
i. Full name | Cetera Investment Services, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-31826 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 624 | |
i. Full name | Charles Schwab & Co., Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-16514 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 625 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 626 | |
i. Full name | Coastal Equities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-40822 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 627 | |
i. Full name | Client One 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 628 | |
i. Full name | Cantella & Co., Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-23904 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 629 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 630 | |
i. Full name | Citizens Bank |
ii. LEI, if any, or provide and describe other identifying number | DRMSV1Q0EKMEXLAU1P80 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 631 | |
i. Full name | CoreCap Investments, Inc. |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 632 | |
i. Full name | Crestone Securities |
ii. LEI, if any, or provide and describe other identifying number | 8-52463 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 633 | |
i. Full name | D.A. Davidson & Co. |
ii. LEI, if any, or provide and describe other identifying number | 8-02399 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 634 | |
i. Full name | Davenport & Company LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-17103 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 635 | |
i. Full name | Cutter & Company Brokerage, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-39590 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 636 | |
i. Full name | DFPG Investments, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-68730 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 637 | |
i. Full name | D.M. Kelly & Company |
ii. LEI, if any, or provide and describe other identifying number | 8-48398 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 638 | |
i. Full name | Detwiler Fenton & Co. |
ii. LEI, if any, or provide and describe other identifying number | 8-16324 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 639 | |
i. Full name | E*Trade Securities |
ii. LEI, if any, or provide and describe other identifying number | 8-44112 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 640 | |
i. Full name | Cuso Financial Services, L.P. |
ii. LEI, if any, or provide and describe other identifying number | 8-49711 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 641 | |
i. Full name | Eastern Point Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-39398 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 642 | |
i. Full name | Excel Securities & Associates, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-34261 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 643 | |
i. Full name | Dinosaur Securities, L.L.C. |
ii. LEI, if any, or provide and describe other identifying number | 8-52908 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 644 | |
i. Full name | Donegal Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-66137 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 645 | |
i. Full name | EK Riley Investments, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-65369 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 646 | |
i. Full name | Farmers Financial Solutions, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-52361 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 647 | |
i. Full name | First Financial Equity Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-34082 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 648 | |
i. Full name | E-W Investments, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-35259 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 649 | |
i. Full name | Financial Northeastern Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-34883 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 650 | |
i. Full name | First Bankers' Banc Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-31584 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 651 | |
i. Full name | First Republic Securities Company, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-52973 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 652 | |
i. Full name | FMSBonds, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-23280 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 653 | |
i. Full name | Forest Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-33568 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 654 | |
i. Full name | First Financial Securities of America, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-29565 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 655 | |
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 | 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 656 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 657 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 658 | |
i. Full name | Garden State Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-25790 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 659 | |
i. Full name | FTB 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 660 | |
i. Full name | First Manhattan Co. |
ii. LEI, if any, or provide and describe other identifying number | 8-10438 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 661 | |
i. Full name | Global Brokerage Services, Inc. |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 662 | |
i. Full name | G.L.S. & Associates, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-51808 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 663 | |
i. Full name | FNBB Capital Markets, LLC |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 664 | |
i. Full name | Goldman Sachs & Co. LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-00129 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 665 | |
i. Full name | General Securities Corp. |
ii. LEI, if any, or provide and describe other identifying number | 8-31654 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 666 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 667 | |
i. Full name | G.F. Investment Services, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-66659 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 668 | |
i. Full name | Gold Coast Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-53148 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 669 | |
i. Full name | Herbert J. Sims & Co. Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-03315 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 670 | |
i. Full name | Hazlett, Burt & Watson, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-17737 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 671 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 672 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 673 | |
i. Full name | ICMA-RC Services, Inc. |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 674 | |
i. Full name | Halliday Financial, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-45529 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 675 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 676 | |
i. Full name | Access Investments, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-49750 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 677 | |
i. Full name | Healthcare Community Securities Corporation |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 678 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 679 | |
i. Full name | Comerica Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-35001 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 680 | |
i. Full name | International Financial Solutions, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-49020 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 681 | |
i. Full name | Intercontinental Asset Management Group, Ltd. |
ii. LEI, if any, or provide and describe other identifying number | 8-39706 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 682 | |
i. Full name | Investacorp, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-22598 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 683 | |
i. Full name | Insight Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-16247 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 684 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 685 | |
i. Full name | Investment Architects, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-35724 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 686 | |
i. Full name | Dorsey & Company, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-07541 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 687 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 688 | |
i. Full name | Kovitz Securities, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-66267 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 689 | |
i. Full name | Liberty Group, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-52994 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 690 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 691 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 692 | |
i. Full name | M. Griffith Investment Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-02259 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 693 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 694 | |
i. Full name | M. S. Howells & Co. |
ii. LEI, if any, or provide and describe other identifying number | 8-52558 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 695 | |
i. Full name | Maplewood Investment Advisors, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-52221 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 696 | |
i. Full name | Liberty Capital Investment Corporation |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 697 | |
i. Full name | Exeter Trust Company |
ii. LEI, if any, or provide and describe other identifying number | 028-04279 |
Description of other identifying number | SEC File Number |
iii. State, if applicable | NEW HAMPSHIRE |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 698 | |
i. Full name | CIBC World Markets Corp. |
ii. LEI, if any, or provide and describe other identifying number | 8-18333 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 699 | |
i. Full name | Gilbert, Doniger & Co., Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-22326 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 700 | |
i. Full name | MHA Financial Corp. |
ii. LEI, if any, or provide and describe other identifying number | 8-21836 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 701 | |
i. Full name | Highlander Capital Group, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-37169 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 702 | |
i. Full name | FCG Advisors, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-49104 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 703 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 704 | |
i. Full name | DWS Investments Distributors, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-47765 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 705 | |
i. Full name | Lara, May & Associates, 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 706 | |
i. Full name | Lantern Investments, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-45285 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 707 | |
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 | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 708 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 709 | |
i. Full name | Means Investment Co., Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-27458 |
Description of other identifying number | SEC File Number |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 710 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 711 | |
i. Full name | J.D. Seibert & Company, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-23604 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 712 | |
i. Full name | H.D. Vest Investment Services |
ii. LEI, if any, or provide and describe other identifying number | 8-29533 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 713 | |
i. Full name | Nelson Ivest Brokerage Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-26448 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 714 | |
i. Full name | Mutual Trust Co. of America Securities |
ii. LEI, if any, or provide and describe other identifying number | 8-25547 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 715 | |
i. Full name | Monex Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-44874 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 716 | |
i. Full name | Mutual Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-28580 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 717 | |
i. Full name | Navy Federal Brokerage 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 718 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 719 | |
i. Full name | Neidiger, Tucker, Bruner, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-21884 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 720 | |
i. Full name | Neuberger Berman LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-01068 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 721 | |
i. Full name | Northeast Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-42227 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 722 | |
i. Full name | Northwest Investment Advisors, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-65282 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 723 | |
i. Full name | NPB Financial Group, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-67113 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 724 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 725 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 726 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 727 | |
i. Full name | Geoffrey Richards Securities Corp. |
ii. LEI, if any, or provide and describe other identifying number | 8-65251 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 728 | |
i. Full name | Oberweis Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-49679 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 729 | |
i. Full name | Financial Planning Consultants, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-25384 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 730 | |
i. Full name | Pershing, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-17574 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 731 | |
i. Full name | Pershing Advisor Solutions, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-47425 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 732 | |
i. Full name | NorthWestern Mutual Investment Services, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-14088 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 733 | |
i. Full name | Pyramid Funds Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-12769 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 734 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 735 | |
i. Full name | Planners Financial Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-18027 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 736 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 737 | |
i. Full name | PNC Bank, N.A. |
ii. LEI, if any, or provide and describe other identifying number | AD6GFRVSDT01YPT1CS68 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 738 | |
i. Full name | Purshe Kaplan Sterling Investments |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 739 | |
i. Full name | Hunter Associates, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-44779 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 740 | |
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 | NEW HAMPSHIRE |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 741 | |
i. Full name | Leigh Baldwin & Co., LLC |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 742 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 743 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 744 | |
i. Full name | Hancock Bank Corporation |
ii. LEI, if any, or provide and describe other identifying number | 549300GRNBWY8HIICT41 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 745 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 746 | |
i. Full name | Philip J. Greenblatt Securities Ltd |
ii. LEI, if any, or provide and describe other identifying number | 8-30725 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 747 | |
i. Full name | City National Bank |
ii. LEI, if any, or provide and describe other identifying number | 593C3GZG957YOJPS2Z63 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 748 | |
i. Full name | Rothschild Investment Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-16429 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 749 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 750 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 751 | |
i. Full name | Rehmann Financial Network |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 752 | |
i. Full name | Madison Avenue Securities, Inc. |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 753 | |
i. Full name | Mercantil Commercebank Investment Services |
ii. LEI, if any, or provide and describe other identifying number | 8-53612 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 754 | |
i. Full name | PTS 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 755 | |
i. Full name | Prospera Financial Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-28164 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 756 | |
i. Full name | Rogan & Associates, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-49995 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 757 | |
i. Full name | Raymond James & Associates, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-10999 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 758 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 759 | |
i. Full name | Jefferies, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-15074 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 760 | |
i. Full name | Lincoln Financial Distributors, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-13431 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 761 | |
i. Full name | FolioFN 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 762 | |
i. Full name | Sabadell Securities USA, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-67975 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 763 | |
i. Full name | Saperston Asset Management, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-50658 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 764 | |
i. Full name | Pruco Securities, LLC. |
ii. LEI, if any, or provide and describe other identifying number | 8-16402 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 765 | |
i. Full name | Sanders Morris Harris Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-38325 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 766 | |
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 | PUERTO RICO |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 767 | |
i. Full name | SDDCO Brokerage Advisors, 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 768 | |
i. Full name | SG Americas Securities, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-66125 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 769 | |
i. Full name | Securities Research, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-23699 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 770 | |
i. Full name | Slavic Investment Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-40024 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 771 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 772 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 773 | |
i. Full name | RIM Securities LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-36759 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 774 | |
i. Full name | Standard Insurance Company |
ii. LEI, if any, or provide and describe other identifying number | 549300KVA8DBYKHPXO21 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 775 | |
i. Full name | StockCross Financial Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-17758 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 776 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 777 | |
i. Full name | Sweney Cartwright & Company |
ii. LEI, if any, or provide and describe other identifying number | 8-03150 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 778 | |
i. Full name | Moors & Cabot, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-23060 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 779 | |
i. Full name | Ross, Sinclaire & Associates, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-41740 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 780 | |
i. Full name | SKA Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-53366 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 781 | |
i. Full name | TCFG Wealth Management, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-69089 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 782 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 783 | |
i. Full name | The Huntington Investment Company |
ii. LEI, if any, or provide and describe other identifying number | 8-34867 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 784 | |
i. Full name | Shareholders Service Group, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-65778 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 785 | |
i. Full name | TIAA-CREF Individual & Institutional Services, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-44454 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 786 | |
i. Full name | Tradition Asiel Securities Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-43559 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 787 | |
i. Full name | U.S. Bancorp Investments, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-35359 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 788 | |
i. Full name | TD Ameritrade, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-23395 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 789 | |
i. Full name | Titleist Asset Management, Ltd. |
ii. LEI, if any, or provide and describe other identifying number | 8-65859 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 790 | |
i. Full name | Umpqua Investments, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-02915 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 791 | |
i. Full name | UBS AG, New York Branch |
ii. LEI, if any, or provide and describe other identifying number | BFM8T61CT2L1QCEMIK50 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 792 | |
i. Full name | TRG Advisors, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-50449 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 793 | |
i. Full name | TransAm 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 | 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 794 | |
i. Full name | Signator Investors, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-13995 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 795 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 796 | |
i. Full name | Unionbanc Investment Services, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-30706 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 797 | |
i. Full name | VectorGlobal WMG |
ii. LEI, if any, or provide and describe other identifying number | 8-45715 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 798 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 799 | |
i. Full name | Vanderbilt Securities, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-16712 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 800 | |
i. Full name | VOYA Financial Advisors, 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 801 | |
i. Full name | Wells Fargo Clearing Services, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-37180 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 802 | |
i. Full name | Western International Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-48572 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 803 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 804 | |
i. Full name | Waddell & Reed, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-27030 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 805 | |
i. Full name | Vorpahl Wing Securities |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 806 | |
i. Full name | Vestor Capital Securities |
ii. LEI, if any, or provide and describe other identifying number | 8-32743 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 807 | |
i. Full name | Thoroughbred Financial Services, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-51944 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 808 | |
i. Full name | Western Growers Financial Services, Inc. |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 809 | |
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 | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 810 | |
i. Full name | T. Rowe Price Investment Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-25130 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 811 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 812 | |
i. Full name | Wiley Bros.-Aintree Capital, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-03774 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 813 | |
i. Full name | Wood (Arthur W.) Company, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-03368 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 814 | |
i. Full name | Weston Securities Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-32664 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 815 | |
i. Full name | William C. Burnside & Company, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-21242 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 816 | |
i. Full name | The O.N. Equity Sales Company |
ii. LEI, if any, or provide and describe other identifying number | 8-14161 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 817 | |
i. Full name | T. Rowe Price Retirement Plan Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 084-06219 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 818 | |
i. Full name | American United Life Insurance Company |
ii. LEI, if any, or provide and describe other identifying number | 549300T82H2DYU80LV98 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 819 | |
i. Full name | Primerica Shareholder Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 084-01499 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 820 | |
i. Full name | Charles Schwab Bank |
ii. LEI, if any, or provide and describe other identifying number | 549300INFJ8TYNZ1G568 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 821 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 822 | |
i. Full name | Woodlands Securities Corporation |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 823 | |
i. Full name | Hartford Funds Management Company, LLC |
ii. LEI, if any, or provide and describe other identifying number | 801-77209 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 824 | |
i. Full name | AssetMark Trust Company |
ii. LEI, if any, or provide and describe other identifying number | N/A |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 825 | |
i. Full name | Prudential Insurance Company of America |
ii. LEI, if any, or provide and describe other identifying number | Y574KRZ6V5A7UBU45C31 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 826 | |
i. Full name | Insigneo Securities, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-44166 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 827 | |
i. Full name | Chalice Capital Partners, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-69967 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 828 | |
i. Full name | Whitney National Bank |
ii. LEI, if any, or provide and describe other identifying number | NSGZD26XPW2CUM2JKU70 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 829 | |
i. Full name | Visun Securities Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-31907 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 830 | |
i. Full name | IFP Securities |
ii. LEI, if any, or provide and describe other identifying number | 8-70150 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 831 | |
i. Full name | American Wealth Management |
ii. LEI, if any, or provide and describe other identifying number | 8-41807 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 832 | |
i. Full name | MSEC, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-68627 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 833 | |
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 | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 834 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 835 | |
i. Full name | John Hancock Life Insurance Company |
ii. LEI, if any, or provide and describe other identifying number | QQ0OZ8J9C4B5QT1XDG31 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 836 | |
i. Full name | TD Ameritrade Trust Company |
ii. LEI, if any, or provide and describe other identifying number | 028-15163 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 837 | |
i. Full name | Supreme Alliance, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-51046 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 838 | |
i. Full name | Bruderman Brothers, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-51974 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
b. Has a shareholder servicing agent been hired or terminated during the reporting period? | ![]() ![]() |
Item C.14. Administrators.
a. Provide the following information about each administrator of the Fund: |
Administrators Record: 1 | |
i. Full name | BlackRock Advisors, LLC |
ii. LEI, if any, or other identifying number | 5493001LN9MRM6A35J74 |
Description of other identifying number | |
iii. State, if applicable | DELAWARE |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the administrator an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the administrator a sub-administrator? | ![]() ![]() |
Administrators Record: 2 | |
i. Full name | JPMorgan Chase Bank, N.A. |
ii. LEI, if any, or other identifying number | 7H6GLXDRUGQFU57RNE97 |
Description of other identifying number | |
iii. State, if applicable | NEW YORK |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the administrator an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the administrator a sub-administrator? | ![]() ![]() |
b.Has a third-party administrator been hired or terminated during the reporting period? | ![]() ![]() |
Item C.15. Affiliated broker-dealers.
Provide the following information about each affiliated broker-dealer: |
Broker Dealers Record: 1 | |
a. Full name | BlackRock Investments, LLC |
b. SEC file number | 8-48436 |
c. CRD number | 000038642 |
d. LEI, if any | N/A |
e. State, if applicable | NEW YORK |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0 |
Broker Dealers Record: 2 | |
a. Full name | BlackRock Execution Services |
b. SEC file number | 8-48719 |
c. CRD number | 000039438 |
d. LEI, if any | 549300HFCRQ0NT5KY652 |
e. State, if applicable | NEW YORK |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0 |
Item C.16. Brokers.
Instructions to Item C.16 and Item C.17. To help Registrants distinguish between agency and principal transactions, and to promote consistent reporting of the information required by these items, the following criteria should be used: 1. If a security is purchased or sold in a transaction for which the confirmation specifies the amount of the commission to be paid by the Registrant, the transaction should be considered an agency transaction and included in determining the answers to Item C.16. 2. If a security is purchased or sold in a transaction for which the confirmation specifies only the net amount to be paid or received by the Registrant and such net amount is equal to the market value of the security at the time of the transaction, the transaction should be considered a principal transaction and included in determining the amounts in Item C.17. 3. If a security is purchased by the Registrant in an underwritten offering, the acquisition should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the underwriters are receiving from the issuer. 4. If a security is sold by the Registrant in a tender offer, the sale should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the offeror is paying to soliciting brokers or dealers. 5. If a security is purchased directly from the issuer (such as a bank CD), the purchase should be considered a principal transaction and included in answering Item C.17. 6. The value of called or maturing securities should not be counted in either agency or principal transactions and should not be included in determining the amounts shown in Item C.16 and Item C.17. This means that the acquisition of a security may be included, but it is possible that its disposition may not be included. Disposition of a repurchase agreement at its expiration date should not be included. 7. The purchase or sales of securities in transactions not described in paragraphs (1) through (6) above should be evaluated by the Fund based upon the guidelines established in those paragraphs and classified accordingly. The agents considered in Item C.16 may be persons or companies not registered under the Exchange Act as securities brokers. The persons or companies from whom the investment company purchased or to whom it sold portfolio instruments on a principal basis may be persons or entities not registered under the Exchange Act as securities dealers. |
a. For each of the ten brokers that received the largest dollar amount of brokerage commissions (excluding dealer concessions in underwritings) by virtue of direct or indirect participation in the Fund’s portfolio transactions, provide the information below: |
i. Full name of broker | |
ii. SEC file number | |
iii. CRD number | |
iv. LEI, if any | |
v. State, if applicable | |
vi. Foreign country, if applicable | |
vii. Gross commissions paid by the Fund for the reporting period |
b. Aggregate brokerage commissions paid by Fund during the reporting period: | 0 |
Item C.17. Principal transactions.
a. For each of the ten entities acting as principals with which the Fund did the largest dollar amount of principal transactions (include all short-term obligations, and U.S. government and tax-free securities) in both the secondary market and in underwritten offerings, provide the information below: |
Principal Transactions Record: 1 | |
i. Full name of dealer | Citigroup Global Markets, Inc. |
ii. SEC file number | 8-08177 |
iii. CRD number | 000007059 |
iv. LEI, if any | MBNUM2BPBDO7JBLYG310 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 60343558214.27 |
Principal Transactions Record: 2 | |
i. Full name of dealer | Landesbank |
ii. SEC file number | N/A |
iii. CRD number | N/A |
iv. LEI, if any | DIZES5CFO5K3I5R58746 |
v. State, if applicable | |
vi. Foreign country, if applicable | GERMANY |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 35041320537.17 |
Principal Transactions Record: 3 | |
i. Full name of dealer | BNY Mellon Capital Markets, LLC |
ii. SEC file number | 8-35255 |
iii. CRD number | 000017454 |
iv. LEI, if any | VJW2DOOHGDT6PR0ZRO63 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 28171318418.93 |
Principal Transactions Record: 4 | |
i. Full name of dealer | Credit Suisse Securities (USA) LLC |
ii. SEC file number | 8-00422 |
iii. CRD number | 000000816 |
iv. LEI, if any | 1V8Y6QCX6YMJ2OELII46 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 30211534554.21 |
Principal Transactions Record: 5 | |
i. Full name of dealer | ABN AMRO Securities (USA) LLC |
ii. SEC file number | 8-68398 |
iii. CRD number | 000151796 |
iv. LEI, if any | BFXS5XCH7N0Y05NIXW11 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 23251000000 |
Principal Transactions Record: 6 | |
i. Full name of dealer | BofA Securities, Inc. |
ii. SEC file number | 8-69787 |
iii. CRD number | 000283942 |
iv. LEI, if any | 549300HN4UKV1E2R3U73 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 48154874521.83 |
Principal Transactions Record: 7 | |
i. Full name of dealer | CIT Securities International USA, LLC |
ii. SEC file number | 8-68887 |
iii. CRD number | 000158266 |
iv. LEI, if any | 213800YMG8YN4O5CX140 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 73798774400 |
Principal Transactions Record: 8 | |
i. Full name of dealer | J.P. Morgan Securities LLC |
ii. SEC file number | 8-35008 |
iii. CRD number | 000000079 |
iv. LEI, if any | ZBUT11V806EZRVTWT807 |
v. State, if applicable | OHIO |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 245978347016.19 |
Principal Transactions Record: 9 | |
i. Full name of dealer | Barclays Capital, Inc. |
ii. SEC file number | 8-41342 |
iii. CRD number | 000019714 |
iv. LEI, if any | AC28XWWI3WIBK2824319 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 60465217826.29 |
Principal Transactions Record: 10 | |
i. Full name of dealer | Mizuho Securities USA LLC |
ii. SEC file number | 8-37710 |
iii. CRD number | 000019647 |
iv. LEI, if any | 549300HS3WTRS6D88H32 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 27937085000 |
b. Aggregate value of principal purchase/sale transactions of Fund during the reporting period: | 731625971870.07 |
Item C.18. Payments for brokerage and research.
During the reporting period, did the Fund pay commissions to broker-dealers for "brokerage and research services" within the meaning of section 28(e) of the Exchange Act (15 U.S.C. 78bb)? | ![]() ![]() |
Item C.19. Average net assets.
a. Provide the Fund's (other than a money market fund's) monthly average net assets during the reporting period | |
b. Provide the money market fund's daily average net assets during the reporting period | 12522334040.78 |
Item C.20. Lines of credit, interfund lending and interfund borrowing.
a. Does the Fund have available a line of credit? | ![]() ![]() |
b. Did the Fund engage in interfund lending? | ![]() ![]() |
c.Did the Fund engage in interfund borrowing? | ![]() ![]() |
Management Investment Record: 3 |
Item C.1. Background information.
a. Full Name of the Fund | MuniCash |
b. Series identication number, if any | S000001480 |
c. LEI | 549300P0LGZKHFZRJS13 |
d. Is this the first filing on this form by the Fund? | ![]() ![]() |
Item C.2. Classes of open-end management investment companies.
a. How many Classes of shares of the Fund (if any) are authorized? | 10 |
b. How many new Classes of shares of the Fund were added during the reporting period? | 0 |
c. How many Classes of shares of the Fund were terminated during the reporting period? | 0 |
d. For each Class with shares outstanding, provide the information requested below: | |
Shares Outstanding Record: 1 | |
i. Full name of Class | Institutional |
ii. Class identification number, if any | C000003974 |
iii. Ticker symbol, if any | MCSXX |
Shares Outstanding Record: 2 | |
i. Full name of Class | Premier |
ii. Class identification number, if any | C000003972 |
iii. Ticker symbol, if any | MPPXX |
Shares Outstanding Record: 3 | |
i. Full name of Class | Dollar |
ii. Class identification number, if any | C000003975 |
iii. Ticker symbol, if any | MCDXX |
Item C.3. Type of fund.
Instructions. 1. "Fund of Funds" means a fund that acquires securities issued by any other investment company in excess of the amounts permitted under paragraph (A) of section 12(d)(1) of the Act (15 U.S.C. 80a-12(d)(1)(A)), but, for purposes of this Item, does not include a fund that acquires securities issued by another company solely in reliance on rule 12d1-1 under the Act (CFR 270.12d1-1). 2. "Index Fund" means an investment company, including an Exchange-Traded Fund, that seeks to track the performance of a specified index. 3. "Interval Fund" means a closed-end management investment company that makes periodic repurchases of its shares pursuant to rule 23c-3 under the Act (17 CFR 270.23c-3). 4. "Master-Feeder Fund" means a two-tiered arrangement in which one or more funds (each a feeder fund) holds shares of a single Fund (the master fund) in accordance with section 12(d)(1)(E) of the Act (15 U.S.C. 80a-12(d)(1)(E)) or pursuant to exemptive relief granted by the Commission. 5. "Target Date Fund" means an investment company that has an investment objective or strategy of providing varying degrees of long-term appreciation and capital preservation through a mix of equity and fixed income exposures that changes over time based on an investor's age, target retirement date, or life expectancy. |
Indicate if the Fund is any one of the types listed below. Check all that apply. |
a. Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund i. ![]() ii. ![]() b. ![]() c. ![]() d. ![]() e. ![]() f. ![]() g. ![]() h. ![]() i. ![]() ![]() |
Item C.4. Diversification.
Does the Fund seek to operate as a “non-diversified company” as such term is defined in section 5(b)(2) of the Act (15 U.S.C. 80a- 5(b) (2))? | ![]() ![]() |
Item C.5. Investments in certain foreign corporations.
Instruction. "Controlled foreign corporation" has the meaning provided in section 957 of the Internal Revenue Code [26 U.S.C. 957]. |
a. Does the fund invest in a controlled foreign corporation for the purpose of investing in certain types of instruments such as, but not limited to, commodities? | ![]() ![]() |
Item C.6. Securities lending.
Instruction. For purposes of this Item, other adverse impacts would include, for example, (1) a loss to the Fund if collateral and indemnification were not sufficient to replace the loaned securities or their value, (2) the Fund's ineligibility to vote shares in a proxy, or (3) the Fund's ineligibility to receive a direct distribution from the issuer. |
a. Is the Fund authorized to engage in securities lending transactions? | ![]() ![]() |
b. Did the Fund lend any of its securities during the reporting period? | ![]() ![]() |
c. Provide the information requested below about each securities lending agent, if any, retained by the Fund: |
Securities Lending Record: 1 | |
i. Full name of securities lending agent | BlackRock Investment Management, LLC |
ii. LEI, if any | 5493006MRTEZZ4S4CQ20 |
iii. Is the securities lending agent an affiliated person, or an affiliated person of an affiliated person, of the Fund? | ![]() ![]() |
iv. Does the securities lending agent or any other entity indemnify the fund against borrower default on loans administered by this agent? | ![]() ![]() |
v. If the entity providing the indemnification is not the securities lending agent, provide the following information: |
Idemnity Providers Record: 1 |
1. Name of person providing indemnification | N/A |
2. LEI, if any, of person providing indemnification | N/A |
vi. Did the Fund exercise its indemnification rights during the reporting period? | ![]() ![]() |
d. If a person providing cash collateral management services to the Fund in connection with the Fund's securities lending activities does not also serve as securities lending agent, provide the following information about each cash collateral manager: |
i. Full name of cash collateral manager: | |
ii. LEI, if any: | |
iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund? | ![]() ![]() |
iv. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of the Fund? | ![]() ![]() |
e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply): | ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
If other, describe: | Rebates paid to borrowers |
f. Provide the monthly average of the value of portfolio securities on loan during the reporting period | N/A |
g. Provide the net income from securities lending activities | N/A |
Item C.7. Reliance on certain rules.
Did the Fund rely on any of the following rules under the Act during the reporting period? (check all that apply) | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Item C.8. Expense limitations.
Instruction. Provide information concerning any direct or indirect limitations, waivers or reductions, on the level of expenses incurred by the fund during the reporting period. A limitation, for example, may be applied indirectly (such as when an adviser agrees to accept a reduced fee pursuant to a voluntary fee waiver) or it may apply only for a temporary period such as for a new fund in its start-up phase. |
a. Did the Fund have an expense limitation arrangement in place during the reporting period? | ![]() ![]() |
b. Were any expenses of the Fund reduced or waived pursuant to an expense limitation arrangement during the reporting period? | ![]() ![]() |
c. Are the fees waived subject to recoupment? | ![]() ![]() |
d. Were any expenses previously waived recouped during the period? | ![]() ![]() |
Item C.9. Investment advisers.
a. Provide the following information about each investment adviser (other than a sub-adviser) of the Fund: |
Investment Advisers Record: 1 | |
i. Full name | BlackRock Advisors, LLC |
ii. SEC file number ( e.g., 801- ) | 801-47710 |
iii.CRD number | 000106614 |
iv. LEI, if any | 5493001LN9MRM6A35J74 |
v. State, if applicable | DELAWARE |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Was the investment adviser hired during the reporting period? | ![]() ![]() |
b. If an investment adviser (other than a sub- adviser) to the Fund was terminated during the reporting period, provide the following with respect to each investment adviser: |
i. Full name | |
ii. SEC file number ( e.g., 801- ) | |
iii. CRD number | |
iv. LEI, if any | |
v. State, if applicable | |
vi. Foreign country, if applicable | |
vii. Termination date |
c. For each sub-adviser to the Fund, provide the information requested: |
i. Full name | |
ii. SEC file number ( e.g., 801- ), if applicable | |
iii. CRD number | |
iv. LEI, if any | |
v. State, if applicable | |
vi. Foreign country, if applicable | |
vii. Is the sub-adviser an affiliated person of the Fund's investment adviser(s)? | ![]() ![]() |
viii. Was the sub-adviser hired during the reporting period? | ![]() ![]() |
d. If a sub-adviser was terminated during the reporting period, provide the following with respect to such sub-adviser: |
i. Full name | |
ii. SEC file number ( e.g., 801- ) | |
iii. CRD number | |
iv. LEI, if any | |
v. State, if applicable | |
vi. Foreign country, if applicable | |
vii. Termination date |
Item C.10. Transfer agents.
a. Provide the following information about each person providing transfer agency services to the Fund: |
Transfer Agents Record: 1 | |
i. Full name | BNY Mellon Investment Servicing (US) Inc. |
ii.SEC file number ( e.g., 84- or 85- ) | 84-01761 |
iii. LEI, if any | 549300CFZQLI9QMJ1Z03 |
iv. State, if applicable | DELAWARE |
v. Foreign country, if applicable | UNITED STATES OF AMERICA |
vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vii. Is the transfer agent a sub-transfer agent? | ![]() ![]() |
b. Has a transfer agent been hired or terminated during the reporting period? | ![]() ![]() |
Item C.11. Pricing services.
a. Provide the following information about each person that provided pricing services to the Fund during the reporting period: |
Pricing Services Record: 1 | |
i. Full name | ICE Data Pricing & Reference Data, LLC |
ii. LEI, if any, or provide and describe other identifying number | 5493000NQ9LYLDBCTL34 |
Description of other identifying number | |
iii. State, if applicable | NEW YORK |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
b. Was a pricing service hired or terminated during the reporting period? | ![]() ![]() |
Item C.12. Custodians.
a. Provide the following information about each person that provided custodial services to the Fund during the reporting period: |
Custodians Record: 1 | |
i. Full name | JPMorgan Chase Bank, N.A. |
ii. LEI, if any | 7H6GLXDRUGQFU57RNE97 |
iii. State, if applicable | NEW YORK |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 2 | |
i. Full name | The Bank of New York Mellon |
ii. LEI, if any | HPFHU0OQ28E4N0NFVK49 |
iii. State, if applicable | NEW YORK |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
b. Has a custodian been hired or terminated during the reporting period?* | ![]() ![]() |
Item C.13. Shareholder servicing agents.
a. Provide the following information about each shareholder servicing agent of the Fund: |
Shareholder servicing agents Record: 1 | |
i. Full name | Benjamin F. Edwards & Company, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-68023 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 2 | |
i. Full name | Alight Financial Solutions LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-47344 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 3 | |
i. Full name | Aon Benfield Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-14953 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 4 | |
i. Full name | Arive Capital Markets |
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 | 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 5 | |
i. Full name | Bill Few Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-49625 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 6 | |
i. Full name | Arque Capital, Ltd. |
ii. LEI, if any, or provide and describe other identifying number | 8-65390 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 7 | |
i. Full name | BC Securities, Inc. (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 | 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 8 | |
i. Full name | Calton & Associates, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-38635 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 9 | |
i. Full name | Bolton Securities Corp. |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 10 | |
i. Full name | Cutter & Company Brokerage, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-39590 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 11 | |
i. Full name | H.D. Vest Investment Services |
ii. LEI, if any, or provide and describe other identifying number | 8-29533 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 12 | |
i. Full name | Great Pacific Securities |
ii. LEI, if any, or provide and describe other identifying number | 8-44398 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 13 | |
i. Full name | FMSBonds, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-23280 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 14 | |
i. Full name | Hancock Investment Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-49106 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 15 | |
i. Full name | Planmember Securities Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-25065 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 16 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 17 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 18 | |
i. Full name | Infinex Investments, 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 19 | |
i. Full name | ACA/Prudent Investors Planning Corporation |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 20 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 21 | |
i. Full name | Maplewood Investment Advisors, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-52221 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 22 | |
i. Full name | Nations Financial Group, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-50588 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 23 | |
i. Full name | Penates Group, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-50594 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 24 | |
i. Full name | Pyramid Funds Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-12769 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 25 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 26 | |
i. Full name | SG Americas Securities, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-66125 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 27 | |
i. Full name | Coburn & Meredith, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-02474 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 28 | |
i. Full name | Transamerica Financial Advisors, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-33429 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 29 | |
i. Full name | Proequities, 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 30 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 31 | |
i. Full name | Uhlmann Price Securities, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-50041 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 32 | |
i. Full name | TIAA-CREF Individual & Institutional Services, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-44454 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 33 | |
i. Full name | Wheelhouse Securities Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-68105 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 34 | |
i. Full name | Calamar Financial Group |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 35 | |
i. Full name | Woodlands Securities Corporation |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 36 | |
i. Full name | 1st Global Capital Corp. |
ii. LEI, if any, or provide and describe other identifying number | 8-44870 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 37 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 38 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 39 | |
i. Full name | Essex Securities LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-51472 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 40 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 41 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 42 | |
i. Full name | Arvest Investments, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-49677 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 43 | |
i. Full name | ARCA Capital Investments, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-53110 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 44 | |
i. Full name | BB&T Securities, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-67486 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 45 | |
i. Full name | ADCAP Securities |
ii. LEI, if any, or provide and describe other identifying number | 8-51285 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 46 | |
i. Full name | Bankers Life Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-69562 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 47 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 48 | |
i. Full name | Bernard Herold & Co., Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-17005 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 49 | |
i. Full name | BNP Paribas Securities Corp |
ii. LEI, if any, or provide and describe other identifying number | 8-40490 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 50 | |
i. Full name | BTG Pactual US Capital, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-68148 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 51 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 52 | |
i. Full name | Carty & Company, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-19082 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 53 | |
i. Full name | Advisory Group Equity 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 54 | |
i. Full name | Excel Securities & Associates, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-34261 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 55 | |
i. Full name | First Kentucky Securities Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-22224 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 56 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 57 | |
i. Full name | Cetera Advisors LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-26892 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 58 | |
i. Full name | American Independent Securities Group, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-66905 |
Description of other identifying number | SEC File Number |
iii. State, if applicable | IDAHO |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 59 | |
i. Full name | G.F. Investment Services, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-66659 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 60 | |
i. Full name | Capital Institutional Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-22273 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 61 | |
i. Full name | Century Securities Associates, Inc. |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 62 | |
i. Full name | Cascade Investment Group, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-46943 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 63 | |
i. Full name | American Portfolios Financial Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-37085 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 64 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 65 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 66 | |
i. Full name | Ceros Financial Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-47955 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 67 | |
i. Full name | Charles Schwab & Co., Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-16514 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 68 | |
i. Full name | BMO Harris Financial Advisors, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-67064 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 69 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 70 | |
i. Full name | Buckman, Buckman & Reid, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-40413 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 71 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 72 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 73 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 74 | |
i. Full name | Detwiler Fenton & Co. |
ii. LEI, if any, or provide and describe other identifying number | 8-16324 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 75 | |
i. Full name | Citizens Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-48744 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 76 | |
i. Full name | Donegal Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-66137 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 77 | |
i. Full name | B.C. Ziegler & Company |
ii. LEI, if any, or provide and describe other identifying number | 8-00094 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 78 | |
i. Full name | Duncan-Williams, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-18971 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 79 | |
i. Full name | Capitol Securities Management, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-30353 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 80 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 81 | |
i. Full name | Etico Partners, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-65500 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 82 | |
i. Full name | Coldstream Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-51549 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 83 | |
i. Full name | Invex, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-44695 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 84 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 85 | |
i. Full name | E-W Investments, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-35259 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 86 | |
i. Full name | E. E. Powell & Company Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-01893 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 87 | |
i. Full name | BTS Securities Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-26818 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 88 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 89 | |
i. Full name | Federated Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-15644 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 90 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 91 | |
i. Full name | CGIS Securities LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-68758 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 92 | |
i. Full name | Family Investors Company |
ii. LEI, if any, or provide and describe other identifying number | 8-11190 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 93 | |
i. Full name | Lincoln Investment Planning, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-14354 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 94 | |
i. Full name | First Bankers' Banc Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-31584 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 95 | |
i. Full name | Financial Planning Consultants, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-25384 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 96 | |
i. Full name | Fidelity Investments Life |
ii. LEI, if any, or provide and describe other identifying number | 54930024AKTQGTIV1P93 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 97 | |
i. Full name | Consolidated Financial Investments, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-37004 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 98 | |
i. Full name | DFPG Investments, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-68730 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 99 | |
i. Full name | Callaway Financial Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-52474 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 100 | |
i. Full name | Dorsey & Company, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-07541 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 101 | |
i. Full name | Cascade Financial Management, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-53730 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 102 | |
i. Full name | FolioFN 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 103 | |
i. Full name | Northern Capital Securities Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-49130 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 104 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 105 | |
i. Full name | First State Financial Management, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-34201 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 106 | |
i. Full name | G.L.S. & Associates, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-51808 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 107 | |
i. Full name | Edward D. Jones & Co., L.P. |
ii. LEI, if any, or provide and describe other identifying number | 8-00759 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 108 | |
i. Full name | CIBC World Markets Corp. |
ii. LEI, if any, or provide and describe other identifying number | 8-18333 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 109 | |
i. Full name | E*Trade Savings Bank |
ii. LEI, if any, or provide and describe other identifying number | 549300DXPO50FJ75QA85 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 110 | |
i. Full name | Centennial Securities Company, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-23406 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 111 | |
i. Full name | Financial Services International Corp. |
ii. LEI, if any, or provide and describe other identifying number | 8-48032 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 112 | |
i. Full name | Commerce Brokerage Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-35096 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 113 | |
i. Full name | H. Beck, Inc. |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 114 | |
i. Full name | Hanson McClain Securities |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 115 | |
i. Full name | MMC Securities Corp. |
ii. LEI, if any, or provide and describe other identifying number | 8-52349 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 116 | |
i. Full name | Rhodes Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-37689 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 117 | |
i. Full name | Healthcare Community Securities Corporation |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 118 | |
i. Full name | Interactive Brokers LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-47257 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 119 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 120 | |
i. Full name | SDDCO Brokerage Advisors, 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 121 | |
i. Full name | North South Capital, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-67979 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 122 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 123 | |
i. Full name | Edwin C. Blitz Investments, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-22741 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 124 | |
i. Full name | Global Brokerage Services, Inc. |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 125 | |
i. Full name | Roberts & Ryan Investments Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-37469 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 126 | |
i. Full name | Geoffrey Richards Securities Corp. |
ii. LEI, if any, or provide and describe other identifying number | 8-65251 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 127 | |
i. Full name | First Allied Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-46167 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 128 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 129 | |
i. Full name | L.S.Y., Inc. |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 130 | |
i. Full name | KCD Financial, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-66005 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 131 | |
i. Full name | Landaas & Company |
ii. LEI, if any, or provide and describe other identifying number | 8-51826 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 132 | |
i. Full name | J.A. Glynn & Co. |
ii. LEI, if any, or provide and describe other identifying number | 8-39465 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 133 | |
i. Full name | S F Sentry Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-43101 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 134 | |
i. Full name | Lincoln Financial Distributors, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-13431 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 135 | |
i. Full name | Leigh Baldwin & Co., LLC |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 136 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 137 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 138 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 139 | |
i. Full name | Halliday Financial, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-45529 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 140 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 141 | |
i. Full name | Gold Coast Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-53148 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 142 | |
i. Full name | Liberty Partners Financial Services, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-66335 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 143 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 144 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 145 | |
i. Full name | MBSC Securities Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-13801 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 146 | |
i. Full name | PNC Capital Markets LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-32493 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 147 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 148 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 149 | |
i. Full name | Herbert J. Sims & Co. Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-03315 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 150 | |
i. Full name | L. B. Fisher & Company |
ii. LEI, if any, or provide and describe other identifying number | 8-21023 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 151 | |
i. Full name | Middlegate Securities Ltd. |
ii. LEI, if any, or provide and describe other identifying number | 8-39031 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 152 | |
i. Full name | Highlander Capital Group, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-37169 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 153 | |
i. Full name | M. Griffith Investment Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-02259 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 154 | |
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 | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 155 | |
i. Full name | Investment Planners, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-35642 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 156 | |
i. Full name | Mid Atlantic Capital Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-27663 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 157 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 158 | |
i. Full name | Mutual Trust Co. of America Securities |
ii. LEI, if any, or provide and describe other identifying number | 8-25547 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 159 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 160 | |
i. Full name | Nicol Investors Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-65566 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 161 | |
i. Full name | Mid-Atlantic Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-36997 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 162 | |
i. Full name | Intercontinental Asset Management Group, Ltd. |
ii. LEI, if any, or provide and describe other identifying number | 8-39706 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 163 | |
i. Full name | Vorpahl Wing Securities |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 164 | |
i. Full name | Old National Trust Company |
ii. LEI, if any, or provide and describe other identifying number | 028-00344 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 165 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 166 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 167 | |
i. Full name | Oscar Gruss & Son Incorporated |
ii. LEI, if any, or provide and describe other identifying number | 8-22371 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 168 | |
i. Full name | Investacorp, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-22598 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 169 | |
i. Full name | Mutual Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-28580 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 170 | |
i. Full name | Wescom Financial Services, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-66189 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 171 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 172 | |
i. Full name | Landolt Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-43645 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 173 | |
i. Full name | Morris Group, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-28916 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 174 | |
i. Full name | SWBC Investment Services, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-66764 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 175 | |
i. Full name | Regulus Advisors, 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 176 | |
i. Full name | Synovus Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-34709 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 177 | |
i. Full name | North Ridge Securities Corp. |
ii. LEI, if any, or provide and describe other identifying number | 8-42879 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 178 | |
i. Full name | Safra Securities LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-51935 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 179 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 180 | |
i. Full name | JJB Hilliard WL Lyons |
ii. LEI, if any, or provide and describe other identifying number | 8-33133 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 181 | |
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 | PUERTO RICO |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 182 | |
i. Full name | M Holdings Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-50214 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 183 | |
i. Full name | M&T Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-35185 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 184 | |
i. Full name | S.A. Stone Wealth Management |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 185 | |
i. Full name | M. S. Howells & Co. |
ii. LEI, if any, or provide and describe other identifying number | 8-52558 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 186 | |
i. Full name | SECU Brokerage Services |
ii. LEI, if any, or provide and describe other identifying number | 8-37927 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 187 | |
i. Full name | Saperston Asset Management, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-50658 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 188 | |
i. Full name | Neidiger, Tucker, Bruner, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-21884 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 189 | |
i. Full name | Securities Service Network, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-28980 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 190 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 191 | |
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 | 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 192 | |
i. Full name | Regions Bank |
ii. LEI, if any, or provide and describe other identifying number | EQTWLK1G7ODGC2MGLV11 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 193 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 194 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 195 | |
i. Full name | MidWestern Securities Trading Company, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-52074 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 196 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 197 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 198 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 199 | |
i. Full name | Northern Trust Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-23689 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 200 | |
i. Full name | The Capital Group Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-52512 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 201 | |
i. Full name | Pension Dynamics Securities Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-52535 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 202 | |
i. Full name | Oberweis Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-49679 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 203 | |
i. Full name | Thompson Davis & Co., Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-49386 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 204 | |
i. Full name | Quincy Cass Associates, Incorporated |
ii. LEI, if any, or provide and describe other identifying number | 8-05743 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 205 | |
i. Full name | U.S. Bancorp Investments, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-35359 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 206 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 207 | |
i. Full name | Ohanesian / Lecours, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-40729 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 208 | |
i. Full name | Unionbanc Investment Services, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-30706 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 209 | |
i. Full name | Mora WM Securities, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-68910 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 210 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 211 | |
i. Full name | VectorGlobal WMG |
ii. LEI, if any, or provide and describe other identifying number | 8-45715 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 212 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 213 | |
i. Full name | Weller, Anderson & Co., 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 214 | |
i. Full name | Nationwide Financial Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 5493001H7AZNDS6BKJ36 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 215 | |
i. Full name | Omni Financial Securities |
ii. LEI, if any, or provide and describe other identifying number | 8-44034 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 216 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 217 | |
i. Full name | WedBush Securities Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-12987 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 218 | |
i. Full name | The O.N. Equity Sales Company |
ii. LEI, if any, or provide and describe other identifying number | 8-14161 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 219 | |
i. Full name | UBS Financial Services Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-16267 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 220 | |
i. Full name | Waddell & Reed, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-27030 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 221 | |
i. Full name | United Planners' Financial Services of America A Limited Partner |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 222 | |
i. Full name | Planned Investment Co., Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-15266 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 223 | |
i. Full name | Sentinel Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-53142 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 224 | |
i. Full name | Wells Fargo Securities, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-65876 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 225 | |
i. Full name | Quest Capital Strategies, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-34532 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 226 | |
i. Full name | Snowden Account Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-68188 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 227 | |
i. Full name | Wells Fargo Bank, N.A. |
ii. LEI, if any, or provide and describe other identifying number | KB1H1DSPRFMYMCUFXT09 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 228 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 229 | |
i. Full name | Summit Equities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-27556 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 230 | |
i. Full name | Vanguard Group, Inc., The |
ii. LEI, if any, or provide and describe other identifying number | 5493002789CY3L0CJP65 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 231 | |
i. Full name | Place Trade Financial, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-65915 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 232 | |
i. Full name | Reliance Worldwide Investments, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-67575 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 233 | |
i. Full name | Teachers Insurance and Annuity Association of America |
ii. LEI, if any, or provide and describe other identifying number | O06YD7BJ4EPYNABVFN69 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 234 | |
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 | 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 235 | |
i. Full name | Trade-PMR 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 236 | |
i. Full name | R.M. Stark & Co., Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-22543 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 237 | |
i. Full name | Vestor Capital Securities |
ii. LEI, if any, or provide and describe other identifying number | 8-32743 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 238 | |
i. Full name | UBATCO & Co. |
ii. LEI, if any, or provide and describe other identifying number | N/A |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 239 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 240 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 241 | |
i. Full name | Schlitt Investor Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-34202 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 242 | |
i. Full name | Bruderman Brothers, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-51974 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 243 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 244 | |
i. Full name | BD4RIA, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-70022 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 245 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 246 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 247 | |
i. Full name | Silber Bennett Financial, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-68795 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 248 | |
i. Full name | Repex & Co., Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-26431 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 249 | |
i. Full name | Newport Retirement Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | N/A |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 250 | |
i. Full name | Wunderlich Securities, 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 251 | |
i. Full name | Stephen A. Kohn & Associates, Ltd. |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 252 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 253 | |
i. Full name | Sammons Retirement Solutions, Inc. |
ii. LEI, if any, or provide and describe other identifying number | N/A |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 254 | |
i. Full name | Southeast Investments, N.C., Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-50127 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 255 | |
i. Full name | Mercer HR Services, LLC |
ii. LEI, if any, or provide and describe other identifying number | N/A |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 256 | |
i. Full name | SunTrust Bank |
ii. LEI, if any, or provide and describe other identifying number | IYDOJBGJWY9T8XKCSX06 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 257 | |
i. Full name | Aufhaser Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-48786 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 258 | |
i. Full name | Supreme Alliance, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-51046 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 259 | |
i. Full name | The Garbacz Group Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-42366 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 260 | |
i. Full name | TD Ameritrade, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-23395 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 261 | |
i. Full name | The Lawrence D. Vitez Corp. DBA Consolidated Securities |
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 | 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 262 | |
i. Full name | Watermark Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-43902 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 263 | |
i. Full name | UBS AG, New York Branch |
ii. LEI, if any, or provide and describe other identifying number | BFM8T61CT2L1QCEMIK50 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 264 | |
i. Full name | Whitney National Bank |
ii. LEI, if any, or provide and describe other identifying number | NSGZD26XPW2CUM2JKU70 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 265 | |
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 | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 266 | |
i. Full name | Saturna Trust Company |
ii. LEI, if any, or provide and describe other identifying number | N/A |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 267 | |
i. Full name | GLP Investment Services |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 268 | |
i. Full name | Fifth Third Bank |
ii. LEI, if any, or provide and describe other identifying number | QFROUN1UWUYU0DVIWD51 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 269 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 270 | |
i. Full name | Access Financial Group, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-46065 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 271 | |
i. Full name | Bodell Overcash Anderson & Co., Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-15775 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 272 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 273 | |
i. Full name | Barclays Capital Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-41342 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 274 | |
i. Full name | Allegiance Capital, L.L.C. |
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 | 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 275 | |
i. Full name | American Financial Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-53205 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 276 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 277 | |
i. Full name | Andbanc Brokerage, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-68759 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 278 | |
i. Full name | Apex Clearing Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-23522 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 279 | |
i. Full name | CoreCap Investments, Inc. |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 280 | |
i. Full name | AxA 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 281 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 282 | |
i. Full name | Blakeslee and 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 283 | |
i. Full name | Bristol Financial Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-67140 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 284 | |
i. Full name | Independent Financial Group, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-22870 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 285 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 286 | |
i. Full name | Access Investments, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-49750 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 287 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 288 | |
i. Full name | ACP Securities, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-67185 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 289 | |
i. Full name | CFT Securities, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-51345 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 290 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 291 | |
i. Full name | City National Bank |
ii. LEI, if any, or provide and describe other identifying number | 593C3GZG957YOJPS2Z63 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 292 | |
i. Full name | Allen & Company of Florida, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-09877 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 293 | |
i. Full name | Alerus Securities |
ii. LEI, if any, or provide and describe other identifying number | 8-47152 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 294 | |
i. Full name | Alight Solutions LLC |
ii. LEI, if any, or provide and describe other identifying number | 084-01996 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 295 | |
i. Full name | Carter, Terry & Company, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-33797 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 296 | |
i. Full name | Dinosaur Securities, L.L.C. |
ii. LEI, if any, or provide and describe other identifying number | 8-52908 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 297 | |
i. Full name | Itau International Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-67674 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 298 | |
i. Full name | 1st Discount Brokerage, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-48557 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 299 | |
i. Full name | Crescent Securities Group |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 300 | |
i. Full name | Citigroup Global Markets Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-08177 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 301 | |
i. Full name | Capital One Investing LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-51160 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 302 | |
i. Full name | Cuso Financial Services, L.P. |
ii. LEI, if any, or provide and describe other identifying number | 8-49711 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 303 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 304 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 305 | |
i. Full name | Fieldpoint Private 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 306 | |
i. Full name | Actinver Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-49311 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 307 | |
i. Full name | Allegis Investment Services, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-69318 |
Description of other identifying number | SEC File Number |
iii. State, if applicable | IDAHO |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 308 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 309 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 310 | |
i. Full name | FNBB Capital Markets, LLC |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 311 | |
i. Full name | Comerica Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-35001 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 312 | |
i. Full name | American Financial Associates, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-44065 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 313 | |
i. Full name | Avalon Investment & Securities Group, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-17078 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 314 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 315 | |
i. Full name | American Capital Partners, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-65165 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 316 | |
i. Full name | BAC Florida Investments |
ii. LEI, if any, or provide and describe other identifying number | 8-37483 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 317 | |
i. Full name | Crews & Associates, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-24075 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 318 | |
i. Full name | First Western Advisors |
ii. LEI, if any, or provide and describe other identifying number | 8-28729 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 319 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 320 | |
i. Full name | Arkadios Capital |
ii. LEI, if any, or provide and describe other identifying number | 8-69729 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 321 | |
i. Full name | American Municipal Securities, 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 322 | |
i. Full name | BancWest Investment Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-44261 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 323 | |
i. Full name | Farmers Financial Solutions, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-52361 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 324 | |
i. Full name | Ameriprise Financial Services, Inc. |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 325 | |
i. Full name | Empire Asset Management Company |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 326 | |
i. Full name | Ameritas Investment Corp. |
ii. LEI, if any, or provide and describe other identifying number | 8-31296 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 327 | |
i. Full name | DWS Investments Distributors, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-47765 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 328 | |
i. Full name | BFT Financial Group, 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 329 | |
i. Full name | Gladowsky Capital Management Corp. |
ii. LEI, if any, or provide and describe other identifying number | 8-51017 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 330 | |
i. Full name | BCG Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-12680 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 331 | |
i. Full name | Ascensus Broker Dealer Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-47312 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 332 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 333 | |
i. Full name | Fidelity Brokerage Services LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-23292 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 334 | |
i. Full name | Avondale Partners, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-51550 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 335 | |
i. Full name | Brazos Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-39119 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 336 | |
i. Full name | FTB 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 337 | |
i. Full name | Feldstein Financial Group, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-53388 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 338 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 339 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 340 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 341 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 342 | |
i. Full name | Bolton Global Capital |
ii. LEI, if any, or provide and describe other identifying number | 8-33222 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 343 | |
i. Full name | Cantella & Co., Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-23904 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 344 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 345 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 346 | |
i. Full name | Bley Investments 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 347 | |
i. Full name | CBIZ Financial Solutions, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-34205 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 348 | |
i. Full name | Garden State Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-25790 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 349 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 350 | |
i. Full name | GWN Securities Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-66185 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 351 | |
i. Full name | C. R. Davis & Company |
ii. LEI, if any, or provide and describe other identifying number | 8-859 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 352 | |
i. Full name | Broker Dealer Financial Services Corp. |
ii. LEI, if any, or provide and describe other identifying number | 8-24220 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 353 | |
i. Full name | Coastal Equities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-40822 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 354 | |
i. Full name | H. C. Denison Co. |
ii. LEI, if any, or provide and describe other identifying number | 8-00044 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 355 | |
i. Full name | Hornor, Townsend & Kent, Inc. |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 356 | |
i. Full name | Centaurus Financial, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-45185 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 357 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 358 | |
i. Full name | Corinthian Partners, L.L.C. |
ii. LEI, if any, or provide and describe other identifying number | 8-48461 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 359 | |
i. Full name | CUNA Brokerage Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-30027 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 360 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 361 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 362 | |
i. Full name | Davenport & Company LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-17103 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 363 | |
i. Full name | Crestone Securities |
ii. LEI, if any, or provide and describe other identifying number | 8-52463 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 364 | |
i. Full name | Cary Street Partners LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-66085 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 365 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 366 | |
i. Full name | Capital Financial Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-25203 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 367 | |
i. Full name | ING Financial Markets LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-43978 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 368 | |
i. Full name | Cetera Financial Specialists LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-27082 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 369 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 370 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 371 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 372 | |
i. Full name | Fifth Third Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-02428 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 373 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 374 | |
i. Full name | Sanders Morris Harris Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-38325 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 375 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 376 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 377 | |
i. Full name | First Manhattan Co. |
ii. LEI, if any, or provide and describe other identifying number | 8-10438 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 378 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 379 | |
i. Full name | Foresters Financial Services |
ii. LEI, if any, or provide and describe other identifying number | 8-13891 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 380 | |
i. Full name | Coker & Palmer, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-44129 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 381 | |
i. Full name | FSB Warner Financial, 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 382 | |
i. Full name | J.D. Seibert & Company, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-23604 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 383 | |
i. Full name | Forest Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-33568 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 384 | |
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 | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 385 | |
i. Full name | Gardner Financial Services, 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 386 | |
i. Full name | Kovitz Securities, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-66267 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 387 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 388 | |
i. Full name | Kalos Capital, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-50630 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 389 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 390 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 391 | |
i. Full name | Joseph Gunnar & Co. LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-41386 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 392 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 393 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 394 | |
i. Full name | Ladenburg Thalman & Co. Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-17230 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 395 | |
i. Full name | 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 396 | |
i. Full name | Conover Securities Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-35085 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 397 | |
i. Full name | Hapoalim Securities USA, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-03018 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 398 | |
i. Full name | GRF Capital Investors, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-41494 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 399 | |
i. Full name | Harvest Financial Corporation |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 400 | |
i. Full name | Philip J. Greenblatt Securities Ltd |
ii. LEI, if any, or provide and describe other identifying number | 8-30725 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 401 | |
i. Full name | CRI Securities, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-39877 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 402 | |
i. Full name | Lieblong & Associates, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-49880 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 403 | |
i. Full name | Deutsche Bank Securities Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-17822 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 404 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 405 | |
i. Full name | Detalus Securities, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-52180 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 406 | |
i. Full name | Hilltop Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-45123 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 407 | |
i. Full name | Mesirow Financial, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-28816 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 408 | |
i. Full name | Lucia Securities, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-47643 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 409 | |
i. Full name | Navy Federal Brokerage 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 410 | |
i. Full name | Dominick & Dominick LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-21076 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 411 | |
i. Full name | Prospera Financial Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-28164 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 412 | |
i. Full name | E*Trade Securities |
ii. LEI, if any, or provide and describe other identifying number | 8-44112 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 413 | |
i. Full name | NorthWestern Mutual Investment Services, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-14088 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 414 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 415 | |
i. Full name | Hightower Securities, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-53560 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 416 | |
i. Full name | HSBC Securities (USA), Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-41562 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 417 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 418 | |
i. Full name | Visun Securities Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-31907 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 419 | |
i. Full name | Integral Financial LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-65284 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 420 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 421 | |
i. Full name | Hunter Associates, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-44779 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 422 | |
i. Full name | First Financial Equity Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-34082 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 423 | |
i. Full name | PNC Bank, N.A. |
ii. LEI, if any, or provide and describe other identifying number | AD6GFRVSDT01YPT1CS68 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 424 | |
i. Full name | Investment Placement Group |
ii. LEI, if any, or provide and describe other identifying number | 8-30700 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 425 | |
i. Full name | First Heartland Capital, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-46008 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 426 | |
i. Full name | Investment Architects, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-35724 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 427 | |
i. Full name | Portfolio Resources Group, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-45380 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 428 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 429 | |
i. Full name | First Command Financial Planning, 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 430 | |
i. Full name | PWA Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-67700 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 431 | |
i. Full name | Foresters Equity Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-36703 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 432 | |
i. Full name | Planners Financial Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-18027 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 433 | |
i. Full name | Key West Investments, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-68166 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 434 | |
i. Full name | Register Financial Associates, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-45012 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 435 | |
i. Full name | Petersen Investments, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-48306 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 436 | |
i. Full name | Monere Investments, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-52982 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 437 | |
i. Full name | Gerwin Group, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-40282 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 438 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 439 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 440 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 441 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 442 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 443 | |
i. Full name | Planned Financial Programs, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-05727 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 444 | |
i. Full name | Key Investment Services LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-66999 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 445 | |
i. Full name | Sterling Monroe Securities, 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 446 | |
i. Full name | Mercantil Commercebank Investment Services |
ii. LEI, if any, or provide and describe other identifying number | 8-53612 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 447 | |
i. Full name | LaSalle St. Securities, L.L.C. |
ii. LEI, if any, or provide and describe other identifying number | 8-18860 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 448 | |
i. Full name | NIA Securities, L.L.C. |
ii. LEI, if any, or provide and describe other identifying number | 8-50591 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 449 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 450 | |
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 | NEW HAMPSHIRE |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 451 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 452 | |
i. Full name | Northeastern Financial Group, Incorporated |
ii. LEI, if any, or provide and describe other identifying number | 8-33132 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 453 | |
i. Full name | Princor Financial Services Corporation |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 454 | |
i. Full name | Mid-Atlantic Clearing & Settlement Corp. |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 455 | |
i. Full name | Nestlerode & Loy, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-12629 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 456 | |
i. Full name | People's Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-29667 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 457 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 458 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 459 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 460 | |
i. Full name | Herndon Plant Oakley, LTD |
ii. LEI, if any, or provide and describe other identifying number | 8-50912 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 461 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 462 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 463 | |
i. Full name | Samuel A Ramirez & Co., Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-19014 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 464 | |
i. Full name | MHA Financial Corp. |
ii. LEI, if any, or provide and describe other identifying number | 8-21836 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 465 | |
i. Full name | Keystone Capital 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 466 | |
i. Full name | TimeCapital Securities Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-18248 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 467 | |
i. Full name | Nationwide Securities, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-12500 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 468 | |
i. Full name | Sabadell Securities USA, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-67975 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 469 | |
i. Full name | TRG Advisors, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-50449 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 470 | |
i. Full name | TrustCore Investments, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-32152 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 471 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 472 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 473 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 474 | |
i. Full name | The Jeffrey Matthews Financial Group, L.L.C. |
ii. LEI, if any, or provide and describe other identifying number | 8-49352 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 475 | |
i. Full name | Pacific Financial Associates, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-40712 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 476 | |
i. Full name | Huntleigh Securities Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-21893 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 477 | |
i. Full name | Pershing, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-17574 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 478 | |
i. Full name | Pruco Securities, LLC. |
ii. LEI, if any, or provide and describe other identifying number | 8-16402 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 479 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 480 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 481 | |
i. Full name | Rogan & Associates, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-49995 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 482 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 483 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 484 | |
i. Full name | Oppenheimer & Co. Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-04077 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 485 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 486 | |
i. Full name | Rehmann Financial Network |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 487 | |
i. Full name | TCFG Wealth Management, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-69089 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 488 | |
i. Full name | KMS Financial Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-15433 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 489 | |
i. Full name | Reliance Trust Company |
ii. LEI, if any, or provide and describe other identifying number | 549300NV8FSQRNOUQO50 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 490 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 491 | |
i. Full name | Thoroughbred Financial Services, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-51944 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 492 | |
i. Full name | The GMS Group, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-23936 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 493 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 494 | |
i. Full name | T. Rowe Price Investment Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-25130 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 495 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 496 | |
i. Full name | Univest Investments, Inc. |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 497 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 498 | |
i. Full name | USCA Securities LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-52285 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 499 | |
i. Full name | Vanguard Marketing Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-21570 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 500 | |
i. Full name | Shareholders Service Group, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-65778 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 501 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 502 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 503 | |
i. Full name | Stifel, Nicolaus & Company, Incorporated |
ii. LEI, if any, or provide and describe other identifying number | 8-01447 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 504 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 505 | |
i. Full name | Slavic Investment Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-40024 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 506 | |
i. Full name | Leumi Investment Services Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-52993 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 507 | |
i. Full name | Lara, May & Associates, 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 508 | |
i. Full name | Stannard Financial Services, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-50654 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 509 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 510 | |
i. Full name | Wall Street Access |
ii. LEI, if any, or provide and describe other identifying number | 8-25936 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 511 | |
i. Full name | Wayne Hummer Investments, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-00484 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 512 | |
i. Full name | Lockton Financial Advisors, 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 513 | |
i. Full name | TD Ameritrade Trust Company |
ii. LEI, if any, or provide and describe other identifying number | 028-15163 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 514 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 515 | |
i. Full name | Summit Brokerage Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-46310 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 516 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 517 | |
i. Full name | Titleist Asset Management, Ltd. |
ii. LEI, if any, or provide and describe other identifying number | 8-65859 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 518 | |
i. Full name | PTS 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 519 | |
i. Full name | John Hancock Trust Company |
ii. LEI, if any, or provide and describe other identifying number | 549300W205WZCFZS6R51 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 520 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 521 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 522 | |
i. Full name | Robinson & Robinson, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-17109 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 523 | |
i. Full name | Triad Advisors, Inc. |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 524 | |
i. Full name | Charles Schwab Bank |
ii. LEI, if any, or provide and describe other identifying number | 549300INFJ8TYNZ1G568 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 525 | |
i. Full name | RBC Capital Markets, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-45411 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 526 | |
i. Full name | Vision Financial Markets LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-67447 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 527 | |
i. Full name | Umpqua Investments, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-02915 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 528 | |
i. Full name | Western Growers Financial Services, Inc. |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 529 | |
i. Full name | T. Rowe Price Retirement Plan Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 084-06219 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 530 | |
i. Full name | Chalice Capital Partners, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-69967 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 531 | |
i. Full name | VOYA Investments Distributors, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-48020 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 532 | |
i. Full name | Legacy Asset Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-51871 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 533 | |
i. Full name | Investment Professionals, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-44786 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 534 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 535 | |
i. Full name | Meridien Financial Group, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-26090 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 536 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 537 | |
i. Full name | Weston Securities Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-32664 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 538 | |
i. Full name | Wood (Arthur W.) Company, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-03368 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 539 | |
i. Full name | William Blair & Company L.L.C. |
ii. LEI, if any, or provide and describe other identifying number | 8-02698 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 540 | |
i. Full name | Loria Financial Group, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-52128 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 541 | |
i. Full name | Merrill Lynch, Pierce, Fenner & Smith Incorporated |
ii. LEI, if any, or provide and describe other identifying number | 8-07221 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 542 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 543 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 544 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 545 | |
i. Full name | Moors & Cabot, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-23060 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 546 | |
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 | |
iv. Foreign country, if applicable | UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND |
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 547 | |
i. Full name | National Financial Services, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-26740 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 548 | |
i. Full name | Woodstock Financial Group, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-48080 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 549 | |
i. Full name | LPL Financial LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-17668 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 550 | |
i. Full name | NPB Financial Group, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-67113 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 551 | |
i. Full name | Fidelity Investments Institutional Operations Company, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-35097 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 552 | |
i. Full name | Voya Retirement Insurance and Annuity Company |
ii. LEI, if any, or provide and describe other identifying number | OK3MKCDYPD4NN6QDGK18 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 553 | |
i. Full name | State Farm VP Management Corp |
ii. LEI, if any, or provide and describe other identifying number | 8-50128 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 554 | |
i. Full name | Zions Investment |
ii. LEI, if any, or provide and describe other identifying number | 8-35721 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 555 | |
i. Full name | Voya Institutional Plan Services, LLC |
ii. LEI, if any, or provide and describe other identifying number | N/A |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 556 | |
i. Full name | NYLife Securities LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-15517 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 557 | |
i. Full name | JPMorgan Chase Bank, N.A. |
ii. LEI, if any, or provide and describe other identifying number | 7H6GLYDRUGQFU57RNE97 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 558 | |
i. Full name | Ascensus, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 549300K5MHNFPEU2RK82 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 559 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 560 | |
i. Full name | Peak Brokerage Services, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-68829 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 561 | |
i. Full name | Concord Wealth Brokerage |
ii. LEI, if any, or provide and describe other identifying number | 8-41511 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 562 | |
i. Full name | Oriental Financial Services Corp. |
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 | PUERTO RICO |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 563 | |
i. Full name | MSEC, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-68627 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 564 | |
i. Full name | Benefit Trust Company |
ii. LEI, if any, or provide and describe other identifying number | N/A |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 565 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 566 | |
i. Full name | PFS Investments Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-26486 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 567 | |
i. Full name | MV Securities Group, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-47827 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 568 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 569 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 570 | |
i. Full name | RIM Securities LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-36759 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 571 | |
i. Full name | R. Seelaus & Co., Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-31475 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 572 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 573 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 574 | |
i. Full name | Securities Research, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-23699 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 575 | |
i. Full name | SKA Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-53366 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 576 | |
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 | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 577 | |
i. Full name | Sycamore Financial Group |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 578 | |
i. Full name | TCM Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-50313 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 579 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 580 | |
i. Full name | TD Ameritrade Clearing, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-16335 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 581 | |
i. Full name | Treasure Financial Corp. |
ii. LEI, if any, or provide and describe other identifying number | 8-48165 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 582 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 583 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 584 | |
i. Full name | Stonnington Group, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-66919 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 585 | |
i. Full name | Questar Capital Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-50174 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 586 | |
i. Full name | USAA Investment Management Company |
ii. LEI, if any, or provide and describe other identifying number | 8-41241 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 587 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 588 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 589 | |
i. Full name | Winslow, Evans & Crocker, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-44347 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 590 | |
i. Full name | Western International Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-48572 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 591 | |
i. Full name | William C. Burnside & Company, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-21242 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 592 | |
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 | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 593 | |
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 | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 594 | |
i. Full name | AssetMark Trust Company |
ii. LEI, if any, or provide and describe other identifying number | N/A |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 595 | |
i. Full name | American Wealth Management |
ii. LEI, if any, or provide and describe other identifying number | 8-41807 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 596 | |
i. Full name | Insigneo Securities, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-44166 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 597 | |
i. Full name | Allianz Life Financial Services, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-13630 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 598 | |
i. Full name | BBVA Securities Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-42857 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 599 | |
i. Full name | Axiom Capital Management, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-42638 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 600 | |
i. Full name | Citizens Bank |
ii. LEI, if any, or provide and describe other identifying number | DRMSV1Q0EKMEXLAU1P80 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 601 | |
i. Full name | Client One 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 602 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 603 | |
i. Full name | ABD Retirement Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-69271 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 604 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 605 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 606 | |
i. Full name | Essex Financial Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-66015 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 607 | |
i. Full name | American Century Investment Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-35220 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 608 | |
i. Full name | Amegy Investments, Inc. (Zions) |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 609 | |
i. Full name | Feltl & Company |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 610 | |
i. Full name | Benchmark Investments, Inc. |
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 | 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 611 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 612 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 613 | |
i. Full name | Avisen Securities, 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 614 | |
i. Full name | BestVest Investments, Ltd. |
ii. LEI, if any, or provide and describe other identifying number | 8-49007 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 615 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 616 | |
i. Full name | BPU Investment Management, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-34979 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 617 | |
i. Full name | BMO Harris Bank |
ii. LEI, if any, or provide and describe other identifying number | 3Y4U8VZURTYWI1W2K376 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 618 | |
i. Full name | BOSC, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-35381 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 619 | |
i. Full name | Berthel, Fisher & Company Financial Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-29426 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 620 | |
i. Full name | Cadaret, Grant & Co., Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-27844 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 621 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 622 | |
i. Full name | Cambridge Investment Research, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-48740 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 623 | |
i. Full name | Hantz Financial Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-51291 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 624 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 625 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 626 | |
i. Full name | Cetera Investment Services, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-31826 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 627 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 628 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 629 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 630 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 631 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 632 | |
i. Full name | Commonwealth Equity Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-24040 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 633 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 634 | |
i. Full name | Country Club Financial Services, 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 635 | |
i. Full name | D.H. Hill Securities LLP |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 636 | |
i. Full name | Broadridge Business Process Outsourcing, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-53412 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 637 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 638 | |
i. Full name | Comprehensive Asset Management and Servicing, 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 639 | |
i. Full name | American Enterprise Investment Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-42582 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 640 | |
i. Full name | D.M. Kelly & Company |
ii. LEI, if any, or provide and describe other identifying number | 8-48398 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 641 | |
i. Full name | David A. Noyes & Company |
ii. LEI, if any, or provide and describe other identifying number | 8-22752 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 642 | |
i. Full name | Credit Suisse Securities (USA) LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-00422 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 643 | |
i. Full name | David Lerner Associates, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-20746 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 644 | |
i. Full name | Arete Wealth Management, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-50854 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 645 | |
i. Full name | Boenning & Scattergood, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-15543 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 646 | |
i. Full name | LaBrunerie Financial Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-47830 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 647 | |
i. Full name | Dougherty & Company LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-21937 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 648 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 649 | |
i. Full name | Caldwell Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-27639 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 650 | |
i. Full name | DesPain Financial Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-37056 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 651 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 652 | |
i. Full name | FCG Advisors, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-49104 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 653 | |
i. Full name | Finance 500, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-28302 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 654 | |
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 | 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 655 | |
i. Full name | First Honolulu Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-23919 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 656 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 657 | |
i. Full name | EK Riley Investments, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-65369 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 658 | |
i. Full name | Folger Nolan Fleming Douglas Incorporated |
ii. LEI, if any, or provide and describe other identifying number | 8-03335 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 659 | |
i. Full name | First Southern, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-69733 |
Description of other identifying number | SEC File Number |
iii. State, if applicable | PUERTO RICO |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 660 | |
i. Full name | First Financial Securities of America, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-29565 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 661 | |
i. Full name | G. W. & 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 662 | |
i. Full name | Fortune Financial Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-49727 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 663 | |
i. Full name | Genworth Life & Annuity Insurance Company |
ii. LEI, if any, or provide and describe other identifying number | TAI340D9BWT9R77O0P03 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 664 | |
i. Full name | General Securities Corp. |
ii. LEI, if any, or provide and describe other identifying number | 8-31654 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 665 | |
i. Full name | Gilbert, Doniger & Co., Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-22326 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 666 | |
i. Full name | Glen Eagle Advisors LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-65678 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 667 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 668 | |
i. Full name | Goldman Sachs & Co. LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-00129 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 669 | |
i. Full name | Paradigm Equities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-45593 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 670 | |
i. Full name | Patapsco Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-43485 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 671 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 672 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 673 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 674 | |
i. Full name | Hazlett, Burt & Watson, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-17737 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 675 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 676 | |
i. Full name | Hefren-Tillotson, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-10646 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 677 | |
i. Full name | Horace Mann Life Insurance Co. |
ii. LEI, if any, or provide and describe other identifying number | 5493000HR2JKKNH2FL09 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 678 | |
i. Full name | IDB Capital Corp. |
ii. LEI, if any, or provide and describe other identifying number | 8-53000 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 679 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 680 | |
i. Full name | GWFS Equities, 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 681 | |
i. Full name | Hennion & Walsh, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-41988 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 682 | |
i. Full name | Freimark Blair & Company, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-28646 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 683 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 684 | |
i. Full name | Hancock Bank Corporation |
ii. LEI, if any, or provide and describe other identifying number | 549300GRNBWY8HIICT41 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 685 | |
i. Full name | First Republic Securities Company, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-52973 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 686 | |
i. Full name | Financial Northeastern Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-34883 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 687 | |
i. Full name | Fairport Capital, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-32162 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 688 | |
i. Full name | Exeter Trust Company |
ii. LEI, if any, or provide and describe other identifying number | 028-04279 |
Description of other identifying number | SEC File Number |
iii. State, if applicable | NEW HAMPSHIRE |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 689 | |
i. Full name | ICMA-RC Services, Inc. |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 690 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 691 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 692 | |
i. Full name | Innovation Partners LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-67812 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 693 | |
i. Full name | Eastern Point Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-39398 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 694 | |
i. Full name | D.A. Davidson & Co. |
ii. LEI, if any, or provide and describe other identifying number | 8-02399 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 695 | |
i. Full name | International Financial Solutions, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-49020 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 696 | |
i. Full name | Institutional Securities Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-38158 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 697 | |
i. Full name | International Assets Advisory, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-27736 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 698 | |
i. Full name | InvestShares (Legal name: IMA Securities LLC) |
ii. LEI, if any, or provide and describe other identifying number | 8-68365 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 699 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 700 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 701 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 702 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 703 | |
i. Full name | Securian Financial Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-31955 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 704 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 705 | |
i. Full name | Keel Point Capital, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-22990 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 706 | |
i. Full name | Kercheville & Company, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-32795 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 707 | |
i. Full name | JHW Financial Services Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-45304 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 708 | |
i. Full name | Lexington Investment Company, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-43085 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 709 | |
i. Full name | Kovack Securities Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-50847 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 710 | |
i. Full name | Liberty Group, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-52994 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 711 | |
i. Full name | Liberty Capital Investment Corporation |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 712 | |
i. Full name | J.P. Morgan Securities LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-35008 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 713 | |
i. Full name | Insight Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-16247 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 714 | |
i. Full name | Lantern Investments, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-45285 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 715 | |
i. Full name | Madison Avenue Securities, Inc. |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 716 | |
i. Full name | Larson Financial Securities, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-68456 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 717 | |
i. Full name | Mack Investment Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-35536 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 718 | |
i. Full name | TradeStation Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-48711 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 719 | |
i. Full name | Marsco Investment Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-36754 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 720 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 721 | |
i. Full name | International Research Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-37954 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 722 | |
i. Full name | Monex Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-44874 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 723 | |
i. Full name | Fiduciary Trust International |
ii. LEI, if any, or provide and describe other identifying number | N1YKEWO2IYPRS4742F57 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 724 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 725 | |
i. Full name | Morgan Stanley Smith Barney LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-68191 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 726 | |
i. Full name | Jack V. Butterfield Investment Company |
ii. LEI, if any, or provide and describe other identifying number | 8-12454 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 727 | |
i. Full name | Loring Ward Securities Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-51381 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 728 | |
i. Full name | Jefferies, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-15074 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 729 | |
i. Full name | K. W. Chambers & CO. |
ii. LEI, if any, or provide and describe other identifying number | 8-10533 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 730 | |
i. Full name | Morgan Stanley & Co. LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-15869 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 731 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 732 | |
i. Full name | Maxim Group LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-65337 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 733 | |
i. Full name | Inverness Securities, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-66278 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 734 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 735 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 736 | |
i. Full name | Means Investment Co., Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-27458 |
Description of other identifying number | SEC File Number |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 737 | |
i. Full name | Nationwide Planning Associates Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-45310 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 738 | |
i. Full name | NYLife Distributors LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-46655 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 739 | |
i. Full name | Nelson Ivest Brokerage Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-26448 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 740 | |
i. Full name | Neuberger Berman LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-01068 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 741 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 742 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 743 | |
i. Full name | Northwest Investment Advisors, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-65282 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 744 | |
i. Full name | Pershing Advisor Solutions, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-47425 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 745 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 746 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 747 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 748 | |
i. Full name | P. R. Herzig & Co. Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-22589 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 749 | |
i. Full name | Riversource Distributors, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-67196 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 750 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 751 | |
i. Full name | Raymond James Financial Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-17983 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 752 | |
i. Full name | Raymond James & Associates, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-10999 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 753 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 754 | |
i. Full name | RF Lafferty & Co |
ii. LEI, if any, or provide and describe other identifying number | 8-25581 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 755 | |
i. Full name | Podesta & Co. |
ii. LEI, if any, or provide and describe other identifying number | 8-28860 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 756 | |
i. Full name | Northeast Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-42227 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 757 | |
i. Full name | Queens Road Securities, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-52737 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 758 | |
i. Full name | Royal Alliance Associates, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-40218 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 759 | |
i. Full name | Rodgers Brothers, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-33475 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 760 | |
i. Full name | Sage, Rutty & Co., 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 761 | |
i. Full name | SecureVest Financial Group |
ii. LEI, if any, or provide and describe other identifying number | 8-26030 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 762 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 763 | |
i. Full name | Saxony Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-53490 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 764 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 765 | |
i. Full name | Rothschild Investment Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-16429 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 766 | |
i. Full name | RJJ Pasadena Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-25324 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 767 | |
i. Full name | Simmons First Investment Group, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-51795 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 768 | |
i. Full name | Ross, Sinclaire & Associates, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-41740 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 769 | |
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 | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 770 | |
i. Full name | Sisung Securities Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-42121 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 771 | |
i. Full name | Signature Securities Group Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-52697 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 772 | |
i. Full name | SEI Private Trust Company |
ii. LEI, if any, or provide and describe other identifying number | 028-10625 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 773 | |
i. Full name | Digital Retirement Solutions, Inc. |
ii. LEI, if any, or provide and describe other identifying number | N/A |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 774 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 775 | |
i. Full name | Stephens Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-01927 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 776 | |
i. Full name | Robert W. Baird & Co. Incorporated |
ii. LEI, if any, or provide and describe other identifying number | 8-00497 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 777 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 778 | |
i. Full name | St. Bernard Financial Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-47566 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 779 | |
i. Full name | StockCross Financial Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-17758 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 780 | |
i. Full name | Sweney Cartwright & Company |
ii. LEI, if any, or provide and describe other identifying number | 8-03150 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 781 | |
i. Full name | The Huntington Investment Company |
ii. LEI, if any, or provide and describe other identifying number | 8-34867 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 782 | |
i. Full name | Thurston, Springer, Miller, Herd & Titak, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-25452 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 783 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 784 | |
i. Full name | Superior Financial Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-52618 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 785 | |
i. Full name | Invicta Capital, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-69923 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 786 | |
i. Full name | The Oak Ridge Financial Services Group, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-50082 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 787 | |
i. Full name | Tradition Asiel Securities Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-43559 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 788 | |
i. Full name | The Tavenner Company |
ii. LEI, if any, or provide and describe other identifying number | 8-41206 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 789 | |
i. Full name | The Investment Center, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-35826 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 790 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 791 | |
i. Full name | TransAm 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 | 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 792 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 793 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 794 | |
i. Full name | Sigma Financial Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-30466 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 795 | |
i. Full name | ValMark Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-45463 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 796 | |
i. Full name | UMB Financial Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-34999 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 797 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 798 | |
i. Full name | Vaughan & Co Securities, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-36916 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 799 | |
i. Full name | Vanderbilt Securities, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-16712 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 800 | |
i. Full name | VBC Securities, LLC |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 801 | |
i. Full name | Wells Fargo Clearing Services, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-37180 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 802 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 803 | |
i. Full name | Voya Financial Partners, LLC |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 804 | |
i. Full name | VOYA Financial Advisors, 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 805 | |
i. Full name | Westport Resources Investment Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-40904 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 806 | |
i. Full name | Wiley Bros.-Aintree Capital, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-03774 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 807 | |
i. Full name | Whitehall-Parker Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-27688 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 808 | |
i. Full name | First Mercantile Trust Company |
ii. LEI, if any, or provide and describe other identifying number | 028-10498 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 809 | |
i. Full name | Hartford Life Insurance Company |
ii. LEI, if any, or provide and describe other identifying number | 8CE7JPU9IU72L3PPD756 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 810 | |
i. Full name | Primerica Shareholder Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 084-01499 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 811 | |
i. Full name | Security Distributors, Inc. |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 812 | |
i. Full name | World Trend Financial Planning Services, Ltd. |
ii. LEI, if any, or provide and describe other identifying number | 8-43693 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 813 | |
i. Full name | Benefit Plans Administrative Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | N/A |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 814 | |
i. Full name | American United Life Insurance Company |
ii. LEI, if any, or provide and describe other identifying number | 549300T82H2DYU80LV98 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 815 | |
i. Full name | World Equity Group, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-44088 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 816 | |
i. Full name | MerCap Securities |
ii. LEI, if any, or provide and describe other identifying number | 8-68810 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 817 | |
i. Full name | Principal Life Insurance Company |
ii. LEI, if any, or provide and describe other identifying number | SDCMU2LVKGV2AF1KWP64 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 818 | |
i. Full name | Standard Insurance Company |
ii. LEI, if any, or provide and describe other identifying number | 549300KVA8DBYKHPXO21 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 819 | |
i. Full name | Signator Investors, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-13995 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 820 | |
i. Full name | Northland Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-48994 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 821 | |
i. Full name | SunTrust 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 822 | |
i. Full name | Nest Investments BD, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-70117 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 823 | |
i. Full name | XP Securities, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-68817 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 824 | |
i. Full name | Great-West Financial Retirement Plan Services, LLC |
ii. LEI, if any, or provide and describe other identifying number | N/A |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 825 | |
i. Full name | Guardian Insurance & Annuity Company, Inc., The |
ii. LEI, if any, or provide and describe other identifying number | TGIU5N0SIMULU6I57R64 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 826 | |
i. Full name | Piper Jaffray & Co. |
ii. LEI, if any, or provide and describe other identifying number | 8-15204 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 827 | |
i. Full name | World Choice Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-45235 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 828 | |
i. Full name | ViewTrade Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-51605 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 829 | |
i. Full name | Hartford Funds Management Company, LLC |
ii. LEI, if any, or provide and describe other identifying number | 801-77209 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 830 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 831 | |
i. Full name | John Hancock Life Insurance Company |
ii. LEI, if any, or provide and describe other identifying number | QQ0OZ8J9C4B5QT1XDG31 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 832 | |
i. Full name | IFP Securities |
ii. LEI, if any, or provide and describe other identifying number | 8-70150 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 833 | |
i. Full name | Prudential Insurance Company of America |
ii. LEI, if any, or provide and describe other identifying number | Y574KRZ6V5A7UBU45C31 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 834 | |
i. Full name | Conduent HR Services LLC |
ii. LEI, if any, or provide and describe other identifying number | 084-06035 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 835 | |
i. Full name | Wellington Shields & Co., LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-68098 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 836 | |
i. Full name | Purshe Kaplan Sterling Investments |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 837 | |
i. Full name | OFG Financial Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-40770 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 838 | |
i. Full name | NBC Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-35870 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
b. Has a shareholder servicing agent been hired or terminated during the reporting period? | ![]() ![]() |
Item C.14. Administrators.
a. Provide the following information about each administrator of the Fund: |
Administrators Record: 1 | |
i. Full name | JPMorgan Chase Bank, N.A. |
ii. LEI, if any, or other identifying number | 7H6GLXDRUGQFU57RNE97 |
Description of other identifying number | |
iii. State, if applicable | NEW YORK |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the administrator an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the administrator a sub-administrator? | ![]() ![]() |
Administrators Record: 2 | |
i. Full name | BlackRock Advisors, LLC |
ii. LEI, if any, or other identifying number | 5493001LN9MRM6A35J74 |
Description of other identifying number | |
iii. State, if applicable | DELAWARE |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the administrator an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the administrator a sub-administrator? | ![]() ![]() |
b.Has a third-party administrator been hired or terminated during the reporting period? | ![]() ![]() |
Item C.15. Affiliated broker-dealers.
Provide the following information about each affiliated broker-dealer: |
Broker Dealers Record: 1 | |
a. Full name | BlackRock Investments, LLC |
b. SEC file number | 8-48436 |
c. CRD number | 000038642 |
d. LEI, if any | N/A |
e. State, if applicable | NEW YORK |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0 |
Broker Dealers Record: 2 | |
a. Full name | BlackRock Execution Services |
b. SEC file number | 8-48719 |
c. CRD number | 000039438 |
d. LEI, if any | 549300HFCRQ0NT5KY652 |
e. State, if applicable | NEW YORK |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0 |
Item C.16. Brokers.
Instructions to Item C.16 and Item C.17. To help Registrants distinguish between agency and principal transactions, and to promote consistent reporting of the information required by these items, the following criteria should be used: 1. If a security is purchased or sold in a transaction for which the confirmation specifies the amount of the commission to be paid by the Registrant, the transaction should be considered an agency transaction and included in determining the answers to Item C.16. 2. If a security is purchased or sold in a transaction for which the confirmation specifies only the net amount to be paid or received by the Registrant and such net amount is equal to the market value of the security at the time of the transaction, the transaction should be considered a principal transaction and included in determining the amounts in Item C.17. 3. If a security is purchased by the Registrant in an underwritten offering, the acquisition should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the underwriters are receiving from the issuer. 4. If a security is sold by the Registrant in a tender offer, the sale should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the offeror is paying to soliciting brokers or dealers. 5. If a security is purchased directly from the issuer (such as a bank CD), the purchase should be considered a principal transaction and included in answering Item C.17. 6. The value of called or maturing securities should not be counted in either agency or principal transactions and should not be included in determining the amounts shown in Item C.16 and Item C.17. This means that the acquisition of a security may be included, but it is possible that its disposition may not be included. Disposition of a repurchase agreement at its expiration date should not be included. 7. The purchase or sales of securities in transactions not described in paragraphs (1) through (6) above should be evaluated by the Fund based upon the guidelines established in those paragraphs and classified accordingly. The agents considered in Item C.16 may be persons or companies not registered under the Exchange Act as securities brokers. The persons or companies from whom the investment company purchased or to whom it sold portfolio instruments on a principal basis may be persons or entities not registered under the Exchange Act as securities dealers. |
a. For each of the ten brokers that received the largest dollar amount of brokerage commissions (excluding dealer concessions in underwritings) by virtue of direct or indirect participation in the Fund’s portfolio transactions, provide the information below: |
i. Full name of broker | |
ii. SEC file number | |
iii. CRD number | |
iv. LEI, if any | |
v. State, if applicable | |
vi. Foreign country, if applicable | |
vii. Gross commissions paid by the Fund for the reporting period |
b. Aggregate brokerage commissions paid by Fund during the reporting period: | 0 |
Item C.17. Principal transactions.
a. For each of the ten entities acting as principals with which the Fund did the largest dollar amount of principal transactions (include all short-term obligations, and U.S. government and tax-free securities) in both the secondary market and in underwritten offerings, provide the information below: |
Principal Transactions Record: 1 | |
i. Full name of dealer | Citigroup Global Markets, Inc. |
ii. SEC file number | 8-08177 |
iii. CRD number | 000007059 |
iv. LEI, if any | MBNUM2BPBDO7JBLYG310 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 2849886155 |
Principal Transactions Record: 2 | |
i. Full name of dealer | Jefferies LLC |
ii. SEC file number | 8-15074 |
iii. CRD number | 000002347 |
iv. LEI, if any | 58PU97L1C0WSRCWADL48 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 769845000 |
Principal Transactions Record: 3 | |
i. Full name of dealer | Goldman Sachs & Co. LLC |
ii. SEC file number | 8-12900 |
iii. CRD number | 000000361 |
iv. LEI, if any | FOR8UP27PHTHYVLBNG30 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 982231000 |
Principal Transactions Record: 4 | |
i. Full name of dealer | Wells Fargo Securities LLC |
ii. SEC file number | 8-65876 |
iii. CRD number | 000126292 |
iv. LEI, if any | VYVVCKR63DVZZN70PB21 |
v. State, if applicable | NORTH CAROLINA |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 11597716055.95 |
Principal Transactions Record: 5 | |
i. Full name of dealer | RBC Capital Markets, LLC |
ii. SEC file number | 8-45411 |
iii. CRD number | 000031194 |
iv. LEI, if any | 549300LCO2FLSSVFFR64 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 913834376 |
Principal Transactions Record: 6 | |
i. Full name of dealer | Morgan Stanley & Co. LLC |
ii. SEC file number | 8-15869 |
iii. CRD number | 000008209 |
iv. LEI, if any | 9R7GPTSO7KV3UQJZQ078 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 3924505060 |
Principal Transactions Record: 7 | |
i. Full name of dealer | Barclays Capital, Inc. |
ii. SEC file number | 8-41342 |
iii. CRD number | 000019714 |
iv. LEI, if any | AC28XWWI3WIBK2824319 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 3567245680 |
Principal Transactions Record: 8 | |
i. Full name of dealer | BofA Securities, Inc. |
ii. SEC file number | 8-69787 |
iii. CRD number | 000283942 |
iv. LEI, if any | 549300HN4UKV1E2R3U73 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 5101492496.45 |
Principal Transactions Record: 9 | |
i. Full name of dealer | National Financial Services LLC |
ii. SEC file number | 8-26740 |
iii. CRD number | 000013041 |
iv. LEI, if any | 549300JRHF1MHHWUAW04 |
v. State, if applicable | TEXAS |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 4195497089.29 |
Principal Transactions Record: 10 | |
i. Full name of dealer | J.P. Morgan Securities LLC |
ii. SEC file number | 8-35008 |
iii. CRD number | 000000079 |
iv. LEI, if any | ZBUT11V806EZRVTWT807 |
v. State, if applicable | OHIO |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 8680395896.1 |
b. Aggregate value of principal purchase/sale transactions of Fund during the reporting period: | 43761320078.54 |
Item C.18. Payments for brokerage and research.
During the reporting period, did the Fund pay commissions to broker-dealers for "brokerage and research services" within the meaning of section 28(e) of the Exchange Act (15 U.S.C. 78bb)? | ![]() ![]() |
Item C.19. Average net assets.
a. Provide the Fund's (other than a money market fund's) monthly average net assets during the reporting period | |
b. Provide the money market fund's daily average net assets during the reporting period | 4707861353.89 |
Item C.20. Lines of credit, interfund lending and interfund borrowing.
a. Does the Fund have available a line of credit? | ![]() ![]() |
b. Did the Fund engage in interfund lending? | ![]() ![]() |
c.Did the Fund engage in interfund borrowing? | ![]() ![]() |
Management Investment Record: 4 |
Item C.1. Background information.
a. Full Name of the Fund | T-Fund |
b. Series identication number, if any | S000001476 |
c. LEI | 5493002L9DNZ83RX7V61 |
d. Is this the first filing on this form by the Fund? | ![]() ![]() |
Item C.2. Classes of open-end management investment companies.
a. How many Classes of shares of the Fund (if any) are authorized? | 10 |
b. How many new Classes of shares of the Fund were added during the reporting period? | 0 |
c. How many Classes of shares of the Fund were terminated during the reporting period? | 0 |
d. For each Class with shares outstanding, provide the information requested below: | |
Shares Outstanding Record: 1 | |
i. Full name of Class | Cash Reserve |
ii. Class identification number, if any | C000003937 |
iii. Ticker symbol, if any | BTRXX |
Shares Outstanding Record: 2 | |
i. Full name of Class | Cash Management |
ii. Class identification number, if any | C000003941 |
iii. Ticker symbol, if any | BPTXX |
Shares Outstanding Record: 3 | |
i. Full name of Class | Select |
ii. Class identification number, if any | C000060557 |
iii. Ticker symbol, if any | BSLXX |
Shares Outstanding Record: 4 | |
i. Full name of Class | Administration |
ii. Class identification number, if any | C000003940 |
iii. Ticker symbol, if any | BTAXX |
Shares Outstanding Record: 5 | |
i. Full name of Class | Capital |
ii. Class identification number, if any | C000003936 |
iii. Ticker symbol, if any | BCHXX |
Shares Outstanding Record: 6 | |
i. Full name of Class | Premier |
ii. Class identification number, if any | C000003935 |
iii. Ticker symbol, if any | BEMXX |
Shares Outstanding Record: 7 | |
i. Full name of Class | Dollar |
ii. Class identification number, if any | C000003939 |
iii. Ticker symbol, if any | TFEXX |
Shares Outstanding Record: 8 | |
i. Full name of Class | Institutional |
ii. Class identification number, if any | C000003938 |
iii. Ticker symbol, if any | TSTXX |
Item C.3. Type of fund.
Instructions. 1. "Fund of Funds" means a fund that acquires securities issued by any other investment company in excess of the amounts permitted under paragraph (A) of section 12(d)(1) of the Act (15 U.S.C. 80a-12(d)(1)(A)), but, for purposes of this Item, does not include a fund that acquires securities issued by another company solely in reliance on rule 12d1-1 under the Act (CFR 270.12d1-1). 2. "Index Fund" means an investment company, including an Exchange-Traded Fund, that seeks to track the performance of a specified index. 3. "Interval Fund" means a closed-end management investment company that makes periodic repurchases of its shares pursuant to rule 23c-3 under the Act (17 CFR 270.23c-3). 4. "Master-Feeder Fund" means a two-tiered arrangement in which one or more funds (each a feeder fund) holds shares of a single Fund (the master fund) in accordance with section 12(d)(1)(E) of the Act (15 U.S.C. 80a-12(d)(1)(E)) or pursuant to exemptive relief granted by the Commission. 5. "Target Date Fund" means an investment company that has an investment objective or strategy of providing varying degrees of long-term appreciation and capital preservation through a mix of equity and fixed income exposures that changes over time based on an investor's age, target retirement date, or life expectancy. |
Indicate if the Fund is any one of the types listed below. Check all that apply. |
a. Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund i. ![]() ii. ![]() b. ![]() c. ![]() d. ![]() e. ![]() f. ![]() g. ![]() h. ![]() i. ![]() ![]() |
Item C.4. Diversification.
Does the Fund seek to operate as a “non-diversified company” as such term is defined in section 5(b)(2) of the Act (15 U.S.C. 80a- 5(b) (2))? | ![]() ![]() |
Item C.5. Investments in certain foreign corporations.
Instruction. "Controlled foreign corporation" has the meaning provided in section 957 of the Internal Revenue Code [26 U.S.C. 957]. |
a. Does the fund invest in a controlled foreign corporation for the purpose of investing in certain types of instruments such as, but not limited to, commodities? | ![]() ![]() |
Item C.6. Securities lending.
Instruction. For purposes of this Item, other adverse impacts would include, for example, (1) a loss to the Fund if collateral and indemnification were not sufficient to replace the loaned securities or their value, (2) the Fund's ineligibility to vote shares in a proxy, or (3) the Fund's ineligibility to receive a direct distribution from the issuer. |
a. Is the Fund authorized to engage in securities lending transactions? | ![]() ![]() |
b. Did the Fund lend any of its securities during the reporting period? | ![]() ![]() |
c. Provide the information requested below about each securities lending agent, if any, retained by the Fund: |
Securities Lending Record: 1 | |
i. Full name of securities lending agent | BlackRock Investment Management, LLC |
ii. LEI, if any | 5493006MRTEZZ4S4CQ20 |
iii. Is the securities lending agent an affiliated person, or an affiliated person of an affiliated person, of the Fund? | ![]() ![]() |
iv. Does the securities lending agent or any other entity indemnify the fund against borrower default on loans administered by this agent? | ![]() ![]() |
v. If the entity providing the indemnification is not the securities lending agent, provide the following information: |
Idemnity Providers Record: 1 |
1. Name of person providing indemnification | N/A |
2. LEI, if any, of person providing indemnification | N/A |
vi. Did the Fund exercise its indemnification rights during the reporting period? | ![]() ![]() |
d. If a person providing cash collateral management services to the Fund in connection with the Fund's securities lending activities does not also serve as securities lending agent, provide the following information about each cash collateral manager: |
i. Full name of cash collateral manager: | |
ii. LEI, if any: | |
iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund? | ![]() ![]() |
iv. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of the Fund? | ![]() ![]() |
e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply): | ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
If other, describe: | Rebates paid to borrowers |
f. Provide the monthly average of the value of portfolio securities on loan during the reporting period | N/A |
g. Provide the net income from securities lending activities | N/A |
Item C.7. Reliance on certain rules.
Did the Fund rely on any of the following rules under the Act during the reporting period? (check all that apply) | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Item C.8. Expense limitations.
Instruction. Provide information concerning any direct or indirect limitations, waivers or reductions, on the level of expenses incurred by the fund during the reporting period. A limitation, for example, may be applied indirectly (such as when an adviser agrees to accept a reduced fee pursuant to a voluntary fee waiver) or it may apply only for a temporary period such as for a new fund in its start-up phase. |
a. Did the Fund have an expense limitation arrangement in place during the reporting period? | ![]() ![]() |
b. Were any expenses of the Fund reduced or waived pursuant to an expense limitation arrangement during the reporting period? | ![]() ![]() |
c. Are the fees waived subject to recoupment? | ![]() ![]() |
d. Were any expenses previously waived recouped during the period? | ![]() ![]() |
Item C.9. Investment advisers.
a. Provide the following information about each investment adviser (other than a sub-adviser) of the Fund: |
Investment Advisers Record: 1 | |
i. Full name | BlackRock Advisors, LLC |
ii. SEC file number ( e.g., 801- ) | 801-47710 |
iii.CRD number | 000106614 |
iv. LEI, if any | 5493001LN9MRM6A35J74 |
v. State, if applicable | DELAWARE |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Was the investment adviser hired during the reporting period? | ![]() ![]() |
b. If an investment adviser (other than a sub- adviser) to the Fund was terminated during the reporting period, provide the following with respect to each investment adviser: |
i. Full name | |
ii. SEC file number ( e.g., 801- ) | |
iii. CRD number | |
iv. LEI, if any | |
v. State, if applicable | |
vi. Foreign country, if applicable | |
vii. Termination date |
c. For each sub-adviser to the Fund, provide the information requested: |
i. Full name | |
ii. SEC file number ( e.g., 801- ), if applicable | |
iii. CRD number | |
iv. LEI, if any | |
v. State, if applicable | |
vi. Foreign country, if applicable | |
vii. Is the sub-adviser an affiliated person of the Fund's investment adviser(s)? | ![]() ![]() |
viii. Was the sub-adviser hired during the reporting period? | ![]() ![]() |
d. If a sub-adviser was terminated during the reporting period, provide the following with respect to such sub-adviser: |
i. Full name | |
ii. SEC file number ( e.g., 801- ) | |
iii. CRD number | |
iv. LEI, if any | |
v. State, if applicable | |
vi. Foreign country, if applicable | |
vii. Termination date |
Item C.10. Transfer agents.
a. Provide the following information about each person providing transfer agency services to the Fund: |
Transfer Agents Record: 1 | |
i. Full name | BNY Mellon Investment Servicing (US) Inc. |
ii.SEC file number ( e.g., 84- or 85- ) | 84-01761 |
iii. LEI, if any | 549300CFZQLI9QMJ1Z03 |
iv. State, if applicable | DELAWARE |
v. Foreign country, if applicable | UNITED STATES OF AMERICA |
vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vii. Is the transfer agent a sub-transfer agent? | ![]() ![]() |
b. Has a transfer agent been hired or terminated during the reporting period? | ![]() ![]() |
Item C.11. Pricing services.
a. Provide the following information about each person that provided pricing services to the Fund during the reporting period: |
Pricing Services Record: 1 | |
i. Full name | ICE Data Pricing & Reference Data, LLC |
ii. LEI, if any, or provide and describe other identifying number | 5493000NQ9LYLDBCTL34 |
Description of other identifying number | |
iii. State, if applicable | NEW YORK |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
b. Was a pricing service hired or terminated during the reporting period? | ![]() ![]() |
Item C.12. Custodians.
a. Provide the following information about each person that provided custodial services to the Fund during the reporting period: |
Custodians Record: 1 | |
i. Full name | JPMorgan Chase Bank, N.A. |
ii. LEI, if any | 7H6GLXDRUGQFU57RNE97 |
iii. State, if applicable | NEW YORK |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 2 | |
i. Full name | The Bank of New York Mellon |
ii. LEI, if any | HPFHU0OQ28E4N0NFVK49 |
iii. State, if applicable | NEW YORK |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
b. Has a custodian been hired or terminated during the reporting period?* | ![]() ![]() |
Item C.13. Shareholder servicing agents.
a. Provide the following information about each shareholder servicing agent of the Fund: |
Shareholder servicing agents Record: 1 | |
i. Full name | 1st Discount Brokerage, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-48557 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 2 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 3 | |
i. Full name | Berthel, Fisher & Company Financial Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-29426 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 4 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 5 | |
i. Full name | Carter, Terry & Company, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-33797 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 6 | |
i. Full name | Citizens Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-48744 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 7 | |
i. Full name | Coker & Palmer, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-44129 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 8 | |
i. Full name | Capital One Investing LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-51160 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 9 | |
i. Full name | City National Bank |
ii. LEI, if any, or provide and describe other identifying number | 593C3GZG957YOJPS2Z63 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 10 | |
i. Full name | Corinthian Partners, L.L.C. |
ii. LEI, if any, or provide and describe other identifying number | 8-48461 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 11 | |
i. Full name | Crestone Securities |
ii. LEI, if any, or provide and describe other identifying number | 8-52463 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 12 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 13 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 14 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 15 | |
i. Full name | Etico Partners, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-65500 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 16 | |
i. Full name | Financial Planning Consultants, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-25384 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 17 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 18 | |
i. Full name | Fidelity Investments Life |
ii. LEI, if any, or provide and describe other identifying number | 54930024AKTQGTIV1P93 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 19 | |
i. Full name | Fortune Financial Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-49727 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 20 | |
i. Full name | H. Beck, Inc. |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 21 | |
i. Full name | G. W. & 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 22 | |
i. Full name | Hapoalim Securities USA, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-03018 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 23 | |
i. Full name | Hennion & Walsh, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-41988 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 24 | |
i. Full name | Herbert J. Sims & Co. Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-03315 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 25 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 26 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 27 | |
i. Full name | Institutional Securities Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-38158 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 28 | |
i. Full name | Itau International Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-67674 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 29 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 30 | |
i. Full name | M. S. Howells & Co. |
ii. LEI, if any, or provide and describe other identifying number | 8-52558 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 31 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 32 | |
i. Full name | Meridien Financial Group, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-26090 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 33 | |
i. Full name | MidWestern Securities Trading Company, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-52074 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 34 | |
i. Full name | Ohanesian / Lecours, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-40729 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 35 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 36 | |
i. Full name | Reliance Worldwide Investments, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-67575 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 37 | |
i. Full name | RF Lafferty & Co |
ii. LEI, if any, or provide and describe other identifying number | 8-25581 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 38 | |
i. Full name | Pruco Securities, LLC. |
ii. LEI, if any, or provide and describe other identifying number | 8-16402 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 39 | |
i. Full name | S F Sentry Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-43101 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 40 | |
i. Full name | Securian Financial Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-31955 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 41 | |
i. Full name | SG Americas Securities, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-66125 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 42 | |
i. Full name | Signator Investors, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-13995 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 43 | |
i. Full name | Shareholders Service Group, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-65778 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 44 | |
i. Full name | Silber Bennett Financial, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-68795 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 45 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 46 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 47 | |
i. Full name | Visun Securities Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-31907 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 48 | |
i. Full name | TimeCapital Securities Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-18248 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 49 | |
i. Full name | USCA Securities LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-52285 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 50 | |
i. Full name | Western International Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-48572 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 51 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 52 | |
i. Full name | Guardian Insurance & Annuity Company, Inc., The |
ii. LEI, if any, or provide and describe other identifying number | TGIU5N0SIMULU6I57R64 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 53 | |
i. Full name | Weston Securities Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-32664 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 54 | |
i. Full name | William C. Burnside & Company, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-21242 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 55 | |
i. Full name | Vision Financial Markets LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-67447 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 56 | |
i. Full name | 1st Global Capital Corp. |
ii. LEI, if any, or provide and describe other identifying number | 8-44870 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 57 | |
i. Full name | Access Financial Group, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-46065 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 58 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 59 | |
i. Full name | Mercer HR Services, LLC |
ii. LEI, if any, or provide and describe other identifying number | N/A |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 60 | |
i. Full name | Insigneo Securities, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-44166 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 61 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 62 | |
i. Full name | MerCap Securities |
ii. LEI, if any, or provide and describe other identifying number | 8-68810 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 63 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 64 | |
i. Full name | Arive Capital Markets |
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 | 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 65 | |
i. Full name | Arvest Investments, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-49677 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 66 | |
i. Full name | Benjamin F. Edwards & Company, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-68023 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 67 | |
i. Full name | Bill Few Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-49625 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 68 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 69 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 70 | |
i. Full name | Capital Institutional Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-22273 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 71 | |
i. Full name | Comprehensive Asset Management and Servicing, 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 72 | |
i. Full name | American Century Investment Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-35220 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 73 | |
i. Full name | Aon Benfield Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-14953 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 74 | |
i. Full name | Calton & Associates, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-38635 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 75 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 76 | |
i. Full name | BMO Harris Bank |
ii. LEI, if any, or provide and describe other identifying number | 3Y4U8VZURTYWI1W2K376 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 77 | |
i. Full name | FCG Advisors, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-49104 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 78 | |
i. Full name | Cary Street Partners LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-66085 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 79 | |
i. Full name | Empire Asset Management Company |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 80 | |
i. Full name | DWS Investments Distributors, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-47765 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 81 | |
i. Full name | FolioFN 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 82 | |
i. Full name | Bodell Overcash Anderson & Co., Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-15775 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 83 | |
i. Full name | First Western Advisors |
ii. LEI, if any, or provide and describe other identifying number | 8-28729 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 84 | |
i. Full name | CGIS Securities LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-68758 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 85 | |
i. Full name | Alight Solutions LLC |
ii. LEI, if any, or provide and describe other identifying number | 084-01996 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 86 | |
i. Full name | Folger Nolan Fleming Douglas Incorporated |
ii. LEI, if any, or provide and describe other identifying number | 8-03335 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 87 | |
i. Full name | First Command Financial Planning, 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 88 | |
i. Full name | EK Riley Investments, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-65369 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 89 | |
i. Full name | Crescent Securities Group |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 90 | |
i. Full name | BBVA Securities Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-42857 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 91 | |
i. Full name | G.F. Investment Services, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-66659 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 92 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 93 | |
i. Full name | Gardner Financial Services, 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 94 | |
i. Full name | BancWest Investment Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-44261 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 95 | |
i. Full name | Hazlett, Burt & Watson, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-17737 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 96 | |
i. Full name | Hantz Financial Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-51291 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 97 | |
i. Full name | Avalon Investment & Securities Group, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-17078 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 98 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 99 | |
i. Full name | Interactive Brokers LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-47257 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 100 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 101 | |
i. Full name | Jack V. Butterfield Investment Company |
ii. LEI, if any, or provide and describe other identifying number | 8-12454 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 102 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 103 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 104 | |
i. Full name | BTS Securities Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-26818 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 105 | |
i. Full name | Freimark Blair & Company, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-28646 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 106 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 107 | |
i. Full name | Lantern Investments, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-45285 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 108 | |
i. Full name | J.D. Seibert & Company, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-23604 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 109 | |
i. Full name | First Manhattan Co. |
ii. LEI, if any, or provide and describe other identifying number | 8-10438 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 110 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 111 | |
i. Full name | ADCAP Securities |
ii. LEI, if any, or provide and describe other identifying number | 8-51285 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 112 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 113 | |
i. Full name | Geoffrey Richards Securities Corp. |
ii. LEI, if any, or provide and describe other identifying number | 8-65251 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 114 | |
i. Full name | Ascensus Broker Dealer Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-47312 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 115 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 116 | |
i. Full name | BAC Florida Investments |
ii. LEI, if any, or provide and describe other identifying number | 8-37483 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 117 | |
i. Full name | Brazos Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-39119 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 118 | |
i. Full name | Citizens Bank |
ii. LEI, if any, or provide and describe other identifying number | DRMSV1Q0EKMEXLAU1P80 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 119 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 120 | |
i. Full name | LaSalle St. Securities, L.L.C. |
ii. LEI, if any, or provide and describe other identifying number | 8-18860 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 121 | |
i. Full name | BOSC, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-35381 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 122 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 123 | |
i. Full name | Coburn & Meredith, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-02474 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 124 | |
i. Full name | Liberty Partners Financial Services, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-66335 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 125 | |
i. Full name | Bernard Herold & Co., Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-17005 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 126 | |
i. Full name | Nicol Investors Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-65566 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 127 | |
i. Full name | Halliday Financial, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-45529 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 128 | |
i. Full name | LPL Financial LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-17668 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 129 | |
i. Full name | Oberweis Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-49679 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 130 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 131 | |
i. Full name | NPB Financial Group, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-67113 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 132 | |
i. Full name | ING Financial Markets LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-43978 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 133 | |
i. Full name | Maxim Group LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-65337 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 134 | |
i. Full name | Hornor, Townsend & Kent, Inc. |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 135 | |
i. Full name | Oriental Financial Services Corp. |
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 | PUERTO RICO |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 136 | |
i. Full name | MBSC Securities Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-13801 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 137 | |
i. Full name | Merrill Lynch, Pierce, Fenner & Smith Incorporated |
ii. LEI, if any, or provide and describe other identifying number | 8-07221 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 138 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 139 | |
i. Full name | Lockton Financial Advisors, 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 140 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 141 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 142 | |
i. Full name | Place Trade Financial, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-65915 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 143 | |
i. Full name | Pershing, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-17574 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 144 | |
i. Full name | Mid Atlantic Capital Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-27663 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 145 | |
i. Full name | Essex Securities LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-51472 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 146 | |
i. Full name | Dorsey & Company, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-07541 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 147 | |
i. Full name | SEI Private Trust Company |
ii. LEI, if any, or provide and describe other identifying number | 028-10625 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 148 | |
i. Full name | Slavic Investment Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-40024 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 149 | |
i. Full name | Regulus Advisors, 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 150 | |
i. Full name | Federated Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-15644 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 151 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 152 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 153 | |
i. Full name | Reliance Trust Company |
ii. LEI, if any, or provide and describe other identifying number | 549300NV8FSQRNOUQO50 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 154 | |
i. Full name | Unionbanc Investment Services, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-30706 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 155 | |
i. Full name | Lincoln Investment Planning, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-14354 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 156 | |
i. Full name | Triad Advisors, Inc. |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 157 | |
i. Full name | Planners Financial Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-18027 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 158 | |
i. Full name | Rhodes Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-37689 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 159 | |
i. Full name | Northern Capital Securities Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-49130 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 160 | |
i. Full name | Nations Financial Group, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-50588 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 161 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 162 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 163 | |
i. Full name | Mutual Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-28580 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 164 | |
i. Full name | Pacific Financial Associates, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-40712 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 165 | |
i. Full name | Penates Group, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-50594 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 166 | |
i. Full name | FSB Warner Financial, 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 167 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 168 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 169 | |
i. Full name | Sisung Securities Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-42121 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 170 | |
i. Full name | TrustCore Investments, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-32152 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 171 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 172 | |
i. Full name | Transamerica Financial Advisors, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-33429 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 173 | |
i. Full name | Thompson Davis & Co., Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-49386 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 174 | |
i. Full name | American United Life Insurance Company |
ii. LEI, if any, or provide and describe other identifying number | 549300T82H2DYU80LV98 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 175 | |
i. Full name | Thoroughbred Financial Services, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-51944 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 176 | |
i. Full name | First Bankers' Banc Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-31584 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 177 | |
i. Full name | Edward D. Jones & Co., L.P. |
ii. LEI, if any, or provide and describe other identifying number | 8-00759 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 178 | |
i. Full name | Goldman Sachs & Co. LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-00129 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 179 | |
i. Full name | UBS Financial Services Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-16267 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 180 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 181 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 182 | |
i. Full name | Quest Capital Strategies, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-34532 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 183 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 184 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 185 | |
i. Full name | First Honolulu Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-23919 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 186 | |
i. Full name | Hilltop Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-45123 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 187 | |
i. Full name | VOYA Investments Distributors, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-48020 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 188 | |
i. Full name | Sigma Financial Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-30466 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 189 | |
i. Full name | JPMorgan Chase Bank, N.A. |
ii. LEI, if any, or provide and describe other identifying number | 7H6GLYDRUGQFU57RNE97 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 190 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 191 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 192 | |
i. Full name | Charles Schwab Bank |
ii. LEI, if any, or provide and describe other identifying number | 549300INFJ8TYNZ1G568 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 193 | |
i. Full name | Snowden Account Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-68188 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 194 | |
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 | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 195 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 196 | |
i. Full name | Whitney National Bank |
ii. LEI, if any, or provide and describe other identifying number | NSGZD26XPW2CUM2JKU70 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 197 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 198 | |
i. Full name | Westport Resources Investment Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-40904 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 199 | |
i. Full name | Stephen A. Kohn & Associates, Ltd. |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 200 | |
i. Full name | Winslow, Evans & Crocker, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-44347 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 201 | |
i. Full name | Integral Financial LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-65284 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 202 | |
i. Full name | Wunderlich Securities, 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 203 | |
i. Full name | Ascensus, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 549300K5MHNFPEU2RK82 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 204 | |
i. Full name | ValMark Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-45463 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 205 | |
i. Full name | Kalos Capital, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-50630 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 206 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 207 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 208 | |
i. Full name | International Assets Advisory, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-27736 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 209 | |
i. Full name | Investment Planners, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-35642 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 210 | |
i. Full name | Ladenburg Thalman & Co. Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-17230 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 211 | |
i. Full name | Calamar Financial Group |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 212 | |
i. Full name | Waddell & Reed, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-27030 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 213 | |
i. Full name | Woodlands Securities Corporation |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 214 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 215 | |
i. Full name | UBATCO & Co. |
ii. LEI, if any, or provide and describe other identifying number | N/A |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 216 | |
i. Full name | Madison Avenue Securities, Inc. |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 217 | |
i. Full name | Wood (Arthur W.) Company, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-03368 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 218 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 219 | |
i. Full name | Key West Investments, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-68166 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 220 | |
i. Full name | American Wealth Management |
ii. LEI, if any, or provide and describe other identifying number | 8-41807 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 221 | |
i. Full name | Bruderman Brothers, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-51974 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 222 | |
i. Full name | Chalice Capital Partners, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-69967 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 223 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 224 | |
i. Full name | Piper Jaffray & Co. |
ii. LEI, if any, or provide and describe other identifying number | 8-15204 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 225 | |
i. Full name | Mid-Atlantic Clearing & Settlement Corp. |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 226 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 227 | |
i. Full name | Northeastern Financial Group, Incorporated |
ii. LEI, if any, or provide and describe other identifying number | 8-33132 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 228 | |
i. Full name | Proequities, 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 229 | |
i. Full name | Planned Investment Co., Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-15266 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 230 | |
i. Full name | Questar Capital Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-50174 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 231 | |
i. Full name | Royal Alliance Associates, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-40218 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 232 | |
i. Full name | Robinson & Robinson, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-17109 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 233 | |
i. Full name | Sycamore Financial Group |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 234 | |
i. Full name | Voya Financial Partners, LLC |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 235 | |
i. Full name | UMB Financial Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-34999 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 236 | |
i. Full name | VOYA Financial Advisors, 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 237 | |
i. Full name | ViewTrade Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-51605 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 238 | |
i. Full name | Wescom Financial Services, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-66189 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 239 | |
i. Full name | William Blair & Company L.L.C. |
ii. LEI, if any, or provide and describe other identifying number | 8-02698 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 240 | |
i. Full name | World Equity Group, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-44088 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 241 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 242 | |
i. Full name | Benefit Plans Administrative Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | N/A |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 243 | |
i. Full name | Concord Wealth Brokerage |
ii. LEI, if any, or provide and describe other identifying number | 8-41511 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 244 | |
i. Full name | Advisory Group Equity 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 245 | |
i. Full name | Allegis Investment Services, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-69318 |
Description of other identifying number | SEC File Number |
iii. State, if applicable | IDAHO |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 246 | |
i. Full name | Allen & Company of Florida, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-09877 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 247 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 248 | |
i. Full name | American Portfolios Financial Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-37085 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 249 | |
i. Full name | Arkadios Capital |
ii. LEI, if any, or provide and describe other identifying number | 8-69729 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 250 | |
i. Full name | Bankers Life Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-69562 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 251 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 252 | |
i. Full name | BB&T Securities, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-67486 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 253 | |
i. Full name | Ameriprise Financial Services, Inc. |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 254 | |
i. Full name | American Independent Securities Group, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-66905 |
Description of other identifying number | SEC File Number |
iii. State, if applicable | IDAHO |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 255 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 256 | |
i. Full name | Cetera Advisors LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-26892 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 257 | |
i. Full name | Centaurus Financial, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-45185 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 258 | |
i. Full name | Century Securities Associates, Inc. |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 259 | |
i. Full name | CIBC World Markets Corp. |
ii. LEI, if any, or provide and describe other identifying number | 8-18333 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 260 | |
i. Full name | Boenning & Scattergood, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-15543 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 261 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 262 | |
i. Full name | D.H. Hill Securities LLP |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 263 | |
i. Full name | Commonwealth Equity Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-24040 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 264 | |
i. Full name | CRI Securities, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-39877 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 265 | |
i. Full name | E. E. Powell & Company Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-01893 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 266 | |
i. Full name | Farmers Financial Solutions, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-52361 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 267 | |
i. Full name | First Financial Equity Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-34082 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 268 | |
i. Full name | DesPain Financial Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-37056 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 269 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 270 | |
i. Full name | Detwiler Fenton & Co. |
ii. LEI, if any, or provide and describe other identifying number | 8-16324 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 271 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 272 | |
i. Full name | Fidelity Brokerage Services LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-23292 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 273 | |
i. Full name | Feldstein Financial Group, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-53388 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 274 | |
i. Full name | First Heartland Capital, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-46008 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 275 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 276 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 277 | |
i. Full name | BCG Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-12680 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 278 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 279 | |
i. Full name | Foresters Equity Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-36703 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 280 | |
i. Full name | International Financial Solutions, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-49020 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 281 | |
i. Full name | Insight Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-16247 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 282 | |
i. Full name | Herndon Plant Oakley, LTD |
ii. LEI, if any, or provide and describe other identifying number | 8-50912 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 283 | |
i. Full name | Benchmark Investments, Inc. |
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 | 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 284 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 285 | |
i. Full name | Investment Placement Group |
ii. LEI, if any, or provide and describe other identifying number | 8-30700 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 286 | |
i. Full name | Loria Financial Group, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-52128 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 287 | |
i. Full name | Neuberger Berman LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-01068 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 288 | |
i. Full name | Gerwin Group, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-40282 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 289 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 290 | |
i. Full name | Gladowsky Capital Management Corp. |
ii. LEI, if any, or provide and describe other identifying number | 8-51017 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 291 | |
i. Full name | Capital Financial Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-25203 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 292 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 293 | |
i. Full name | Highlander Capital Group, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-37169 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 294 | |
i. Full name | Cantella & Co., Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-23904 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 295 | |
i. Full name | Cadaret, Grant & Co., Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-27844 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 296 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 297 | |
i. Full name | Investacorp, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-22598 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 298 | |
i. Full name | Jefferies, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-15074 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 299 | |
i. Full name | Caldwell Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-27639 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 300 | |
i. Full name | Northwest Investment Advisors, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-65282 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 301 | |
i. Full name | Bristol Financial Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-67140 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 302 | |
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 | 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 303 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 304 | |
i. Full name | Signature Securities Group Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-52697 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 305 | |
i. Full name | Bolton Global Capital |
ii. LEI, if any, or provide and describe other identifying number | 8-33222 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 306 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 307 | |
i. Full name | Simmons First Investment Group, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-51795 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 308 | |
i. Full name | KMS Financial Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-15433 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 309 | |
i. Full name | TRG Advisors, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-50449 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 310 | |
i. Full name | SDDCO Brokerage Advisors, 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 311 | |
i. Full name | Inverness Securities, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-66278 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 312 | |
i. Full name | Wiley Bros.-Aintree Capital, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-03774 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 313 | |
i. Full name | L.S.Y., Inc. |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 314 | |
i. Full name | Wellington Shields & Co., LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-68098 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 315 | |
i. Full name | Loring Ward Securities Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-51381 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 316 | |
i. Full name | Ceros Financial Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-47955 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 317 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 318 | |
i. Full name | Hartford Life Insurance Company |
ii. LEI, if any, or provide and describe other identifying number | 8CE7JPU9IU72L3PPD756 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 319 | |
i. Full name | World Trend Financial Planning Services, Ltd. |
ii. LEI, if any, or provide and describe other identifying number | 8-43693 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 320 | |
i. Full name | Keystone Capital 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 321 | |
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 | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 322 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 323 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 324 | |
i. Full name | Coastal Equities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-40822 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 325 | |
i. Full name | MSEC, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-68627 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 326 | |
i. Full name | Nest Investments BD, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-70117 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 327 | |
i. Full name | Country Club Financial Services, 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 328 | |
i. Full name | Mora WM Securities, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-68910 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 329 | |
i. Full name | XP Securities, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-68817 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 330 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 331 | |
i. Full name | BD4RIA, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-70022 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 332 | |
i. Full name | Northern Trust Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-23689 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 333 | |
i. Full name | M Holdings Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-50214 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 334 | |
i. Full name | MV Securities Group, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-47827 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 335 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 336 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 337 | |
i. Full name | IDB Capital Corp. |
ii. LEI, if any, or provide and describe other identifying number | 8-53000 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 338 | |
i. Full name | North South Capital, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-67979 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 339 | |
i. Full name | Oscar Gruss & Son Incorporated |
ii. LEI, if any, or provide and describe other identifying number | 8-22371 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 340 | |
i. Full name | Patapsco Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-43485 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 341 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 342 | |
i. Full name | KCD Financial, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-66005 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 343 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 344 | |
i. Full name | PNC Bank, N.A. |
ii. LEI, if any, or provide and describe other identifying number | AD6GFRVSDT01YPT1CS68 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 345 | |
i. Full name | D.A. Davidson & Co. |
ii. LEI, if any, or provide and describe other identifying number | 8-02399 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 346 | |
i. Full name | Riversource Distributors, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-67196 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 347 | |
i. Full name | Schlitt Investor Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-34202 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 348 | |
i. Full name | Sterling Monroe Securities, 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 349 | |
i. Full name | The Investment Center, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-35826 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 350 | |
i. Full name | Sweney Cartwright & Company |
ii. LEI, if any, or provide and describe other identifying number | 8-03150 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 351 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 352 | |
i. Full name | SunTrust Bank |
ii. LEI, if any, or provide and describe other identifying number | IYDOJBGJWY9T8XKCSX06 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 353 | |
i. Full name | Summit Equities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-27556 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 354 | |
i. Full name | Uhlmann Price Securities, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-50041 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 355 | |
i. Full name | Vanguard Marketing Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-21570 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 356 | |
i. Full name | Wells Fargo Bank, N.A. |
ii. LEI, if any, or provide and describe other identifying number | KB1H1DSPRFMYMCUFXT09 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 357 | |
i. Full name | Vestor Capital Securities |
ii. LEI, if any, or provide and describe other identifying number | 8-32743 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 358 | |
i. Full name | Principal Life Insurance Company |
ii. LEI, if any, or provide and describe other identifying number | SDCMU2LVKGV2AF1KWP64 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 359 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 360 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 361 | |
i. Full name | Woodstock Financial Group, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-48080 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 362 | |
i. Full name | Alight Financial Solutions LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-47344 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 363 | |
i. Full name | Exeter Trust Company |
ii. LEI, if any, or provide and describe other identifying number | 028-04279 |
Description of other identifying number | SEC File Number |
iii. State, if applicable | NEW HAMPSHIRE |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 364 | |
i. Full name | AssetMark Trust Company |
ii. LEI, if any, or provide and describe other identifying number | N/A |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 365 | |
i. Full name | Arque Capital, Ltd. |
ii. LEI, if any, or provide and describe other identifying number | 8-65390 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 366 | |
i. Full name | Invicta Capital, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-69923 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 367 | |
i. Full name | American Municipal Securities, 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 368 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 369 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 370 | |
i. Full name | Coldstream Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-51549 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 371 | |
i. Full name | Voya Retirement Insurance and Annuity Company |
ii. LEI, if any, or provide and describe other identifying number | OK3MKCDYPD4NN6QDGK18 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 372 | |
i. Full name | Edwin C. Blitz Investments, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-22741 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 373 | |
i. Full name | Conover Securities Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-35085 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 374 | |
i. Full name | First Kentucky Securities Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-22224 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 375 | |
i. Full name | Fairport Capital, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-32162 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 376 | |
i. Full name | Fiduciary Trust International |
ii. LEI, if any, or provide and describe other identifying number | N1YKEWO2IYPRS4742F57 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 377 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 378 | |
i. Full name | Genworth Life & Annuity Insurance Company |
ii. LEI, if any, or provide and describe other identifying number | TAI340D9BWT9R77O0P03 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 379 | |
i. Full name | Citigroup Global Markets Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-08177 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 380 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 381 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 382 | |
i. Full name | David A. Noyes & Company |
ii. LEI, if any, or provide and describe other identifying number | 8-22752 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 383 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 384 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 385 | |
i. Full name | Infinex Investments, 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 386 | |
i. Full name | Horace Mann Life Insurance Co. |
ii. LEI, if any, or provide and describe other identifying number | 5493000HR2JKKNH2FL09 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 387 | |
i. Full name | Independent Financial Group, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-22870 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 388 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 389 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 390 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 391 | |
i. Full name | Avisen Securities, 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 392 | |
i. Full name | Cascade Investment Group, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-46943 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 393 | |
i. Full name | Cambridge Investment Research, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-48740 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 394 | |
i. Full name | David Lerner Associates, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-20746 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 395 | |
i. Full name | BTG Pactual US Capital, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-68148 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 396 | |
i. Full name | First Allied Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-46167 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 397 | |
i. Full name | Kercheville & Company, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-32795 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 398 | |
i. Full name | E-W Investments, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-35259 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 399 | |
i. Full name | Larson Financial Securities, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-68456 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 400 | |
i. Full name | Financial Services International Corp. |
ii. LEI, if any, or provide and describe other identifying number | 8-48032 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 401 | |
i. Full name | Financial Northeastern Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-34883 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 402 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 403 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 404 | |
i. Full name | Global Brokerage Services, Inc. |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 405 | |
i. Full name | Duncan-Williams, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-18971 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 406 | |
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 | NEW HAMPSHIRE |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 407 | |
i. Full name | Fifth Third Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-02428 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 408 | |
i. Full name | H.D. Vest Investment Services |
ii. LEI, if any, or provide and describe other identifying number | 8-29533 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 409 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 410 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 411 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 412 | |
i. Full name | Leumi Investment Services Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-52993 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 413 | |
i. Full name | Lucia Securities, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-47643 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 414 | |
i. Full name | Lieblong & Associates, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-49880 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 415 | |
i. Full name | Moors & Cabot, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-23060 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 416 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 417 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 418 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 419 | |
i. Full name | Mack Investment Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-35536 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 420 | |
i. Full name | Middlegate Securities Ltd. |
ii. LEI, if any, or provide and describe other identifying number | 8-39031 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 421 | |
i. Full name | Mutual Trust Co. of America Securities |
ii. LEI, if any, or provide and describe other identifying number | 8-25547 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 422 | |
i. Full name | NYLife Distributors LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-46655 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 423 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 424 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 425 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 426 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 427 | |
i. Full name | Actinver Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-49311 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 428 | |
i. Full name | J.A. Glynn & Co. |
ii. LEI, if any, or provide and describe other identifying number | 8-39465 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 429 | |
i. Full name | Bley Investments 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 430 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 431 | |
i. Full name | AxA 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 432 | |
i. Full name | Callaway Financial Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-52474 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 433 | |
i. Full name | Barclays Capital Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-41342 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 434 | |
i. Full name | Buckman, Buckman & Reid, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-40413 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 435 | |
i. Full name | H. C. Denison Co. |
ii. LEI, if any, or provide and describe other identifying number | 8-00044 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 436 | |
i. Full name | BNP Paribas Securities Corp |
ii. LEI, if any, or provide and describe other identifying number | 8-40490 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 437 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 438 | |
i. Full name | Innovation Partners LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-67812 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 439 | |
i. Full name | Access Investments, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-49750 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 440 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 441 | |
i. Full name | Monere Investments, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-52982 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 442 | |
i. Full name | Nationwide Securities, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-12500 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 443 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 444 | |
i. Full name | OFG Financial Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-40770 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 445 | |
i. Full name | Nestlerode & Loy, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-12629 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 446 | |
i. Full name | Oppenheimer & Co. Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-04077 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 447 | |
i. Full name | Kovack Securities Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-50847 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 448 | |
i. Full name | Cetera Investment Services, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-31826 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 449 | |
i. Full name | Old National Trust Company |
ii. LEI, if any, or provide and describe other identifying number | 028-00344 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 450 | |
i. Full name | Liberty Group, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-52994 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 451 | |
i. Full name | P. R. Herzig & Co. Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-22589 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 452 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 453 | |
i. Full name | Consolidated Financial Investments, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-37004 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 454 | |
i. Full name | M. Griffith Investment Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-02259 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 455 | |
i. Full name | Philip J. Greenblatt Securities Ltd |
ii. LEI, if any, or provide and describe other identifying number | 8-30725 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 456 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 457 | |
i. Full name | Pyramid Funds Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-12769 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 458 | |
i. Full name | Petersen Investments, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-48306 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 459 | |
i. Full name | 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 460 | |
i. Full name | PWA Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-67700 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 461 | |
i. Full name | Feltl & Company |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 462 | |
i. Full name | Princor Financial Services Corporation |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 463 | |
i. Full name | American Capital Partners, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-65165 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 464 | |
i. Full name | Roberts & Ryan Investments Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-37469 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 465 | |
i. Full name | Paradigm Equities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-45593 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 466 | |
i. Full name | Morgan Stanley & Co. LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-15869 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 467 | |
i. Full name | Ross, Sinclaire & Associates, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-41740 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 468 | |
i. Full name | Quincy Cass Associates, Incorporated |
ii. LEI, if any, or provide and describe other identifying number | 8-05743 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 469 | |
i. Full name | Saxony Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-53490 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 470 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 471 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 472 | |
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 | PUERTO RICO |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 473 | |
i. Full name | RIM Securities LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-36759 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 474 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 475 | |
i. Full name | Cutter & Company Brokerage, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-39590 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 476 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 477 | |
i. Full name | Great Pacific Securities |
ii. LEI, if any, or provide and describe other identifying number | 8-44398 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 478 | |
i. Full name | Portfolio Resources Group, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-45380 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 479 | |
i. Full name | Liberty Capital Investment Corporation |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 480 | |
i. Full name | S.A. Stone Wealth Management |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 481 | |
i. Full name | International Research Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-37954 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 482 | |
i. Full name | R.M. Stark & Co., Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-22543 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 483 | |
i. Full name | Stifel, Nicolaus & Company, Incorporated |
ii. LEI, if any, or provide and describe other identifying number | 8-01447 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 484 | |
i. Full name | Lincoln Financial Distributors, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-13431 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 485 | |
i. Full name | DFPG Investments, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-68730 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 486 | |
i. Full name | Raymond James Financial Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-17983 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 487 | |
i. Full name | GWFS Equities, 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 488 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 489 | |
i. Full name | RBC Capital Markets, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-45411 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 490 | |
i. Full name | Monex Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-44874 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 491 | |
i. Full name | StockCross Financial Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-17758 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 492 | |
i. Full name | First Financial Securities of America, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-29565 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 493 | |
i. Full name | Hunter Associates, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-44779 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 494 | |
i. Full name | Securities Research, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-23699 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 495 | |
i. Full name | Sabadell Securities USA, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-67975 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 496 | |
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 | 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 497 | |
i. Full name | Lexington Investment Company, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-43085 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 498 | |
i. Full name | SunTrust 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 499 | |
i. Full name | SECU Brokerage Services |
ii. LEI, if any, or provide and describe other identifying number | 8-37927 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 500 | |
i. Full name | Summit Brokerage Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-46310 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 501 | |
i. Full name | NorthWestern Mutual Investment Services, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-14088 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 502 | |
i. Full name | Southeast Investments, N.C., Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-50127 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 503 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 504 | |
i. Full name | The Oak Ridge Financial Services Group, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-50082 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 505 | |
i. Full name | PFS Investments Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-26486 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 506 | |
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 | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 507 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 508 | |
i. Full name | State Farm VP Management Corp |
ii. LEI, if any, or provide and describe other identifying number | 8-50128 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 509 | |
i. Full name | WedBush Securities Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-12987 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 510 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 511 | |
i. Full name | Wall Street Access |
ii. LEI, if any, or provide and describe other identifying number | 8-25936 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 512 | |
i. Full name | Navy Federal Brokerage 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 513 | |
i. Full name | Benefit Trust Company |
ii. LEI, if any, or provide and describe other identifying number | N/A |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 514 | |
i. Full name | Nationwide Financial Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 5493001H7AZNDS6BKJ36 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 515 | |
i. Full name | Prospera Financial Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-28164 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 516 | |
i. Full name | PNC Capital Markets LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-32493 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 517 | |
i. Full name | Zions Investment |
ii. LEI, if any, or provide and describe other identifying number | 8-35721 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 518 | |
i. Full name | Newport Retirement Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | N/A |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 519 | |
i. Full name | TD Ameritrade, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-23395 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 520 | |
i. Full name | The Capital Group Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-52512 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 521 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 522 | |
i. Full name | Rothschild Investment Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-16429 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 523 | |
i. Full name | SecureVest Financial Group |
ii. LEI, if any, or provide and describe other identifying number | 8-26030 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 524 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 525 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 526 | |
i. Full name | St. Bernard Financial Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-47566 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 527 | |
i. Full name | The GMS Group, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-23936 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 528 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 529 | |
i. Full name | TD Ameritrade Clearing, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-16335 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 530 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 531 | |
i. Full name | TIAA-CREF Individual & Institutional Services, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-44454 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 532 | |
i. Full name | TransAm 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 | 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 533 | |
i. Full name | Hartford Funds Management Company, LLC |
ii. LEI, if any, or provide and describe other identifying number | 801-77209 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 534 | |
i. Full name | Univest Investments, Inc. |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 535 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 536 | |
i. Full name | USAA Investment Management Company |
ii. LEI, if any, or provide and describe other identifying number | 8-41241 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 537 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 538 | |
i. Full name | UBS AG, New York Branch |
ii. LEI, if any, or provide and describe other identifying number | BFM8T61CT2L1QCEMIK50 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 539 | |
i. Full name | Vaughan & Co Securities, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-36916 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 540 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 541 | |
i. Full name | VectorGlobal WMG |
ii. LEI, if any, or provide and describe other identifying number | 8-45715 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 542 | |
i. Full name | Watermark Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-43902 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 543 | |
i. Full name | Primerica Shareholder Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 084-01499 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 544 | |
i. Full name | Standard Insurance Company |
ii. LEI, if any, or provide and describe other identifying number | 549300KVA8DBYKHPXO21 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 545 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 546 | |
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 | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 547 | |
i. Full name | TradeStation Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-48711 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 548 | |
i. Full name | The Garbacz Group Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-42366 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 549 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 550 | |
i. Full name | John Hancock Life Insurance Company |
ii. LEI, if any, or provide and describe other identifying number | QQ0OZ8J9C4B5QT1XDG31 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 551 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 552 | |
i. Full name | Fifth Third Bank |
ii. LEI, if any, or provide and describe other identifying number | QFROUN1UWUYU0DVIWD51 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 553 | |
i. Full name | GLP Investment Services |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 554 | |
i. Full name | Supreme Alliance, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-51046 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 555 | |
i. Full name | Tradition Asiel Securities Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-43559 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 556 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 557 | |
i. Full name | Prudential Insurance Company of America |
ii. LEI, if any, or provide and describe other identifying number | Y574KRZ6V5A7UBU45C31 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 558 | |
i. Full name | Sammons Retirement Solutions, Inc. |
ii. LEI, if any, or provide and describe other identifying number | N/A |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 559 | |
i. Full name | United Planners' Financial Services of America A Limited Partner |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 560 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 561 | |
i. Full name | ACP Securities, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-67185 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 562 | |
i. Full name | Alerus Securities |
ii. LEI, if any, or provide and describe other identifying number | 8-47152 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 563 | |
i. Full name | Allegiance Capital, L.L.C. |
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 | 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 564 | |
i. Full name | Ameritas Investment Corp. |
ii. LEI, if any, or provide and describe other identifying number | 8-31296 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 565 | |
i. Full name | American Enterprise Investment Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-42582 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 566 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 567 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 568 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 569 | |
i. Full name | ACA/Prudent Investors Planning Corporation |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 570 | |
i. Full name | Apex Clearing Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-23522 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 571 | |
i. Full name | Arete Wealth Management, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-50854 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 572 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 573 | |
i. Full name | ABD Retirement Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-69271 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 574 | |
i. Full name | ARCA Capital Investments, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-53110 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 575 | |
i. Full name | BPU Investment Management, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-34979 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 576 | |
i. Full name | BC Securities, Inc. (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 | 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 577 | |
i. Full name | B.C. Ziegler & Company |
ii. LEI, if any, or provide and describe other identifying number | 8-00094 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 578 | |
i. Full name | Andbanc Brokerage, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-68759 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 579 | |
i. Full name | Blakeslee and 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 580 | |
i. Full name | American Financial Associates, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-44065 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 581 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 582 | |
i. Full name | BMO Harris Financial Advisors, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-67064 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 583 | |
i. Full name | Bolton Securities Corp. |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 584 | |
i. Full name | Broadridge Business Process Outsourcing, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-53412 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 585 | |
i. Full name | Broker Dealer Financial Services Corp. |
ii. LEI, if any, or provide and describe other identifying number | 8-24220 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 586 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 587 | |
i. Full name | Amegy Investments, Inc. (Zions) |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 588 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 589 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 590 | |
i. Full name | C. R. Davis & Company |
ii. LEI, if any, or provide and describe other identifying number | 8-859 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 591 | |
i. Full name | Capitol Securities Management, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-30353 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 592 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 593 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 594 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 595 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 596 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 597 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 598 | |
i. Full name | Allianz Life Financial Services, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-13630 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 599 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 600 | |
i. Full name | Carty & Company, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-19082 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 601 | |
i. Full name | Centennial Securities Company, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-23406 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 602 | |
i. Full name | Cascade Financial Management, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-53730 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 603 | |
i. Full name | CBIZ Financial Solutions, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-34205 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 604 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 605 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 606 | |
i. Full name | Cetera Financial Specialists LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-27082 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 607 | |
i. Full name | Client One 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 608 | |
i. Full name | Charles Schwab & Co., Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-16514 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 609 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 610 | |
i. Full name | Comerica Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-35001 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 611 | |
i. Full name | BestVest Investments, Ltd. |
ii. LEI, if any, or provide and describe other identifying number | 8-49007 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 612 | |
i. Full name | Commerce Brokerage Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-35096 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 613 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 614 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 615 | |
i. Full name | CoreCap Investments, Inc. |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 616 | |
i. Full name | CFT Securities, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-51345 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 617 | |
i. Full name | Credit Suisse Securities (USA) LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-00422 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 618 | |
i. Full name | BFT Financial Group, 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 619 | |
i. Full name | Crews & Associates, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-24075 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 620 | |
i. Full name | Axiom Capital Management, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-42638 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 621 | |
i. Full name | Cuso Financial Services, L.P. |
ii. LEI, if any, or provide and describe other identifying number | 8-49711 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 622 | |
i. Full name | CUNA Brokerage Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-30027 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 623 | |
i. Full name | Avondale Partners, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-51550 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 624 | |
i. Full name | Davenport & Company LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-17103 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 625 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 626 | |
i. Full name | American Financial Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-53205 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 627 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 628 | |
i. Full name | Deutsche Bank Securities Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-17822 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 629 | |
i. Full name | D.M. Kelly & Company |
ii. LEI, if any, or provide and describe other identifying number | 8-48398 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 630 | |
i. Full name | Dominick & Dominick LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-21076 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 631 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 632 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 633 | |
i. Full name | Detalus Securities, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-52180 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 634 | |
i. Full name | Donegal Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-66137 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 635 | |
i. Full name | Dougherty & Company LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-21937 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 636 | |
i. Full name | Family Investors Company |
ii. LEI, if any, or provide and describe other identifying number | 8-11190 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 637 | |
i. Full name | E*Trade Savings Bank |
ii. LEI, if any, or provide and describe other identifying number | 549300DXPO50FJ75QA85 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 638 | |
i. Full name | Eastern Point Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-39398 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 639 | |
i. Full name | First Southern, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-69733 |
Description of other identifying number | SEC File Number |
iii. State, if applicable | PUERTO RICO |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 640 | |
i. Full name | First State Financial Management, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-34201 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 641 | |
i. Full name | Fieldpoint Private 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 642 | |
i. Full name | Essex Financial Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-66015 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 643 | |
i. Full name | Finance 500, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-28302 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 644 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 645 | |
i. Full name | E*Trade Securities |
ii. LEI, if any, or provide and describe other identifying number | 8-44112 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 646 | |
i. Full name | FMSBonds, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-23280 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 647 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 648 | |
i. Full name | Forest Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-33568 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 649 | |
i. Full name | First Republic Securities Company, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-52973 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 650 | |
i. Full name | FTB 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 651 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 652 | |
i. Full name | G.L.S. & Associates, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-51808 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 653 | |
i. Full name | General Securities Corp. |
ii. LEI, if any, or provide and describe other identifying number | 8-31654 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 654 | |
i. Full name | Garden State Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-25790 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 655 | |
i. Full name | Excel Securities & Associates, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-34261 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 656 | |
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 | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 657 | |
i. Full name | Gilbert, Doniger & Co., Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-22326 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 658 | |
i. Full name | Hancock Investment Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-49106 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 659 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 660 | |
i. Full name | GRF Capital Investors, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-41494 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 661 | |
i. Full name | FNBB Capital Markets, LLC |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 662 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 663 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 664 | |
i. Full name | Foresters Financial Services |
ii. LEI, if any, or provide and describe other identifying number | 8-13891 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 665 | |
i. Full name | Dinosaur Securities, L.L.C. |
ii. LEI, if any, or provide and describe other identifying number | 8-52908 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 666 | |
i. Full name | Glen Eagle Advisors LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-65678 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 667 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 668 | |
i. Full name | GWN Securities Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-66185 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 669 | |
i. Full name | Hanson McClain Securities |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 670 | |
i. Full name | Hightower Securities, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-53560 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 671 | |
i. Full name | Harvest Financial Corporation |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 672 | |
i. Full name | Gold Coast Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-53148 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 673 | |
i. Full name | Hancock Bank Corporation |
ii. LEI, if any, or provide and describe other identifying number | 549300GRNBWY8HIICT41 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 674 | |
i. Full name | Hefren-Tillotson, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-10646 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 675 | |
i. Full name | Huntleigh Securities Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-21893 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 676 | |
i. Full name | Healthcare Community Securities Corporation |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 677 | |
i. Full name | HSBC Securities (USA), Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-41562 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 678 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 679 | |
i. Full name | ICMA-RC Services, Inc. |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 680 | |
i. Full name | Investment Professionals, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-44786 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 681 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 682 | |
i. Full name | InvestShares (Legal name: IMA Securities LLC) |
ii. LEI, if any, or provide and describe other identifying number | 8-68365 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 683 | |
i. Full name | JHW Financial Services Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-45304 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 684 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 685 | |
i. Full name | Invex, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-44695 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 686 | |
i. Full name | Investment Architects, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-35724 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 687 | |
i. Full name | J.P. Morgan Securities LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-35008 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 688 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 689 | |
i. Full name | K. W. Chambers & CO. |
ii. LEI, if any, or provide and describe other identifying number | 8-10533 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 690 | |
i. Full name | JJB Hilliard WL Lyons |
ii. LEI, if any, or provide and describe other identifying number | 8-33133 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 691 | |
i. Full name | Key Investment Services LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-66999 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 692 | |
i. Full name | Joseph Gunnar & Co. LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-41386 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 693 | |
i. Full name | L. B. Fisher & Company |
ii. LEI, if any, or provide and describe other identifying number | 8-21023 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 694 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 695 | |
i. Full name | Kovitz Securities, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-66267 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 696 | |
i. Full name | Landaas & Company |
ii. LEI, if any, or provide and describe other identifying number | 8-51826 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 697 | |
i. Full name | LaBrunerie Financial Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-47830 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 698 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 699 | |
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 | |
iv. Foreign country, if applicable | UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND |
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 700 | |
i. Full name | Keel Point Capital, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-22990 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 701 | |
i. Full name | Legacy Asset Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-51871 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 702 | |
i. Full name | Leigh Baldwin & Co., LLC |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 703 | |
i. Full name | Lara, May & Associates, 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 704 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 705 | |
i. Full name | M&T Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-35185 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 706 | |
i. Full name | Intercontinental Asset Management Group, Ltd. |
ii. LEI, if any, or provide and describe other identifying number | 8-39706 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 707 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 708 | |
i. Full name | Maplewood Investment Advisors, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-52221 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 709 | |
i. Full name | Marsco Investment Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-36754 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 710 | |
i. Full name | MHA Financial Corp. |
ii. LEI, if any, or provide and describe other identifying number | 8-21836 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 711 | |
i. Full name | MMC Securities Corp. |
ii. LEI, if any, or provide and describe other identifying number | 8-52349 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 712 | |
i. Full name | Landolt Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-43645 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 713 | |
i. Full name | Mercantil Commercebank Investment Services |
ii. LEI, if any, or provide and describe other identifying number | 8-53612 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 714 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 715 | |
i. Full name | Morgan Stanley Smith Barney LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-68191 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 716 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 717 | |
i. Full name | Means Investment Co., Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-27458 |
Description of other identifying number | SEC File Number |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 718 | |
i. Full name | Nelson Ivest Brokerage Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-26448 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 719 | |
i. Full name | National Financial Services, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-26740 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 720 | |
i. Full name | NBC Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-35870 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 721 | |
i. Full name | Mid-Atlantic Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-36997 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 722 | |
i. Full name | Neidiger, Tucker, Bruner, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-21884 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 723 | |
i. Full name | Northland Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-48994 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 724 | |
i. Full name | Mesirow Financial, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-28816 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 725 | |
i. Full name | NYLife Securities LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-15517 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 726 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 727 | |
i. Full name | Pershing Advisor Solutions, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-47425 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 728 | |
i. Full name | NIA Securities, L.L.C. |
ii. LEI, if any, or provide and describe other identifying number | 8-50591 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 729 | |
i. Full name | Northeast Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-42227 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 730 | |
i. Full name | Pension Dynamics Securities Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-52535 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 731 | |
i. Full name | Nationwide Planning Associates Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-45310 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 732 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 733 | |
i. Full name | Morris Group, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-28916 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 734 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 735 | |
i. Full name | Omni Financial Securities |
ii. LEI, if any, or provide and describe other identifying number | 8-44034 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 736 | |
i. Full name | Planned Financial Programs, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-05727 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 737 | |
i. Full name | Peak Brokerage Services, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-68829 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 738 | |
i. Full name | North Ridge Securities Corp. |
ii. LEI, if any, or provide and describe other identifying number | 8-42879 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 739 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 740 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 741 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 742 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 743 | |
i. Full name | Planmember Securities Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-25065 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 744 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 745 | |
i. Full name | Podesta & Co. |
ii. LEI, if any, or provide and describe other identifying number | 8-28860 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 746 | |
i. Full name | Rodgers Brothers, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-33475 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 747 | |
i. Full name | People's Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-29667 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 748 | |
i. Full name | RJJ Pasadena Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-25324 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 749 | |
i. Full name | Rehmann Financial Network |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 750 | |
i. Full name | PTS 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 751 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 752 | |
i. Full name | R. Seelaus & Co., Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-31475 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 753 | |
i. Full name | Raymond James & Associates, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-10999 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 754 | |
i. Full name | Regions Bank |
ii. LEI, if any, or provide and describe other identifying number | EQTWLK1G7ODGC2MGLV11 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 755 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 756 | |
i. Full name | Register Financial Associates, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-45012 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 757 | |
i. Full name | Purshe Kaplan Sterling Investments |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 758 | |
i. Full name | Safra Securities LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-51935 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 759 | |
i. Full name | Sage, Rutty & Co., 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 760 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 761 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 762 | |
i. Full name | Security Distributors, Inc. |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 763 | |
i. Full name | Robert W. Baird & Co. Incorporated |
ii. LEI, if any, or provide and describe other identifying number | 8-00497 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 764 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 765 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 766 | |
i. Full name | Repex & Co., Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-26431 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 767 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 768 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 769 | |
i. Full name | Sentinel Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-53142 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 770 | |
i. Full name | Saperston Asset Management, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-50658 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 771 | |
i. Full name | SKA Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-53366 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 772 | |
i. Full name | Securities Service Network, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-28980 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 773 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 774 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 775 | |
i. Full name | Queens Road Securities, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-52737 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 776 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 777 | |
i. Full name | Stannard Financial Services, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-50654 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 778 | |
i. Full name | Stonnington Group, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-66919 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 779 | |
i. Full name | Superior Financial Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-52618 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 780 | |
i. Full name | SWBC Investment Services, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-66764 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 781 | |
i. Full name | Stephens Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-01927 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 782 | |
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 | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 783 | |
i. Full name | Samuel A Ramirez & Co., Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-19014 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 784 | |
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 | 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 785 | |
i. Full name | Sanders Morris Harris Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-38325 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 786 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 787 | |
i. Full name | Wells Fargo Clearing Services, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-37180 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 788 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 789 | |
i. Full name | TCFG Wealth Management, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-69089 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 790 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 791 | |
i. Full name | Trade-PMR 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 792 | |
i. Full name | Synovus Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-34709 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 793 | |
i. Full name | The Tavenner Company |
ii. LEI, if any, or provide and describe other identifying number | 8-41206 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 794 | |
i. Full name | T. Rowe Price Investment Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-25130 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 795 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 796 | |
i. Full name | The Jeffrey Matthews Financial Group, L.L.C. |
ii. LEI, if any, or provide and describe other identifying number | 8-49352 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 797 | |
i. Full name | The Huntington Investment Company |
ii. LEI, if any, or provide and describe other identifying number | 8-34867 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 798 | |
i. Full name | The O.N. Equity Sales Company |
ii. LEI, if any, or provide and describe other identifying number | 8-14161 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 799 | |
i. Full name | Weller, Anderson & Co., 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 800 | |
i. Full name | Treasure Financial Corp. |
ii. LEI, if any, or provide and describe other identifying number | 8-48165 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 801 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 802 | |
i. Full name | The Lawrence D. Vitez Corp. DBA Consolidated Securities |
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 | 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 803 | |
i. Full name | VBC Securities, LLC |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 804 | |
i. Full name | Thurston, Springer, Miller, Herd & Titak, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-25452 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 805 | |
i. Full name | U.S. Bancorp Investments, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-35359 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 806 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 807 | |
i. Full name | Titleist Asset Management, Ltd. |
ii. LEI, if any, or provide and describe other identifying number | 8-65859 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 808 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 809 | |
i. Full name | TCM Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-50313 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 810 | |
i. Full name | Umpqua Investments, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-02915 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 811 | |
i. Full name | Vanderbilt Securities, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-16712 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 812 | |
i. Full name | Wells Fargo Securities, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-65876 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 813 | |
i. Full name | Wayne Hummer Investments, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-00484 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 814 | |
i. Full name | Conduent HR Services LLC |
ii. LEI, if any, or provide and describe other identifying number | 084-06035 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 815 | |
i. Full name | Western Growers Financial Services, Inc. |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 816 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 817 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 818 | |
i. Full name | Wheelhouse Securities Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-68105 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 819 | |
i. Full name | Vorpahl Wing Securities |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 820 | |
i. Full name | John Hancock Trust Company |
ii. LEI, if any, or provide and describe other identifying number | 549300W205WZCFZS6R51 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 821 | |
i. Full name | Teachers Insurance and Annuity Association of America |
ii. LEI, if any, or provide and describe other identifying number | O06YD7BJ4EPYNABVFN69 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 822 | |
i. Full name | Fidelity Investments Institutional Operations Company, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-35097 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 823 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 824 | |
i. Full name | Whitehall-Parker Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-27688 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 825 | |
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 | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 826 | |
i. Full name | TD Ameritrade Trust Company |
ii. LEI, if any, or provide and describe other identifying number | 028-15163 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 827 | |
i. Full name | First Mercantile Trust Company |
ii. LEI, if any, or provide and describe other identifying number | 028-10498 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 828 | |
i. Full name | Digital Retirement Solutions, Inc. |
ii. LEI, if any, or provide and describe other identifying number | N/A |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 829 | |
i. Full name | T. Rowe Price Retirement Plan Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 084-06219 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 830 | |
i. Full name | World Choice Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-45235 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 831 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 832 | |
i. Full name | Great-West Financial Retirement Plan Services, LLC |
ii. LEI, if any, or provide and describe other identifying number | N/A |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 833 | |
i. Full name | Voya Institutional Plan Services, LLC |
ii. LEI, if any, or provide and describe other identifying number | N/A |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 834 | |
i. Full name | Saturna Trust Company |
ii. LEI, if any, or provide and describe other identifying number | N/A |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 835 | |
i. Full name | Vanguard Group, Inc., The |
ii. LEI, if any, or provide and describe other identifying number | 5493002789CY3L0CJP65 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 836 | |
i. Full name | Aufhaser Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-48786 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 837 | |
i. Full name | Rogan & Associates, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-49995 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 838 | |
i. Full name | IFP Securities |
ii. LEI, if any, or provide and describe other identifying number | 8-70150 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
b. Has a shareholder servicing agent been hired or terminated during the reporting period? | ![]() ![]() |
Item C.14. Administrators.
a. Provide the following information about each administrator of the Fund: |
Administrators Record: 1 | |
i. Full name | BlackRock Advisors, LLC |
ii. LEI, if any, or other identifying number | 5493001LN9MRM6A35J74 |
Description of other identifying number | |
iii. State, if applicable | DELAWARE |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the administrator an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the administrator a sub-administrator? | ![]() ![]() |
Administrators Record: 2 | |
i. Full name | JPMorgan Chase Bank, N.A. |
ii. LEI, if any, or other identifying number | 7H6GLXDRUGQFU57RNE97 |
Description of other identifying number | |
iii. State, if applicable | NEW YORK |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the administrator an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the administrator a sub-administrator? | ![]() ![]() |
b.Has a third-party administrator been hired or terminated during the reporting period? | ![]() ![]() |
Item C.15. Affiliated broker-dealers.
Provide the following information about each affiliated broker-dealer: |
Broker Dealers Record: 1 | |
a. Full name | BlackRock Execution Services |
b. SEC file number | 8-48719 |
c. CRD number | 000039438 |
d. LEI, if any | 549300HFCRQ0NT5KY652 |
e. State, if applicable | NEW YORK |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0 |
Broker Dealers Record: 2 | |
a. Full name | BlackRock Investments, LLC |
b. SEC file number | 8-48436 |
c. CRD number | 000038642 |
d. LEI, if any | N/A |
e. State, if applicable | NEW YORK |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0 |
Item C.16. Brokers.
Instructions to Item C.16 and Item C.17. To help Registrants distinguish between agency and principal transactions, and to promote consistent reporting of the information required by these items, the following criteria should be used: 1. If a security is purchased or sold in a transaction for which the confirmation specifies the amount of the commission to be paid by the Registrant, the transaction should be considered an agency transaction and included in determining the answers to Item C.16. 2. If a security is purchased or sold in a transaction for which the confirmation specifies only the net amount to be paid or received by the Registrant and such net amount is equal to the market value of the security at the time of the transaction, the transaction should be considered a principal transaction and included in determining the amounts in Item C.17. 3. If a security is purchased by the Registrant in an underwritten offering, the acquisition should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the underwriters are receiving from the issuer. 4. If a security is sold by the Registrant in a tender offer, the sale should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the offeror is paying to soliciting brokers or dealers. 5. If a security is purchased directly from the issuer (such as a bank CD), the purchase should be considered a principal transaction and included in answering Item C.17. 6. The value of called or maturing securities should not be counted in either agency or principal transactions and should not be included in determining the amounts shown in Item C.16 and Item C.17. This means that the acquisition of a security may be included, but it is possible that its disposition may not be included. Disposition of a repurchase agreement at its expiration date should not be included. 7. The purchase or sales of securities in transactions not described in paragraphs (1) through (6) above should be evaluated by the Fund based upon the guidelines established in those paragraphs and classified accordingly. The agents considered in Item C.16 may be persons or companies not registered under the Exchange Act as securities brokers. The persons or companies from whom the investment company purchased or to whom it sold portfolio instruments on a principal basis may be persons or entities not registered under the Exchange Act as securities dealers. |
a. For each of the ten brokers that received the largest dollar amount of brokerage commissions (excluding dealer concessions in underwritings) by virtue of direct or indirect participation in the Fund’s portfolio transactions, provide the information below: |
i. Full name of broker | |
ii. SEC file number | |
iii. CRD number | |
iv. LEI, if any | |
v. State, if applicable | |
vi. Foreign country, if applicable | |
vii. Gross commissions paid by the Fund for the reporting period |
b. Aggregate brokerage commissions paid by Fund during the reporting period: | 0 |
Item C.17. Principal transactions.
a. For each of the ten entities acting as principals with which the Fund did the largest dollar amount of principal transactions (include all short-term obligations, and U.S. government and tax-free securities) in both the secondary market and in underwritten offerings, provide the information below: |
Principal Transactions Record: 1 | |
i. Full name of dealer | Nomura Securities International, Inc. |
ii. SEC file number | 8-15255 |
iii. CRD number | 000004297 |
iv. LEI, if any | OXTKY6Q8X53C9ILVV871 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 218456077583 |
Principal Transactions Record: 2 | |
i. Full name of dealer | State Street Global Markets, LLC |
ii. SEC file number | 8-69862 |
iii. CRD number | 000285852 |
iv. LEI, if any | 549300FDEDF5ORXCMQ56 |
v. State, if applicable | MASSACHUSETTS |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 168658000000 |
Principal Transactions Record: 3 | |
i. Full name of dealer | BNY Mellon Capital Markets, LLC |
ii. SEC file number | 8-35255 |
iii. CRD number | 000017454 |
iv. LEI, if any | VJW2DOOHGDT6PR0ZRO63 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 510200522225.3 |
Principal Transactions Record: 4 | |
i. Full name of dealer | Credit Suisse Securities (USA) LLC |
ii. SEC file number | 8-00422 |
iii. CRD number | 000000816 |
iv. LEI, if any | 1V8Y6QCX6YMJ2OELII46 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 329927500000 |
Principal Transactions Record: 5 | |
i. Full name of dealer | Mizuho Securities USA LLC |
ii. SEC file number | 8-37710 |
iii. CRD number | 000019647 |
iv. LEI, if any | 549300HS3WTRS6D88H32 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 688036898699.52 |
Principal Transactions Record: 6 | |
i. Full name of dealer | CIT Securities International USA, LLC |
ii. SEC file number | 8-68887 |
iii. CRD number | 000158266 |
iv. LEI, if any | 213800YMG8YN4O5CX140 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 464679200000 |
Principal Transactions Record: 7 | |
i. Full name of dealer | BNP Paribas Securities Corp. |
ii. SEC file number | 8-32682 |
iii. CRD number | 000015794 |
iv. LEI, if any | RCNB6OTYUAMMP879YW96 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 1336297750558.48 |
Principal Transactions Record: 8 | |
i. Full name of dealer | J.P. Morgan Securities LLC |
ii. SEC file number | 8-35008 |
iii. CRD number | 000000079 |
iv. LEI, if any | ZBUT11V806EZRVTWT807 |
v. State, if applicable | OHIO |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 1607566308087.5098 |
Principal Transactions Record: 9 | |
i. Full name of dealer | Barclays Capital, Inc. |
ii. SEC file number | 8-41342 |
iii. CRD number | 000019714 |
iv. LEI, if any | AC28XWWI3WIBK2824319 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 597006347937.74 |
Principal Transactions Record: 10 | |
i. Full name of dealer | Citigroup Global Markets, Inc. |
ii. SEC file number | 8-08177 |
iii. CRD number | 000007059 |
iv. LEI, if any | MBNUM2BPBDO7JBLYG310 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 186264205348.39 |
b. Aggregate value of principal purchase/sale transactions of Fund during the reporting period: | 6963153656259.63 |
Item C.18. Payments for brokerage and research.
During the reporting period, did the Fund pay commissions to broker-dealers for "brokerage and research services" within the meaning of section 28(e) of the Exchange Act (15 U.S.C. 78bb)? | ![]() ![]() |
Item C.19. Average net assets.
a. Provide the Fund's (other than a money market fund's) monthly average net assets during the reporting period | |
b. Provide the money market fund's daily average net assets during the reporting period | 71464432862.28 |
Item C.20. Lines of credit, interfund lending and interfund borrowing.
a. Does the Fund have available a line of credit? | ![]() ![]() |
b. Did the Fund engage in interfund lending? | ![]() ![]() |
c.Did the Fund engage in interfund borrowing? | ![]() ![]() |
Management Investment Record: 5 |
Item C.1. Background information.
a. Full Name of the Fund | TempCash |
b. Series identication number, if any | S000001474 |
c. LEI | 549300FBEPBRWT48HK66 |
d. Is this the first filing on this form by the Fund? | ![]() ![]() |
Item C.2. Classes of open-end management investment companies.
a. How many Classes of shares of the Fund (if any) are authorized? | 10 |
b. How many new Classes of shares of the Fund were added during the reporting period? | 0 |
c. How many Classes of shares of the Fund were terminated during the reporting period? | 0 |
d. For each Class with shares outstanding, provide the information requested below: | |
Shares Outstanding Record: 1 | |
i. Full name of Class | Premier |
ii. Class identification number, if any | C000003919 |
iii. Ticker symbol, if any | TCPXX |
Shares Outstanding Record: 2 | |
i. Full name of Class | Dollar |
ii. Class identification number, if any | C000003922 |
iii. Ticker symbol, if any | TCDXX |
Shares Outstanding Record: 3 | |
i. Full name of Class | Institutional |
ii. Class identification number, if any | C000003921 |
iii. Ticker symbol, if any | TMCXX |
Item C.3. Type of fund.
Instructions. 1. "Fund of Funds" means a fund that acquires securities issued by any other investment company in excess of the amounts permitted under paragraph (A) of section 12(d)(1) of the Act (15 U.S.C. 80a-12(d)(1)(A)), but, for purposes of this Item, does not include a fund that acquires securities issued by another company solely in reliance on rule 12d1-1 under the Act (CFR 270.12d1-1). 2. "Index Fund" means an investment company, including an Exchange-Traded Fund, that seeks to track the performance of a specified index. 3. "Interval Fund" means a closed-end management investment company that makes periodic repurchases of its shares pursuant to rule 23c-3 under the Act (17 CFR 270.23c-3). 4. "Master-Feeder Fund" means a two-tiered arrangement in which one or more funds (each a feeder fund) holds shares of a single Fund (the master fund) in accordance with section 12(d)(1)(E) of the Act (15 U.S.C. 80a-12(d)(1)(E)) or pursuant to exemptive relief granted by the Commission. 5. "Target Date Fund" means an investment company that has an investment objective or strategy of providing varying degrees of long-term appreciation and capital preservation through a mix of equity and fixed income exposures that changes over time based on an investor's age, target retirement date, or life expectancy. |
Indicate if the Fund is any one of the types listed below. Check all that apply. |
a. Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund i. ![]() ii. ![]() b. ![]() c. ![]() d. ![]() e. ![]() f. ![]() g. ![]() h. ![]() i. ![]() ![]() |
Item C.4. Diversification.
Does the Fund seek to operate as a “non-diversified company” as such term is defined in section 5(b)(2) of the Act (15 U.S.C. 80a- 5(b) (2))? | ![]() ![]() |
Item C.5. Investments in certain foreign corporations.
Instruction. "Controlled foreign corporation" has the meaning provided in section 957 of the Internal Revenue Code [26 U.S.C. 957]. |
a. Does the fund invest in a controlled foreign corporation for the purpose of investing in certain types of instruments such as, but not limited to, commodities? | ![]() ![]() |
Item C.6. Securities lending.
Instruction. For purposes of this Item, other adverse impacts would include, for example, (1) a loss to the Fund if collateral and indemnification were not sufficient to replace the loaned securities or their value, (2) the Fund's ineligibility to vote shares in a proxy, or (3) the Fund's ineligibility to receive a direct distribution from the issuer. |
a. Is the Fund authorized to engage in securities lending transactions? | ![]() ![]() |
b. Did the Fund lend any of its securities during the reporting period? | ![]() ![]() |
c. Provide the information requested below about each securities lending agent, if any, retained by the Fund: |
Securities Lending Record: 1 | |
i. Full name of securities lending agent | BlackRock Investment Management, LLC |
ii. LEI, if any | 5493006MRTEZZ4S4CQ20 |
iii. Is the securities lending agent an affiliated person, or an affiliated person of an affiliated person, of the Fund? | ![]() ![]() |
iv. Does the securities lending agent or any other entity indemnify the fund against borrower default on loans administered by this agent? | ![]() ![]() |
v. If the entity providing the indemnification is not the securities lending agent, provide the following information: |
Idemnity Providers Record: 1 |
1. Name of person providing indemnification | N/A |
2. LEI, if any, of person providing indemnification | N/A |
vi. Did the Fund exercise its indemnification rights during the reporting period? | ![]() ![]() |
d. If a person providing cash collateral management services to the Fund in connection with the Fund's securities lending activities does not also serve as securities lending agent, provide the following information about each cash collateral manager: |
i. Full name of cash collateral manager: | |
ii. LEI, if any: | |
iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund? | ![]() ![]() |
iv. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of the Fund? | ![]() ![]() |
e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply): | ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
If other, describe: | Rebates paid to borrowers |
f. Provide the monthly average of the value of portfolio securities on loan during the reporting period | N/A |
g. Provide the net income from securities lending activities | N/A |
Item C.7. Reliance on certain rules.
Did the Fund rely on any of the following rules under the Act during the reporting period? (check all that apply) | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Item C.8. Expense limitations.
Instruction. Provide information concerning any direct or indirect limitations, waivers or reductions, on the level of expenses incurred by the fund during the reporting period. A limitation, for example, may be applied indirectly (such as when an adviser agrees to accept a reduced fee pursuant to a voluntary fee waiver) or it may apply only for a temporary period such as for a new fund in its start-up phase. |
a. Did the Fund have an expense limitation arrangement in place during the reporting period? | ![]() ![]() |
b. Were any expenses of the Fund reduced or waived pursuant to an expense limitation arrangement during the reporting period? | ![]() ![]() |
c. Are the fees waived subject to recoupment? | ![]() ![]() |
d. Were any expenses previously waived recouped during the period? | ![]() ![]() |
Item C.9. Investment advisers.
a. Provide the following information about each investment adviser (other than a sub-adviser) of the Fund: |
Investment Advisers Record: 1 | |
i. Full name | BlackRock Advisors, LLC |
ii. SEC file number ( e.g., 801- ) | 801-47710 |
iii.CRD number | 000106614 |
iv. LEI, if any | 5493001LN9MRM6A35J74 |
v. State, if applicable | DELAWARE |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Was the investment adviser hired during the reporting period? | ![]() ![]() |
b. If an investment adviser (other than a sub- adviser) to the Fund was terminated during the reporting period, provide the following with respect to each investment adviser: |
i. Full name | |
ii. SEC file number ( e.g., 801- ) | |
iii. CRD number | |
iv. LEI, if any | |
v. State, if applicable | |
vi. Foreign country, if applicable | |
vii. Termination date |
c. For each sub-adviser to the Fund, provide the information requested: |
i. Full name | |
ii. SEC file number ( e.g., 801- ), if applicable | |
iii. CRD number | |
iv. LEI, if any | |
v. State, if applicable | |
vi. Foreign country, if applicable | |
vii. Is the sub-adviser an affiliated person of the Fund's investment adviser(s)? | ![]() ![]() |
viii. Was the sub-adviser hired during the reporting period? | ![]() ![]() |
d. If a sub-adviser was terminated during the reporting period, provide the following with respect to such sub-adviser: |
i. Full name | |
ii. SEC file number ( e.g., 801- ) | |
iii. CRD number | |
iv. LEI, if any | |
v. State, if applicable | |
vi. Foreign country, if applicable | |
vii. Termination date |
Item C.10. Transfer agents.
a. Provide the following information about each person providing transfer agency services to the Fund: |
Transfer Agents Record: 1 | |
i. Full name | BNY Mellon Investment Servicing (US) Inc. |
ii.SEC file number ( e.g., 84- or 85- ) | 84-01761 |
iii. LEI, if any | 549300CFZQLI9QMJ1Z03 |
iv. State, if applicable | DELAWARE |
v. Foreign country, if applicable | UNITED STATES OF AMERICA |
vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vii. Is the transfer agent a sub-transfer agent? | ![]() ![]() |
b. Has a transfer agent been hired or terminated during the reporting period? | ![]() ![]() |
Item C.11. Pricing services.
a. Provide the following information about each person that provided pricing services to the Fund during the reporting period: |
Pricing Services Record: 1 | |
i. Full name | ICE Data Pricing & Reference Data, LLC |
ii. LEI, if any, or provide and describe other identifying number | 5493000NQ9LYLDBCTL34 |
Description of other identifying number | |
iii. State, if applicable | NEW YORK |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
b. Was a pricing service hired or terminated during the reporting period? | ![]() ![]() |
Item C.12. Custodians.
a. Provide the following information about each person that provided custodial services to the Fund during the reporting period: |
Custodians Record: 1 | |
i. Full name | Euroclear Bank SA/NV |
ii. LEI, if any | 549300OZ46BRLZ8Y6F65 |
iii. State, if applicable | |
iv. Foreign country, if applicable | BELGIUM |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 2 | |
i. Full name | The Bank of New York Mellon |
ii. LEI, if any | HPFHU0OQ28E4N0NFVK49 |
iii. State, if applicable | NEW YORK |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 3 | |
i. Full name | JPMorgan Chase Bank, N.A. |
ii. LEI, if any | 7H6GLXDRUGQFU57RNE97 |
iii. State, if applicable | NEW YORK |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
b. Has a custodian been hired or terminated during the reporting period?* | ![]() ![]() |
Item C.13. Shareholder servicing agents.
a. Provide the following information about each shareholder servicing agent of the Fund: |
Shareholder servicing agents Record: 1 | |
i. Full name | Actinver Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-49311 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 2 | |
i. Full name | American Enterprise Investment Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-42582 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 3 | |
i. Full name | Alerus Securities |
ii. LEI, if any, or provide and describe other identifying number | 8-47152 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 4 | |
i. Full name | Alight Solutions LLC |
ii. LEI, if any, or provide and describe other identifying number | 084-01996 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 5 | |
i. Full name | BancWest Investment Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-44261 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 6 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 7 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 8 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 9 | |
i. Full name | Bankers Life Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-69562 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 10 | |
i. Full name | BNP Paribas Securities Corp |
ii. LEI, if any, or provide and describe other identifying number | 8-40490 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 11 | |
i. Full name | Capital One Investing LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-51160 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 12 | |
i. Full name | Conover Securities Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-35085 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 13 | |
i. Full name | CFT Securities, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-51345 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 14 | |
i. Full name | Country Club Financial Services, 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 15 | |
i. Full name | Commerce Brokerage Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-35096 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 16 | |
i. Full name | DFPG Investments, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-68730 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 17 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 18 | |
i. Full name | Genworth Life & Annuity Insurance Company |
ii. LEI, if any, or provide and describe other identifying number | TAI340D9BWT9R77O0P03 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 19 | |
i. Full name | Hancock Bank Corporation |
ii. LEI, if any, or provide and describe other identifying number | 549300GRNBWY8HIICT41 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 20 | |
i. Full name | G.F. Investment Services, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-66659 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 21 | |
i. Full name | H. Beck, Inc. |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 22 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 23 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 24 | |
i. Full name | Horace Mann Life Insurance Co. |
ii. LEI, if any, or provide and describe other identifying number | 5493000HR2JKKNH2FL09 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 25 | |
i. Full name | Kercheville & Company, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-32795 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 26 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 27 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 28 | |
i. Full name | North Ridge Securities Corp. |
ii. LEI, if any, or provide and describe other identifying number | 8-42879 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 29 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 30 | |
i. Full name | RBC Capital Markets, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-45411 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 31 | |
i. Full name | Register Financial Associates, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-45012 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 32 | |
i. Full name | Northwest Investment Advisors, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-65282 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 33 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 34 | |
i. Full name | PTS 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 35 | |
i. Full name | Planned Financial Programs, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-05727 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 36 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 37 | |
i. Full name | SKA Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-53366 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 38 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 39 | |
i. Full name | Securities Research, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-23699 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 40 | |
i. Full name | Silber Bennett Financial, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-68795 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 41 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 42 | |
i. Full name | Sycamore Financial Group |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 43 | |
i. Full name | TD Ameritrade Clearing, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-16335 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 44 | |
i. Full name | The Lawrence D. Vitez Corp. DBA Consolidated Securities |
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 | 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 45 | |
i. Full name | Thurston, Springer, Miller, Herd & Titak, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-25452 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 46 | |
i. Full name | TD Ameritrade Trust Company |
ii. LEI, if any, or provide and describe other identifying number | 028-15163 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 47 | |
i. Full name | Hartford Life Insurance Company |
ii. LEI, if any, or provide and describe other identifying number | 8CE7JPU9IU72L3PPD756 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 48 | |
i. Full name | Access Investments, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-49750 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 49 | |
i. Full name | Great-West Financial Retirement Plan Services, LLC |
ii. LEI, if any, or provide and describe other identifying number | N/A |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 50 | |
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 | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 51 | |
i. Full name | American Century Investment Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-35220 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 52 | |
i. Full name | Aufhaser Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-48786 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 53 | |
i. Full name | Brazos Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-39119 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 54 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 55 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 56 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 57 | |
i. Full name | Century Securities Associates, Inc. |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 58 | |
i. Full name | Cuso Financial Services, L.P. |
ii. LEI, if any, or provide and describe other identifying number | 8-49711 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 59 | |
i. Full name | Family Investors Company |
ii. LEI, if any, or provide and describe other identifying number | 8-11190 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 60 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 61 | |
i. Full name | International Assets Advisory, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-27736 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 62 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 63 | |
i. Full name | Investment Planners, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-35642 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 64 | |
i. Full name | Alight Financial Solutions LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-47344 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 65 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 66 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 67 | |
i. Full name | Joseph Gunnar & Co. LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-41386 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 68 | |
i. Full name | Ameritas Investment Corp. |
ii. LEI, if any, or provide and describe other identifying number | 8-31296 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 69 | |
i. Full name | BTS Securities Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-26818 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 70 | |
i. Full name | Bernard Herold & Co., Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-17005 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 71 | |
i. Full name | M. S. Howells & Co. |
ii. LEI, if any, or provide and describe other identifying number | 8-52558 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 72 | |
i. Full name | Cadaret, Grant & Co., Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-27844 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 73 | |
i. Full name | Citizens Bank |
ii. LEI, if any, or provide and describe other identifying number | DRMSV1Q0EKMEXLAU1P80 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 74 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 75 | |
i. Full name | B.C. Ziegler & Company |
ii. LEI, if any, or provide and describe other identifying number | 8-00094 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 76 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 77 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 78 | |
i. Full name | Mora WM Securities, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-68910 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 79 | |
i. Full name | Commonwealth Equity Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-24040 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 80 | |
i. Full name | Apex Clearing Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-23522 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 81 | |
i. Full name | Nicol Investors Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-65566 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 82 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 83 | |
i. Full name | NPB Financial Group, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-67113 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 84 | |
i. Full name | Crews & Associates, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-24075 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 85 | |
i. Full name | Feltl & Company |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 86 | |
i. Full name | Princor Financial Services Corporation |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 87 | |
i. Full name | Pyramid Funds Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-12769 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 88 | |
i. Full name | Oberweis Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-49679 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 89 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 90 | |
i. Full name | Avondale Partners, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-51550 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 91 | |
i. Full name | Blakeslee and 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 92 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 93 | |
i. Full name | Broker Dealer Financial Services Corp. |
ii. LEI, if any, or provide and describe other identifying number | 8-24220 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 94 | |
i. Full name | Calton & Associates, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-38635 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 95 | |
i. Full name | First Financial Securities of America, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-29565 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 96 | |
i. Full name | Essex Securities LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-51472 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 97 | |
i. Full name | Centennial Securities Company, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-23406 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 98 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 99 | |
i. Full name | First Financial Equity Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-34082 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 100 | |
i. Full name | First State Financial Management, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-34201 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 101 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 102 | |
i. Full name | Robinson & Robinson, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-17109 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 103 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 104 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 105 | |
i. Full name | Sigma Financial Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-30466 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 106 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 107 | |
i. Full name | Saxony Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-53490 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 108 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 109 | |
i. Full name | CoreCap Investments, Inc. |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 110 | |
i. Full name | Geoffrey Richards Securities Corp. |
ii. LEI, if any, or provide and describe other identifying number | 8-65251 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 111 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 112 | |
i. Full name | E. E. Powell & Company Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-01893 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 113 | |
i. Full name | Davenport & Company LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-17103 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 114 | |
i. Full name | Sisung Securities Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-42121 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 115 | |
i. Full name | Amegy Investments, Inc. (Zions) |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 116 | |
i. Full name | Foresters Financial Services |
ii. LEI, if any, or provide and describe other identifying number | 8-13891 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 117 | |
i. Full name | First Honolulu Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-23919 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 118 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 119 | |
i. Full name | Security Distributors, Inc. |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 120 | |
i. Full name | Slavic Investment Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-40024 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 121 | |
i. Full name | ARCA Capital Investments, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-53110 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 122 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 123 | |
i. Full name | Deutsche Bank Securities Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-17822 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 124 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 125 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 126 | |
i. Full name | J.A. Glynn & Co. |
ii. LEI, if any, or provide and describe other identifying number | 8-39465 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 127 | |
i. Full name | Carter, Terry & Company, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-33797 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 128 | |
i. Full name | Landolt Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-43645 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 129 | |
i. Full name | St. Bernard Financial Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-47566 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 130 | |
i. Full name | Gerwin Group, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-40282 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 131 | |
i. Full name | SWBC Investment Services, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-66764 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 132 | |
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 | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 133 | |
i. Full name | General Securities Corp. |
ii. LEI, if any, or provide and describe other identifying number | 8-31654 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 134 | |
i. Full name | Larson Financial Securities, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-68456 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 135 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 136 | |
i. Full name | The O.N. Equity Sales Company |
ii. LEI, if any, or provide and describe other identifying number | 8-14161 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 137 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 138 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 139 | |
i. Full name | CGIS Securities LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-68758 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 140 | |
i. Full name | CRI Securities, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-39877 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 141 | |
i. Full name | Coker & Palmer, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-44129 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 142 | |
i. Full name | Cutter & Company Brokerage, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-39590 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 143 | |
i. Full name | Lantern Investments, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-45285 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 144 | |
i. Full name | Landaas & Company |
ii. LEI, if any, or provide and describe other identifying number | 8-51826 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 145 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 146 | |
i. Full name | Dominick & Dominick LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-21076 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 147 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 148 | |
i. Full name | MHA Financial Corp. |
ii. LEI, if any, or provide and describe other identifying number | 8-21836 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 149 | |
i. Full name | Neuberger Berman LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-01068 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 150 | |
i. Full name | Highlander Capital Group, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-37169 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 151 | |
i. Full name | Duncan-Williams, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-18971 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 152 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 153 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 154 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 155 | |
i. Full name | First Kentucky Securities Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-22224 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 156 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 157 | |
i. Full name | FMSBonds, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-23280 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 158 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 159 | |
i. Full name | JJB Hilliard WL Lyons |
ii. LEI, if any, or provide and describe other identifying number | 8-33133 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 160 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 161 | |
i. Full name | Leigh Baldwin & Co., LLC |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 162 | |
i. Full name | Nelson Ivest Brokerage Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-26448 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 163 | |
i. Full name | NorthWestern Mutual Investment Services, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-14088 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 164 | |
i. Full name | PNC Bank, N.A. |
ii. LEI, if any, or provide and describe other identifying number | AD6GFRVSDT01YPT1CS68 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 165 | |
i. Full name | Garden State Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-25790 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 166 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 167 | |
i. Full name | M Holdings Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-50214 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 168 | |
i. Full name | T. Rowe Price Retirement Plan Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 084-06219 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 169 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 170 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 171 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 172 | |
i. Full name | Primerica Shareholder Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 084-01499 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 173 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 174 | |
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 | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 175 | |
i. Full name | Shareholders Service Group, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-65778 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 176 | |
i. Full name | American Wealth Management |
ii. LEI, if any, or provide and describe other identifying number | 8-41807 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 177 | |
i. Full name | Planned Investment Co., Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-15266 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 178 | |
i. Full name | Northeastern Financial Group, Incorporated |
ii. LEI, if any, or provide and describe other identifying number | 8-33132 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 179 | |
i. Full name | Summit Brokerage Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-46310 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 180 | |
i. Full name | Healthcare Community Securities Corporation |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 181 | |
i. Full name | SunTrust 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 182 | |
i. Full name | Goldman Sachs & Co. LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-00129 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 183 | |
i. Full name | MMC Securities Corp. |
ii. LEI, if any, or provide and describe other identifying number | 8-52349 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 184 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 185 | |
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 | 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 186 | |
i. Full name | T. Rowe Price Investment Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-25130 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 187 | |
i. Full name | XP Securities, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-68817 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 188 | |
i. Full name | Infinex Investments, 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 189 | |
i. Full name | ICMA-RC Services, Inc. |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 190 | |
i. Full name | GWFS Equities, 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 191 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 192 | |
i. Full name | UMB Financial Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-34999 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 193 | |
i. Full name | Thoroughbred Financial Services, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-51944 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 194 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 195 | |
i. Full name | Reliance Worldwide Investments, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-67575 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 196 | |
i. Full name | Invex, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-44695 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 197 | |
i. Full name | Prospera Financial Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-28164 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 198 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 199 | |
i. Full name | R. Seelaus & Co., Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-31475 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 200 | |
i. Full name | L.S.Y., Inc. |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 201 | |
i. Full name | Vanguard Marketing Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-21570 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 202 | |
i. Full name | Vanderbilt Securities, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-16712 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 203 | |
i. Full name | William Blair & Company L.L.C. |
ii. LEI, if any, or provide and describe other identifying number | 8-02698 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 204 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 205 | |
i. Full name | Kovack Securities Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-50847 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 206 | |
i. Full name | Investment Placement Group |
ii. LEI, if any, or provide and describe other identifying number | 8-30700 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 207 | |
i. Full name | J.P. Morgan Securities LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-35008 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 208 | |
i. Full name | LPL Financial LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-17668 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 209 | |
i. Full name | Monex Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-44874 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 210 | |
i. Full name | Leumi Investment Services Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-52993 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 211 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 212 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 213 | |
i. Full name | RF Lafferty & Co |
ii. LEI, if any, or provide and describe other identifying number | 8-25581 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 214 | |
i. Full name | American United Life Insurance Company |
ii. LEI, if any, or provide and describe other identifying number | 549300T82H2DYU80LV98 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 215 | |
i. Full name | Securities Service Network, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-28980 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 216 | |
i. Full name | World Trend Financial Planning Services, Ltd. |
ii. LEI, if any, or provide and describe other identifying number | 8-43693 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 217 | |
i. Full name | Teachers Insurance and Annuity Association of America |
ii. LEI, if any, or provide and describe other identifying number | O06YD7BJ4EPYNABVFN69 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 218 | |
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 | PUERTO RICO |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 219 | |
i. Full name | Prudential Insurance Company of America |
ii. LEI, if any, or provide and describe other identifying number | Y574KRZ6V5A7UBU45C31 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 220 | |
i. Full name | Rothschild Investment Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-16429 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 221 | |
i. Full name | Sterling Monroe Securities, 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 222 | |
i. Full name | Woodlands Securities Corporation |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 223 | |
i. Full name | UBS Financial Services Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-16267 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 224 | |
i. Full name | Waddell & Reed, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-27030 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 225 | |
i. Full name | Weller, Anderson & Co., 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 226 | |
i. Full name | Winslow, Evans & Crocker, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-44347 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 227 | |
i. Full name | Northeast Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-42227 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 228 | |
i. Full name | OFG Financial Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-40770 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 229 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 230 | |
i. Full name | Triad Advisors, Inc. |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 231 | |
i. Full name | Oscar Gruss & Son Incorporated |
ii. LEI, if any, or provide and describe other identifying number | 8-22371 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 232 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 233 | |
i. Full name | Omni Financial Securities |
ii. LEI, if any, or provide and describe other identifying number | 8-44034 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 234 | |
i. Full name | Digital Retirement Solutions, Inc. |
ii. LEI, if any, or provide and describe other identifying number | N/A |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 235 | |
i. Full name | Nest Investments BD, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-70117 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 236 | |
i. Full name | Vorpahl Wing Securities |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 237 | |
i. Full name | Pershing, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-17574 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 238 | |
i. Full name | Zions Investment |
ii. LEI, if any, or provide and describe other identifying number | 8-35721 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 239 | |
i. Full name | Pruco Securities, LLC. |
ii. LEI, if any, or provide and describe other identifying number | 8-16402 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 240 | |
i. Full name | Sweney Cartwright & Company |
ii. LEI, if any, or provide and describe other identifying number | 8-03150 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 241 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 242 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 243 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 244 | |
i. Full name | SEI Private Trust Company |
ii. LEI, if any, or provide and describe other identifying number | 028-10625 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 245 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 246 | |
i. Full name | Vaughan & Co Securities, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-36916 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 247 | |
i. Full name | ValMark Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-45463 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 248 | |
i. Full name | RIM Securities LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-36759 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 249 | |
i. Full name | IFP Securities |
ii. LEI, if any, or provide and describe other identifying number | 8-70150 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 250 | |
i. Full name | Wellington Shields & Co., LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-68098 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 251 | |
i. Full name | World Choice Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-45235 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 252 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 253 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 254 | |
i. Full name | Voya Retirement Insurance and Annuity Company |
ii. LEI, if any, or provide and describe other identifying number | OK3MKCDYPD4NN6QDGK18 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 255 | |
i. Full name | MerCap Securities |
ii. LEI, if any, or provide and describe other identifying number | 8-68810 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 256 | |
i. Full name | MSEC, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-68627 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 257 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 258 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 259 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 260 | |
i. Full name | ACA/Prudent Investors Planning Corporation |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 261 | |
i. Full name | American Independent Securities Group, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-66905 |
Description of other identifying number | SEC File Number |
iii. State, if applicable | IDAHO |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 262 | |
i. Full name | Arvest Investments, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-49677 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 263 | |
i. Full name | Benchmark Investments, Inc. |
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 | 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 264 | |
i. Full name | BB&T Securities, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-67486 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 265 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 266 | |
i. Full name | BestVest Investments, Ltd. |
ii. LEI, if any, or provide and describe other identifying number | 8-49007 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 267 | |
i. Full name | BOSC, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-35381 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 268 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 269 | |
i. Full name | C. R. Davis & Company |
ii. LEI, if any, or provide and describe other identifying number | 8-859 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 270 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 271 | |
i. Full name | Cetera Financial Specialists LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-27082 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 272 | |
i. Full name | Cetera Advisors LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-26892 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 273 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 274 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 275 | |
i. Full name | Bristol Financial Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-67140 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 276 | |
i. Full name | City National Bank |
ii. LEI, if any, or provide and describe other identifying number | 593C3GZG957YOJPS2Z63 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 277 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 278 | |
i. Full name | Comprehensive Asset Management and Servicing, 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 279 | |
i. Full name | Consolidated Financial Investments, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-37004 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 280 | |
i. Full name | CUNA Brokerage Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-30027 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 281 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 282 | |
i. Full name | Coburn & Meredith, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-02474 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 283 | |
i. Full name | D.A. Davidson & Co. |
ii. LEI, if any, or provide and describe other identifying number | 8-02399 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 284 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 285 | |
i. Full name | Etico Partners, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-65500 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 286 | |
i. Full name | Feldstein Financial Group, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-53388 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 287 | |
i. Full name | First Republic Securities Company, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-52973 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 288 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 289 | |
i. Full name | Hantz Financial Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-51291 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 290 | |
i. Full name | FTB 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 291 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 292 | |
i. Full name | H.D. Vest Investment Services |
ii. LEI, if any, or provide and describe other identifying number | 8-29533 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 293 | |
i. Full name | Harvest Financial Corporation |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 294 | |
i. Full name | First Manhattan Co. |
ii. LEI, if any, or provide and describe other identifying number | 8-10438 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 295 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 296 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 297 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 298 | |
i. Full name | JHW Financial Services Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-45304 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 299 | |
i. Full name | K. W. Chambers & CO. |
ii. LEI, if any, or provide and describe other identifying number | 8-10533 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 300 | |
i. Full name | L. B. Fisher & Company |
ii. LEI, if any, or provide and describe other identifying number | 8-21023 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 301 | |
i. Full name | Key Investment Services LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-66999 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 302 | |
i. Full name | Liberty Capital Investment Corporation |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 303 | |
i. Full name | Advisory Group Equity 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 304 | |
i. Full name | Lincoln Investment Planning, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-14354 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 305 | |
i. Full name | Allegis Investment Services, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-69318 |
Description of other identifying number | SEC File Number |
iii. State, if applicable | IDAHO |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 306 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 307 | |
i. Full name | Loria Financial Group, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-52128 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 308 | |
i. Full name | Meridien Financial Group, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-26090 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 309 | |
i. Full name | Allegiance Capital, L.L.C. |
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 | 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 310 | |
i. Full name | Allianz Life Financial Services, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-13630 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 311 | |
i. Full name | Ameriprise Financial Services, Inc. |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 312 | |
i. Full name | Mutual Trust Co. of America Securities |
ii. LEI, if any, or provide and describe other identifying number | 8-25547 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 313 | |
i. Full name | Arete Wealth Management, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-50854 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 314 | |
i. Full name | American Financial Associates, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-44065 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 315 | |
i. Full name | American Financial Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-53205 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 316 | |
i. Full name | MBSC Securities Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-13801 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 317 | |
i. Full name | Maxim Group LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-65337 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 318 | |
i. Full name | Means Investment Co., Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-27458 |
Description of other identifying number | SEC File Number |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 319 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 320 | |
i. Full name | MV Securities Group, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-47827 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 321 | |
i. Full name | NBC Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-35870 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 322 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 323 | |
i. Full name | BMO Harris Financial Advisors, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-67064 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 324 | |
i. Full name | Arkadios Capital |
ii. LEI, if any, or provide and describe other identifying number | 8-69729 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 325 | |
i. Full name | Ascensus Broker Dealer Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-47312 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 326 | |
i. Full name | Northland Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-48994 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 327 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 328 | |
i. Full name | Callaway Financial Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-52474 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 329 | |
i. Full name | Bolton Global Capital |
ii. LEI, if any, or provide and describe other identifying number | 8-33222 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 330 | |
i. Full name | Cantella & Co., Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-23904 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 331 | |
i. Full name | Oriental Financial Services Corp. |
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 | PUERTO RICO |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 332 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 333 | |
i. Full name | Place Trade Financial, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-65915 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 334 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 335 | |
i. Full name | Podesta & Co. |
ii. LEI, if any, or provide and describe other identifying number | 8-28860 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 336 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 337 | |
i. Full name | Raymond James & Associates, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-10999 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 338 | |
i. Full name | Buckman, Buckman & Reid, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-40413 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 339 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 340 | |
i. Full name | Capital Financial Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-25203 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 341 | |
i. Full name | Cary Street Partners LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-66085 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 342 | |
i. Full name | Citizens Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-48744 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 343 | |
i. Full name | Riversource Distributors, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-67196 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 344 | |
i. Full name | Ceros Financial Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-47955 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 345 | |
i. Full name | Roberts & Ryan Investments Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-37469 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 346 | |
i. Full name | Ross, Sinclaire & Associates, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-41740 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 347 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 348 | |
i. Full name | Royal Alliance Associates, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-40218 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 349 | |
i. Full name | Sage, Rutty & Co., 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 350 | |
i. Full name | BPU Investment Management, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-34979 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 351 | |
i. Full name | Securian Financial Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-31955 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 352 | |
i. Full name | Client One 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 353 | |
i. Full name | Carty & Company, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-19082 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 354 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 355 | |
i. Full name | Coastal Equities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-40822 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 356 | |
i. Full name | Comerica Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-35001 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 357 | |
i. Full name | SecureVest Financial Group |
ii. LEI, if any, or provide and describe other identifying number | 8-26030 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 358 | |
i. Full name | Crescent Securities Group |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 359 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 360 | |
i. Full name | Simmons First Investment Group, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-51795 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 361 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 362 | |
i. Full name | Donegal Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-66137 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 363 | |
i. Full name | 1st Discount Brokerage, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-48557 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 364 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 365 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 366 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 367 | |
i. Full name | Snowden Account Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-68188 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 368 | |
i. Full name | SG Americas Securities, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-66125 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 369 | |
i. Full name | AxA 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 370 | |
i. Full name | The GMS Group, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-23936 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 371 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 372 | |
i. Full name | BCG Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-12680 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 373 | |
i. Full name | TradeStation Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-48711 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 374 | |
i. Full name | DWS Investments Distributors, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-47765 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 376 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 377 | |
i. Full name | First Bankers' Banc Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-31584 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 378 | |
i. Full name | BFT Financial Group, 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 379 | |
i. Full name | Federated Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-15644 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 380 | |
i. Full name | DesPain Financial Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-37056 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 381 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 382 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 383 | |
i. Full name | Stannard Financial Services, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-50654 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 384 | |
i. Full name | Detwiler Fenton & Co. |
ii. LEI, if any, or provide and describe other identifying number | 8-16324 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 385 | |
i. Full name | Access Financial Group, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-46065 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 386 | |
i. Full name | Cambridge Investment Research, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-48740 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 387 | |
i. Full name | BTG Pactual US Capital, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-68148 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 388 | |
i. Full name | Bodell Overcash Anderson & Co., Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-15775 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 389 | |
i. Full name | The Capital Group Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-52512 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 390 | |
i. Full name | Synovus Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-34709 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 391 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 392 | |
i. Full name | ACP Securities, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-67185 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 393 | |
i. Full name | E*Trade Securities |
ii. LEI, if any, or provide and describe other identifying number | 8-44112 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 394 | |
i. Full name | First Heartland Capital, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-46008 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 395 | |
i. Full name | Exeter Trust Company |
ii. LEI, if any, or provide and describe other identifying number | 028-04279 |
Description of other identifying number | SEC File Number |
iii. State, if applicable | NEW HAMPSHIRE |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 396 | |
i. Full name | TransAm 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 | 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 397 | |
i. Full name | Dorsey & Company, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-07541 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 398 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 399 | |
i. Full name | Fidelity Brokerage Services LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-23292 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 400 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 401 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 402 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 403 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 404 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 405 | |
i. Full name | Finance 500, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-28302 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 406 | |
i. Full name | Gilbert, Doniger & Co., Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-22326 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 407 | |
i. Full name | Whitehall-Parker Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-27688 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 408 | |
i. Full name | United Planners' Financial Services of America A Limited Partner |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 409 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 410 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 411 | |
i. Full name | William C. Burnside & Company, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-21242 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 412 | |
i. Full name | World Equity Group, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-44088 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 413 | |
i. Full name | VectorGlobal WMG |
ii. LEI, if any, or provide and describe other identifying number | 8-45715 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 414 | |
i. Full name | First Command Financial Planning, 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 415 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 416 | |
i. Full name | David A. Noyes & Company |
ii. LEI, if any, or provide and describe other identifying number | 8-22752 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 417 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 418 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 419 | |
i. Full name | Capital Institutional Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-22273 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 420 | |
i. Full name | Cascade Investment Group, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-46943 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 421 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 422 | |
i. Full name | Capitol Securities Management, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-30353 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 423 | |
i. Full name | Corinthian Partners, L.L.C. |
ii. LEI, if any, or provide and describe other identifying number | 8-48461 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 424 | |
i. Full name | Wells Fargo Securities, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-65876 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 425 | |
i. Full name | Wood (Arthur W.) Company, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-03368 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 426 | |
i. Full name | John Hancock Trust Company |
ii. LEI, if any, or provide and describe other identifying number | 549300W205WZCFZS6R51 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 427 | |
i. Full name | Visun Securities Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-31907 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 428 | |
i. Full name | Wheelhouse Securities Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-68105 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 429 | |
i. Full name | Gladowsky Capital Management Corp. |
ii. LEI, if any, or provide and describe other identifying number | 8-51017 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 430 | |
i. Full name | TrustCore Investments, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-32152 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 431 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 432 | |
i. Full name | Great Pacific Securities |
ii. LEI, if any, or provide and describe other identifying number | 8-44398 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 433 | |
i. Full name | Halliday Financial, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-45529 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 434 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 435 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 436 | |
i. Full name | E-W Investments, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-35259 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 437 | |
i. Full name | Essex Financial Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-66015 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 438 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 439 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 440 | |
i. Full name | Eastern Point Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-39398 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 441 | |
i. Full name | Fifth Third Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-02428 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 442 | |
i. Full name | First Southern, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-69733 |
Description of other identifying number | SEC File Number |
iii. State, if applicable | PUERTO RICO |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 443 | |
i. Full name | FolioFN 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 444 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 445 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 446 | |
i. Full name | Hanson McClain Securities |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 447 | |
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 | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 448 | |
i. Full name | Fidelity Investments Institutional Operations Company, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-35097 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 449 | |
i. Full name | Hapoalim Securities USA, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-03018 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 450 | |
i. Full name | UBATCO & Co. |
ii. LEI, if any, or provide and describe other identifying number | N/A |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 451 | |
i. Full name | Hartford Funds Management Company, LLC |
ii. LEI, if any, or provide and describe other identifying number | 801-77209 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 452 | |
i. Full name | Herndon Plant Oakley, LTD |
ii. LEI, if any, or provide and describe other identifying number | 8-50912 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 453 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 454 | |
i. Full name | Ladenburg Thalman & Co. Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-17230 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 455 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 456 | |
i. Full name | Herbert J. Sims & Co. Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-03315 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 457 | |
i. Full name | GWN Securities Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-66185 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 458 | |
i. Full name | International Financial Solutions, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-49020 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 459 | |
i. Full name | Institutional Securities Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-38158 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 460 | |
i. Full name | International Research Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-37954 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 461 | |
i. Full name | M. Griffith Investment Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-02259 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 462 | |
i. Full name | J.D. Seibert & Company, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-23604 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 463 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 464 | |
i. Full name | Middlegate Securities Ltd. |
ii. LEI, if any, or provide and describe other identifying number | 8-39031 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 465 | |
i. Full name | Invicta Capital, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-69923 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 466 | |
i. Full name | Huntleigh Securities Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-21893 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 467 | |
i. Full name | Interactive Brokers LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-47257 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 468 | |
i. Full name | Hunter Associates, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-44779 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 469 | |
i. Full name | Hightower Securities, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-53560 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 470 | |
i. Full name | Hennion & Walsh, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-41988 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 471 | |
i. Full name | MidWestern Securities Trading Company, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-52074 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 472 | |
i. Full name | Key West Investments, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-68166 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 473 | |
i. Full name | Nationwide Securities, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-12500 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 474 | |
i. Full name | Independent Financial Group, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-22870 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 475 | |
i. Full name | Insight Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-16247 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 476 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 477 | |
i. Full name | Intercontinental Asset Management Group, Ltd. |
ii. LEI, if any, or provide and describe other identifying number | 8-39706 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 478 | |
i. Full name | LaSalle St. Securities, L.L.C. |
ii. LEI, if any, or provide and describe other identifying number | 8-18860 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 479 | |
i. Full name | Navy Federal Brokerage 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 480 | |
i. Full name | Global Brokerage Services, Inc. |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 481 | |
i. Full name | Kalos Capital, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-50630 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 482 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 483 | |
i. Full name | Legacy Asset Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-51871 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 484 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 485 | |
i. Full name | Liberty Partners Financial Services, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-66335 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 486 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 487 | |
i. Full name | Mercantil Commercebank Investment Services |
ii. LEI, if any, or provide and describe other identifying number | 8-53612 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 488 | |
i. Full name | Morgan Stanley & Co. LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-15869 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 489 | |
i. Full name | Inverness Securities, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-66278 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 490 | |
i. Full name | Lexington Investment Company, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-43085 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 491 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 492 | |
i. Full name | Penates Group, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-50594 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 493 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 494 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 495 | |
i. Full name | Liberty Group, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-52994 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 496 | |
i. Full name | Mid-Atlantic Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-36997 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 497 | |
i. Full name | 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 498 | |
i. Full name | Monere Investments, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-52982 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 499 | |
i. Full name | NYLife Securities LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-15517 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 500 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 501 | |
i. Full name | Pacific Financial Associates, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-40712 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 502 | |
i. Full name | Morgan Stanley Smith Barney LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-68191 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 503 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 504 | |
i. Full name | Paradigm Equities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-45593 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 505 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 506 | |
i. Full name | Merrill Lynch, Pierce, Fenner & Smith Incorporated |
ii. LEI, if any, or provide and describe other identifying number | 8-07221 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 507 | |
i. Full name | Nationwide Planning Associates Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-45310 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 508 | |
i. Full name | Loring Ward Securities Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-51381 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 509 | |
i. Full name | M&T Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-35185 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 510 | |
i. Full name | Quincy Cass Associates, Incorporated |
ii. LEI, if any, or provide and describe other identifying number | 8-05743 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 511 | |
i. Full name | Northern Capital Securities Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-49130 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 512 | |
i. Full name | Rhodes Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-37689 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 513 | |
i. Full name | Pershing Advisor Solutions, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-47425 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 514 | |
i. Full name | Peak Brokerage Services, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-68829 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 515 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 516 | |
i. Full name | Samuel A Ramirez & Co., Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-19014 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 517 | |
i. Full name | Nestlerode & Loy, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-12629 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 518 | |
i. Full name | Rodgers Brothers, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-33475 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 519 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 520 | |
i. Full name | PNC Capital Markets LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-32493 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 521 | |
i. Full name | PFS Investments Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-26486 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 522 | |
i. Full name | Petersen Investments, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-48306 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 523 | |
i. Full name | R.M. Stark & Co., Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-22543 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 524 | |
i. Full name | Standard Insurance Company |
ii. LEI, if any, or provide and describe other identifying number | 549300KVA8DBYKHPXO21 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 525 | |
i. Full name | Proequities, 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 526 | |
i. Full name | Planners Financial Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-18027 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 527 | |
i. Full name | Sentinel Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-53142 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 528 | |
i. Full name | Rehmann Financial Network |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 529 | |
i. Full name | PWA Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-67700 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 530 | |
i. Full name | Stephens Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-01927 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 531 | |
i. Full name | Raymond James Financial Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-17983 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 532 | |
i. Full name | Regulus Advisors, 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 533 | |
i. Full name | SunTrust Bank |
ii. LEI, if any, or provide and describe other identifying number | IYDOJBGJWY9T8XKCSX06 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 534 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 535 | |
i. Full name | RJJ Pasadena Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-25324 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 536 | |
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 | 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 537 | |
i. Full name | Old National Trust Company |
ii. LEI, if any, or provide and describe other identifying number | 028-00344 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 538 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 539 | |
i. Full name | Piper Jaffray & Co. |
ii. LEI, if any, or provide and describe other identifying number | 8-15204 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 540 | |
i. Full name | Schlitt Investor Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-34202 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 541 | |
i. Full name | Planmember Securities Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-25065 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 542 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 543 | |
i. Full name | VOYA Financial Advisors, 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 544 | |
i. Full name | Treasure Financial Corp. |
ii. LEI, if any, or provide and describe other identifying number | 8-48165 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 545 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 546 | |
i. Full name | TD Ameritrade, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-23395 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 547 | |
i. Full name | Stephen A. Kohn & Associates, Ltd. |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 548 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 549 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 550 | |
i. Full name | VOYA Investments Distributors, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-48020 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 551 | |
i. Full name | Rogan & Associates, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-49995 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 552 | |
i. Full name | Safra Securities LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-51935 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 553 | |
i. Full name | Watermark Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-43902 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 554 | |
i. Full name | The Investment Center, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-35826 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 555 | |
i. Full name | The Huntington Investment Company |
ii. LEI, if any, or provide and describe other identifying number | 8-34867 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 556 | |
i. Full name | Titleist Asset Management, Ltd. |
ii. LEI, if any, or provide and describe other identifying number | 8-65859 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 557 | |
i. Full name | S.A. Stone Wealth Management |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 558 | |
i. Full name | Sanders Morris Harris Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-38325 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 559 | |
i. Full name | Conduent HR Services LLC |
ii. LEI, if any, or provide and describe other identifying number | 084-06035 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 560 | |
i. Full name | StockCross Financial Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-17758 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 561 | |
i. Full name | Benefit Trust Company |
ii. LEI, if any, or provide and describe other identifying number | N/A |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 562 | |
i. Full name | John Hancock Life Insurance Company |
ii. LEI, if any, or provide and describe other identifying number | QQ0OZ8J9C4B5QT1XDG31 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 563 | |
i. Full name | Newport Retirement Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | N/A |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 564 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 565 | |
i. Full name | Stonnington Group, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-66919 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 566 | |
i. Full name | Umpqua Investments, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-02915 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 567 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 568 | |
i. Full name | AssetMark Trust Company |
ii. LEI, if any, or provide and describe other identifying number | N/A |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 569 | |
i. Full name | Chalice Capital Partners, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-69967 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 570 | |
i. Full name | Wells Fargo Clearing Services, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-37180 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 571 | |
i. Full name | Western Growers Financial Services, Inc. |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 572 | |
i. Full name | TIAA-CREF Individual & Institutional Services, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-44454 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 573 | |
i. Full name | Wiley Bros.-Aintree Capital, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-03774 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 574 | |
i. Full name | Southeast Investments, N.C., Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-50127 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 575 | |
i. Full name | The Tavenner Company |
ii. LEI, if any, or provide and describe other identifying number | 8-41206 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 576 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 577 | |
i. Full name | Fifth Third Bank |
ii. LEI, if any, or provide and describe other identifying number | QFROUN1UWUYU0DVIWD51 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 578 | |
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 | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 579 | |
i. Full name | TCM Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-50313 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 580 | |
i. Full name | TCFG Wealth Management, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-69089 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 581 | |
i. Full name | Voya Financial Partners, LLC |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 582 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 583 | |
i. Full name | Vanguard Group, Inc., The |
ii. LEI, if any, or provide and describe other identifying number | 5493002789CY3L0CJP65 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 584 | |
i. Full name | Insigneo Securities, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-44166 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 585 | |
i. Full name | BD4RIA, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-70022 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 586 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 587 | |
i. Full name | Woodstock Financial Group, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-48080 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 588 | |
i. Full name | Bruderman Brothers, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-51974 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 589 | |
i. Full name | ADCAP Securities |
ii. LEI, if any, or provide and describe other identifying number | 8-51285 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 590 | |
i. Full name | ABD Retirement Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-69271 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 591 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 592 | |
i. Full name | American Capital Partners, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-65165 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 593 | |
i. Full name | American Municipal Securities, 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 594 | |
i. Full name | American Portfolios Financial Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-37085 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 595 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 596 | |
i. Full name | Arive Capital Markets |
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 | 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 597 | |
i. Full name | Aon Benfield Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-14953 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 598 | |
i. Full name | Arque Capital, Ltd. |
ii. LEI, if any, or provide and describe other identifying number | 8-65390 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 599 | |
i. Full name | Avalon Investment & Securities Group, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-17078 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 600 | |
i. Full name | Avisen Securities, 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 601 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 602 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 603 | |
i. Full name | BC Securities, Inc. (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 | 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 604 | |
i. Full name | Axiom Capital Management, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-42638 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 605 | |
i. Full name | 1st Global Capital Corp. |
ii. LEI, if any, or provide and describe other identifying number | 8-44870 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 606 | |
i. Full name | Broadridge Business Process Outsourcing, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-53412 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 607 | |
i. Full name | Bolton Securities Corp. |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 608 | |
i. Full name | BMO Harris Bank |
ii. LEI, if any, or provide and describe other identifying number | 3Y4U8VZURTYWI1W2K376 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 609 | |
i. Full name | BAC Florida Investments |
ii. LEI, if any, or provide and describe other identifying number | 8-37483 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 610 | |
i. Full name | Boenning & Scattergood, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-15543 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 611 | |
i. Full name | Barclays Capital Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-41342 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 612 | |
i. Full name | Berthel, Fisher & Company Financial Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-29426 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 613 | |
i. Full name | BBVA Securities Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-42857 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 614 | |
i. Full name | Benjamin F. Edwards & Company, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-68023 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 615 | |
i. Full name | Bley Investments 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 616 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 617 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 618 | |
i. Full name | Bill Few Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-49625 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 619 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 620 | |
i. Full name | Cascade Financial Management, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-53730 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 621 | |
i. Full name | CBIZ Financial Solutions, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-34205 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 622 | |
i. Full name | Charles Schwab & Co., Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-16514 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 623 | |
i. Full name | Caldwell Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-27639 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 624 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 625 | |
i. Full name | Cetera Investment Services, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-31826 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 626 | |
i. Full name | D.M. Kelly & Company |
ii. LEI, if any, or provide and describe other identifying number | 8-48398 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 627 | |
i. Full name | Credit Suisse Securities (USA) LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-00422 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 628 | |
i. Full name | CIBC World Markets Corp. |
ii. LEI, if any, or provide and describe other identifying number | 8-18333 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 629 | |
i. Full name | Crestone Securities |
ii. LEI, if any, or provide and describe other identifying number | 8-52463 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 630 | |
i. Full name | Andbanc Brokerage, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-68759 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 631 | |
i. Full name | Dougherty & Company LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-21937 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 632 | |
i. Full name | Fairport Capital, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-32162 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 633 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 634 | |
i. Full name | Coldstream Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-51549 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 635 | |
i. Full name | Dinosaur Securities, L.L.C. |
ii. LEI, if any, or provide and describe other identifying number | 8-52908 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 636 | |
i. Full name | Allen & Company of Florida, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-09877 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 637 | |
i. Full name | David Lerner Associates, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-20746 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 638 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 639 | |
i. Full name | Detalus Securities, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-52180 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 640 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 641 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 642 | |
i. Full name | E*Trade Savings Bank |
ii. LEI, if any, or provide and describe other identifying number | 549300DXPO50FJ75QA85 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 643 | |
i. Full name | Edward D. Jones & Co., L.P. |
ii. LEI, if any, or provide and describe other identifying number | 8-00759 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 644 | |
i. Full name | EK Riley Investments, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-65369 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 645 | |
i. Full name | Empire Asset Management Company |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 646 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 647 | |
i. Full name | Edwin C. Blitz Investments, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-22741 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 648 | |
i. Full name | D.H. Hill Securities LLP |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 649 | |
i. Full name | Financial Northeastern Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-34883 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 650 | |
i. Full name | Farmers Financial Solutions, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-52361 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 651 | |
i. Full name | FCG Advisors, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-49104 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 652 | |
i. Full name | Financial Services International Corp. |
ii. LEI, if any, or provide and describe other identifying number | 8-48032 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 653 | |
i. Full name | First Allied Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-46167 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 654 | |
i. Full name | Folger Nolan Fleming Douglas Incorporated |
ii. LEI, if any, or provide and describe other identifying number | 8-03335 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 655 | |
i. Full name | First Western Advisors |
ii. LEI, if any, or provide and describe other identifying number | 8-28729 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 656 | |
i. Full name | Centaurus Financial, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-45185 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 657 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 658 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 659 | |
i. Full name | Fiduciary Trust International |
ii. LEI, if any, or provide and describe other identifying number | N1YKEWO2IYPRS4742F57 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 660 | |
i. Full name | Fidelity Investments Life |
ii. LEI, if any, or provide and describe other identifying number | 54930024AKTQGTIV1P93 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 661 | |
i. Full name | FNBB Capital Markets, LLC |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 662 | |
i. Full name | Citigroup Global Markets Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-08177 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 663 | |
i. Full name | Fortune Financial Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-49727 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 664 | |
i. Full name | Excel Securities & Associates, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-34261 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 665 | |
i. Full name | Gardner Financial Services, 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 666 | |
i. Full name | H. C. Denison Co. |
ii. LEI, if any, or provide and describe other identifying number | 8-00044 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 667 | |
i. Full name | G.L.S. & Associates, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-51808 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 668 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 669 | |
i. Full name | GRF Capital Investors, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-41494 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 670 | |
i. Full name | Financial Planning Consultants, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-25384 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 671 | |
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 | 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 672 | |
i. Full name | Hancock Investment Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-49106 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 673 | |
i. Full name | Freimark Blair & Company, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-28646 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 674 | |
i. Full name | FSB Warner Financial, 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 675 | |
i. Full name | Foresters Equity Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-36703 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 676 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 677 | |
i. Full name | Glen Eagle Advisors LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-65678 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 678 | |
i. Full name | Hefren-Tillotson, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-10646 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 679 | |
i. Full name | G. W. & 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 680 | |
i. Full name | Hazlett, Burt & Watson, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-17737 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 681 | |
i. Full name | HSBC Securities (USA), Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-41562 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 682 | |
i. Full name | Forest Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-33568 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 683 | |
i. Full name | Hilltop Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-45123 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 684 | |
i. Full name | ING Financial Markets LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-43978 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 685 | |
i. Full name | Fieldpoint Private 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 686 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 687 | |
i. Full name | Innovation Partners LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-67812 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 688 | |
i. Full name | Investacorp, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-22598 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 689 | |
i. Full name | Hornor, Townsend & Kent, Inc. |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 690 | |
i. Full name | InvestShares (Legal name: IMA Securities LLC) |
ii. LEI, if any, or provide and describe other identifying number | 8-68365 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 691 | |
i. Full name | IDB Capital Corp. |
ii. LEI, if any, or provide and describe other identifying number | 8-53000 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 692 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 693 | |
i. Full name | Gold Coast Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-53148 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 694 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 695 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 696 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 697 | |
i. Full name | Keel Point Capital, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-22990 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 698 | |
i. Full name | Itau International Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-67674 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 699 | |
i. Full name | KMS Financial Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-15433 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 700 | |
i. Full name | Investment Architects, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-35724 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 701 | |
i. Full name | Kovitz Securities, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-66267 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 702 | |
i. Full name | Jefferies, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-15074 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 703 | |
i. Full name | Integral Financial LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-65284 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 704 | |
i. Full name | LaBrunerie Financial Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-47830 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 705 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 706 | |
i. Full name | KCD Financial, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-66005 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 707 | |
i. Full name | Investment Professionals, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-44786 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 708 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 709 | |
i. Full name | Lara, May & Associates, 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 710 | |
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 | |
iv. Foreign country, if applicable | UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND |
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 711 | |
i. Full name | Keystone Capital 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 712 | |
i. Full name | Lincoln Financial Distributors, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-13431 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 713 | |
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 | NEW HAMPSHIRE |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 714 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 715 | |
i. Full name | Lucia Securities, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-47643 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 716 | |
i. Full name | Lockton Financial Advisors, 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 717 | |
i. Full name | Mack Investment Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-35536 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 718 | |
i. Full name | Lieblong & Associates, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-49880 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 719 | |
i. Full name | Jack V. Butterfield Investment Company |
ii. LEI, if any, or provide and describe other identifying number | 8-12454 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 720 | |
i. Full name | Madison Avenue Securities, Inc. |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 721 | |
i. Full name | Mid Atlantic Capital Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-27663 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 722 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 723 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 724 | |
i. Full name | Marsco Investment Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-36754 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 725 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 726 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 727 | |
i. Full name | Mesirow Financial, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-28816 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 728 | |
i. Full name | Maplewood Investment Advisors, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-52221 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 729 | |
i. Full name | Moors & Cabot, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-23060 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 730 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 731 | |
i. Full name | Morris Group, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-28916 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 732 | |
i. Full name | North South Capital, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-67979 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 733 | |
i. Full name | Neidiger, Tucker, Bruner, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-21884 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 734 | |
i. Full name | NIA Securities, L.L.C. |
ii. LEI, if any, or provide and describe other identifying number | 8-50591 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 735 | |
i. Full name | NYLife Distributors LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-46655 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 736 | |
i. Full name | Ohanesian / Lecours, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-40729 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 737 | |
i. Full name | National Financial Services, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-26740 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 738 | |
i. Full name | Patapsco Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-43485 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 739 | |
i. Full name | Mutual Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-28580 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 740 | |
i. Full name | Pension Dynamics Securities Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-52535 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 741 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 742 | |
i. Full name | P. R. Herzig & Co. Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-22589 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 743 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 744 | |
i. Full name | Nations Financial Group, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-50588 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 745 | |
i. Full name | Portfolio Resources Group, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-45380 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 746 | |
i. Full name | Northern Trust Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-23689 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 747 | |
i. Full name | Purshe Kaplan Sterling Investments |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 748 | |
i. Full name | Sabadell Securities USA, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-67975 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 749 | |
i. Full name | Philip J. Greenblatt Securities Ltd |
ii. LEI, if any, or provide and describe other identifying number | 8-30725 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 750 | |
i. Full name | Oppenheimer & Co. Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-04077 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 751 | |
i. Full name | Quest Capital Strategies, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-34532 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 752 | |
i. Full name | Questar Capital Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-50174 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 753 | |
i. Full name | People's Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-29667 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 754 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 755 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 756 | |
i. Full name | Queens Road Securities, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-52737 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 757 | |
i. Full name | Robert W. Baird & Co. Incorporated |
ii. LEI, if any, or provide and describe other identifying number | 8-00497 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 758 | |
i. Full name | Repex & Co., Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-26431 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 759 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 760 | |
i. Full name | Mid-Atlantic Clearing & Settlement Corp. |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 761 | |
i. Full name | Signator Investors, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-13995 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 762 | |
i. Full name | Saperston Asset Management, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-50658 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 763 | |
i. Full name | SECU Brokerage Services |
ii. LEI, if any, or provide and describe other identifying number | 8-37927 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 764 | |
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 | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 765 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 766 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 767 | |
i. Full name | Stifel, Nicolaus & Company, Incorporated |
ii. LEI, if any, or provide and describe other identifying number | 8-01447 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 768 | |
i. Full name | SDDCO Brokerage Advisors, 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 769 | |
i. Full name | Signature Securities Group Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-52697 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 770 | |
i. Full name | S F Sentry Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-43101 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 771 | |
i. Full name | Superior Financial Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-52618 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 772 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 773 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 774 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 775 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 776 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 777 | |
i. Full name | The Garbacz Group Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-42366 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 778 | |
i. Full name | The Jeffrey Matthews Financial Group, L.L.C. |
ii. LEI, if any, or provide and describe other identifying number | 8-49352 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 779 | |
i. Full name | Transamerica Financial Advisors, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-33429 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 780 | |
i. Full name | TimeCapital Securities Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-18248 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 781 | |
i. Full name | Tradition Asiel Securities Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-43559 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 782 | |
i. Full name | Trade-PMR 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 783 | |
i. Full name | UBS AG, New York Branch |
ii. LEI, if any, or provide and describe other identifying number | BFM8T61CT2L1QCEMIK50 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 784 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 785 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 786 | |
i. Full name | Univest Investments, Inc. |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 787 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 788 | |
i. Full name | Vestor Capital Securities |
ii. LEI, if any, or provide and describe other identifying number | 8-32743 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 789 | |
i. Full name | ViewTrade Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-51605 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 790 | |
i. Full name | Uhlmann Price Securities, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-50041 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 791 | |
i. Full name | Wayne Hummer Investments, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-00484 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 792 | |
i. Full name | USAA Investment Management Company |
ii. LEI, if any, or provide and describe other identifying number | 8-41241 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 793 | |
i. Full name | Wall Street Access |
ii. LEI, if any, or provide and describe other identifying number | 8-25936 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 794 | |
i. Full name | Wells Fargo Bank, N.A. |
ii. LEI, if any, or provide and describe other identifying number | KB1H1DSPRFMYMCUFXT09 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 795 | |
i. Full name | Unionbanc Investment Services, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-30706 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 796 | |
i. Full name | VBC Securities, LLC |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 797 | |
i. Full name | Weston Securities Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-32664 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 798 | |
i. Full name | Westport Resources Investment Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-40904 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 799 | |
i. Full name | Whitney National Bank |
ii. LEI, if any, or provide and describe other identifying number | NSGZD26XPW2CUM2JKU70 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 800 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 801 | |
i. Full name | WedBush Securities Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-12987 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 802 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 803 | |
i. Full name | Western International Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-48572 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 804 | |
i. Full name | Wescom Financial Services, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-66189 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 805 | |
i. Full name | Charles Schwab Bank |
ii. LEI, if any, or provide and describe other identifying number | 549300INFJ8TYNZ1G568 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 806 | |
i. Full name | Vision Financial Markets LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-67447 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 807 | |
i. Full name | State Farm VP Management Corp |
ii. LEI, if any, or provide and describe other identifying number | 8-50128 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 808 | |
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 | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 809 | |
i. Full name | First Mercantile Trust Company |
ii. LEI, if any, or provide and describe other identifying number | 028-10498 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 810 | |
i. Full name | Nationwide Financial Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 5493001H7AZNDS6BKJ36 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 811 | |
i. Full name | Reliance Trust Company |
ii. LEI, if any, or provide and describe other identifying number | 549300NV8FSQRNOUQO50 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 812 | |
i. Full name | Regions Bank |
ii. LEI, if any, or provide and describe other identifying number | EQTWLK1G7ODGC2MGLV11 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 813 | |
i. Full name | Principal Life Insurance Company |
ii. LEI, if any, or provide and describe other identifying number | SDCMU2LVKGV2AF1KWP64 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 814 | |
i. Full name | Guardian Insurance & Annuity Company, Inc., The |
ii. LEI, if any, or provide and describe other identifying number | TGIU5N0SIMULU6I57R64 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 815 | |
i. Full name | Voya Institutional Plan Services, LLC |
ii. LEI, if any, or provide and describe other identifying number | N/A |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 816 | |
i. Full name | Saturna Trust Company |
ii. LEI, if any, or provide and describe other identifying number | N/A |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 817 | |
i. Full name | Calamar Financial Group |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 818 | |
i. Full name | Summit Equities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-27556 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 819 | |
i. Full name | Sammons Retirement Solutions, Inc. |
ii. LEI, if any, or provide and describe other identifying number | N/A |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 820 | |
i. Full name | Mercer HR Services, LLC |
ii. LEI, if any, or provide and describe other identifying number | N/A |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 821 | |
i. Full name | Concord Wealth Brokerage |
ii. LEI, if any, or provide and describe other identifying number | 8-41511 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 822 | |
i. Full name | Benefit Plans Administrative Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | N/A |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 823 | |
i. Full name | Thompson Davis & Co., Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-49386 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 824 | |
i. Full name | The Oak Ridge Financial Services Group, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-50082 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 825 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 826 | |
i. Full name | Ascensus, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 549300K5MHNFPEU2RK82 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 827 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 828 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 829 | |
i. Full name | U.S. Bancorp Investments, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-35359 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 830 | |
i. Full name | Wunderlich Securities, 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 831 | |
i. Full name | USCA Securities LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-52285 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 832 | |
i. Full name | JPMorgan Chase Bank, N.A. |
ii. LEI, if any, or provide and describe other identifying number | 7H6GLYDRUGQFU57RNE97 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 833 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 834 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 835 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 836 | |
i. Full name | TRG Advisors, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-50449 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 837 | |
i. Full name | Supreme Alliance, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-51046 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 838 | |
i. Full name | GLP Investment Services |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
b. Has a shareholder servicing agent been hired or terminated during the reporting period? | ![]() ![]() |
Item C.14. Administrators.
a. Provide the following information about each administrator of the Fund: |
Administrators Record: 1 | |
i. Full name | BlackRock Advisors, LLC |
ii. LEI, if any, or other identifying number | 5493001LN9MRM6A35J74 |
Description of other identifying number | |
iii. State, if applicable | DELAWARE |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the administrator an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the administrator a sub-administrator? | ![]() ![]() |
Administrators Record: 2 | |
i. Full name | JPMorgan Chase Bank, N.A. |
ii. LEI, if any, or other identifying number | 7H6GLXDRUGQFU57RNE97 |
Description of other identifying number | |
iii. State, if applicable | NEW YORK |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the administrator an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the administrator a sub-administrator? | ![]() ![]() |
b.Has a third-party administrator been hired or terminated during the reporting period? | ![]() ![]() |
Item C.15. Affiliated broker-dealers.
Provide the following information about each affiliated broker-dealer: |
Broker Dealers Record: 1 | |
a. Full name | BlackRock Execution Services |
b. SEC file number | 8-48719 |
c. CRD number | 000039438 |
d. LEI, if any | 549300HFCRQ0NT5KY652 |
e. State, if applicable | NEW YORK |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0 |
Broker Dealers Record: 2 | |
a. Full name | BlackRock Investments, LLC |
b. SEC file number | 8-48436 |
c. CRD number | 000038642 |
d. LEI, if any | N/A |
e. State, if applicable | NEW YORK |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0 |
Item C.16. Brokers.
Instructions to Item C.16 and Item C.17. To help Registrants distinguish between agency and principal transactions, and to promote consistent reporting of the information required by these items, the following criteria should be used: 1. If a security is purchased or sold in a transaction for which the confirmation specifies the amount of the commission to be paid by the Registrant, the transaction should be considered an agency transaction and included in determining the answers to Item C.16. 2. If a security is purchased or sold in a transaction for which the confirmation specifies only the net amount to be paid or received by the Registrant and such net amount is equal to the market value of the security at the time of the transaction, the transaction should be considered a principal transaction and included in determining the amounts in Item C.17. 3. If a security is purchased by the Registrant in an underwritten offering, the acquisition should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the underwriters are receiving from the issuer. 4. If a security is sold by the Registrant in a tender offer, the sale should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the offeror is paying to soliciting brokers or dealers. 5. If a security is purchased directly from the issuer (such as a bank CD), the purchase should be considered a principal transaction and included in answering Item C.17. 6. The value of called or maturing securities should not be counted in either agency or principal transactions and should not be included in determining the amounts shown in Item C.16 and Item C.17. This means that the acquisition of a security may be included, but it is possible that its disposition may not be included. Disposition of a repurchase agreement at its expiration date should not be included. 7. The purchase or sales of securities in transactions not described in paragraphs (1) through (6) above should be evaluated by the Fund based upon the guidelines established in those paragraphs and classified accordingly. The agents considered in Item C.16 may be persons or companies not registered under the Exchange Act as securities brokers. The persons or companies from whom the investment company purchased or to whom it sold portfolio instruments on a principal basis may be persons or entities not registered under the Exchange Act as securities dealers. |
a. For each of the ten brokers that received the largest dollar amount of brokerage commissions (excluding dealer concessions in underwritings) by virtue of direct or indirect participation in the Fund’s portfolio transactions, provide the information below: |
i. Full name of broker | |
ii. SEC file number | |
iii. CRD number | |
iv. LEI, if any | |
v. State, if applicable | |
vi. Foreign country, if applicable | |
vii. Gross commissions paid by the Fund for the reporting period |
b. Aggregate brokerage commissions paid by Fund during the reporting period: | 0 |
Item C.17. Principal transactions.
a. For each of the ten entities acting as principals with which the Fund did the largest dollar amount of principal transactions (include all short-term obligations, and U.S. government and tax-free securities) in both the secondary market and in underwritten offerings, provide the information below: |
Principal Transactions Record: 1 | |
i. Full name of dealer | Mizuho Securities USA LLC |
ii. SEC file number | 8-37710 |
iii. CRD number | 000019647 |
iv. LEI, if any | 549300HS3WTRS6D88H32 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 19296402000 |
Principal Transactions Record: 2 | |
i. Full name of dealer | Citigroup Global Markets, Inc. |
ii. SEC file number | 8-08177 |
iii. CRD number | 000007059 |
iv. LEI, if any | MBNUM2BPBDO7JBLYG310 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 30204831693.29 |
Principal Transactions Record: 3 | |
i. Full name of dealer | BNY Mellon Capital Markets, LLC |
ii. SEC file number | 8-35255 |
iii. CRD number | 000017454 |
iv. LEI, if any | VJW2DOOHGDT6PR0ZRO63 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 36349736839.44 |
Principal Transactions Record: 4 | |
i. Full name of dealer | ABN AMRO Securities (USA) LLC |
ii. SEC file number | 8-68398 |
iii. CRD number | 000151796 |
iv. LEI, if any | BFXS5XCH7N0Y05NIXW11 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 31937000000 |
Principal Transactions Record: 5 | |
i. Full name of dealer | Barclays Capital, Inc. |
ii. SEC file number | 8-41342 |
iii. CRD number | 000019714 |
iv. LEI, if any | AC28XWWI3WIBK2824319 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 42691886069.680008 |
Principal Transactions Record: 6 | |
i. Full name of dealer | J.P. Morgan Securities LLC |
ii. SEC file number | 8-35008 |
iii. CRD number | 000000079 |
iv. LEI, if any | ZBUT11V806EZRVTWT807 |
v. State, if applicable | OHIO |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 164199008121.11 |
Principal Transactions Record: 7 | |
i. Full name of dealer | Credit Suisse Securities (USA) LLC |
ii. SEC file number | 8-00422 |
iii. CRD number | 000000816 |
iv. LEI, if any | 1V8Y6QCX6YMJ2OELII46 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 31828176320.66 |
Principal Transactions Record: 8 | |
i. Full name of dealer | CIT Securities International USA, LLC |
ii. SEC file number | 8-68887 |
iii. CRD number | 000158266 |
iv. LEI, if any | 213800YMG8YN4O5CX140 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 34502817500 |
Principal Transactions Record: 9 | |
i. Full name of dealer | Landesbank |
ii. SEC file number | N/A |
iii. CRD number | N/A |
iv. LEI, if any | DIZES5CFO5K3I5R58746 |
v. State, if applicable | |
vi. Foreign country, if applicable | GERMANY |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 25523549000 |
Principal Transactions Record: 10 | |
i. Full name of dealer | SEB SECURITIES, INC |
ii. SEC file number | 8-40644 |
iii. CRD number | 000023710 |
iv. LEI, if any | 549300O01JBQJ46JL826 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 23453134000 |
b. Aggregate value of principal purchase/sale transactions of Fund during the reporting period: | 514142256405.76 |
Item C.18. Payments for brokerage and research.
During the reporting period, did the Fund pay commissions to broker-dealers for "brokerage and research services" within the meaning of section 28(e) of the Exchange Act (15 U.S.C. 78bb)? | ![]() ![]() |
Item C.19. Average net assets.
a. Provide the Fund's (other than a money market fund's) monthly average net assets during the reporting period | |
b. Provide the money market fund's daily average net assets during the reporting period | 7715308864.25 |
Item C.20. Lines of credit, interfund lending and interfund borrowing.
a. Does the Fund have available a line of credit? | ![]() ![]() |
b. Did the Fund engage in interfund lending? | ![]() ![]() |
c.Did the Fund engage in interfund borrowing? | ![]() ![]() |
Management Investment Record: 6 |
Item C.1. Background information.
a. Full Name of the Fund | California Money Fund |
b. Series identication number, if any | S000001481 |
c. LEI | 549300E5GIHTAGOVRB65 |
d. Is this the first filing on this form by the Fund? | ![]() ![]() |
Item C.2. Classes of open-end management investment companies.
a. How many Classes of shares of the Fund (if any) are authorized? | 11 |
b. How many new Classes of shares of the Fund were added during the reporting period? | 0 |
c. How many Classes of shares of the Fund were terminated during the reporting period? | 0 |
d. For each Class with shares outstanding, provide the information requested below: | |
Shares Outstanding Record: 1 | |
i. Full name of Class | Institutional |
ii. Class identification number, if any | C000003982 |
iii. Ticker symbol, if any | MUCXX |
Shares Outstanding Record: 2 | |
i. Full name of Class | Premier |
ii. Class identification number, if any | C000003981 |
iii. Ticker symbol, if any | BLBXX |
Item C.3. Type of fund.
Instructions. 1. "Fund of Funds" means a fund that acquires securities issued by any other investment company in excess of the amounts permitted under paragraph (A) of section 12(d)(1) of the Act (15 U.S.C. 80a-12(d)(1)(A)), but, for purposes of this Item, does not include a fund that acquires securities issued by another company solely in reliance on rule 12d1-1 under the Act (CFR 270.12d1-1). 2. "Index Fund" means an investment company, including an Exchange-Traded Fund, that seeks to track the performance of a specified index. 3. "Interval Fund" means a closed-end management investment company that makes periodic repurchases of its shares pursuant to rule 23c-3 under the Act (17 CFR 270.23c-3). 4. "Master-Feeder Fund" means a two-tiered arrangement in which one or more funds (each a feeder fund) holds shares of a single Fund (the master fund) in accordance with section 12(d)(1)(E) of the Act (15 U.S.C. 80a-12(d)(1)(E)) or pursuant to exemptive relief granted by the Commission. 5. "Target Date Fund" means an investment company that has an investment objective or strategy of providing varying degrees of long-term appreciation and capital preservation through a mix of equity and fixed income exposures that changes over time based on an investor's age, target retirement date, or life expectancy. |
Indicate if the Fund is any one of the types listed below. Check all that apply. |
a. Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund i. ![]() ii. ![]() b. ![]() c. ![]() d. ![]() e. ![]() f. ![]() g. ![]() h. ![]() i. ![]() ![]() |
Item C.4. Diversification.
Does the Fund seek to operate as a “non-diversified company” as such term is defined in section 5(b)(2) of the Act (15 U.S.C. 80a- 5(b) (2))? | ![]() ![]() |
Item C.5. Investments in certain foreign corporations.
Instruction. "Controlled foreign corporation" has the meaning provided in section 957 of the Internal Revenue Code [26 U.S.C. 957]. |
a. Does the fund invest in a controlled foreign corporation for the purpose of investing in certain types of instruments such as, but not limited to, commodities? | ![]() ![]() |
Item C.6. Securities lending.
Instruction. For purposes of this Item, other adverse impacts would include, for example, (1) a loss to the Fund if collateral and indemnification were not sufficient to replace the loaned securities or their value, (2) the Fund's ineligibility to vote shares in a proxy, or (3) the Fund's ineligibility to receive a direct distribution from the issuer. |
a. Is the Fund authorized to engage in securities lending transactions? | ![]() ![]() |
b. Did the Fund lend any of its securities during the reporting period? | ![]() ![]() |
c. Provide the information requested below about each securities lending agent, if any, retained by the Fund: |
Securities Lending Record: 1 | |
i. Full name of securities lending agent | BlackRock Investment Management, LLC |
ii. LEI, if any | 5493006MRTEZZ4S4CQ20 |
iii. Is the securities lending agent an affiliated person, or an affiliated person of an affiliated person, of the Fund? | ![]() ![]() |
iv. Does the securities lending agent or any other entity indemnify the fund against borrower default on loans administered by this agent? | ![]() ![]() |
v. If the entity providing the indemnification is not the securities lending agent, provide the following information: |
Idemnity Providers Record: 1 |
1. Name of person providing indemnification | N/A |
2. LEI, if any, of person providing indemnification | N/A |
vi. Did the Fund exercise its indemnification rights during the reporting period? | ![]() ![]() |
d. If a person providing cash collateral management services to the Fund in connection with the Fund's securities lending activities does not also serve as securities lending agent, provide the following information about each cash collateral manager: |
i. Full name of cash collateral manager: | |
ii. LEI, if any: | |
iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund? | ![]() ![]() |
iv. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of the Fund? | ![]() ![]() |
e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply): | ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
If other, describe: | Rebates paid to borrowers |
f. Provide the monthly average of the value of portfolio securities on loan during the reporting period | N/A |
g. Provide the net income from securities lending activities | N/A |
Item C.7. Reliance on certain rules.
Did the Fund rely on any of the following rules under the Act during the reporting period? (check all that apply) | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Item C.8. Expense limitations.
Instruction. Provide information concerning any direct or indirect limitations, waivers or reductions, on the level of expenses incurred by the fund during the reporting period. A limitation, for example, may be applied indirectly (such as when an adviser agrees to accept a reduced fee pursuant to a voluntary fee waiver) or it may apply only for a temporary period such as for a new fund in its start-up phase. |
a. Did the Fund have an expense limitation arrangement in place during the reporting period? | ![]() ![]() |
b. Were any expenses of the Fund reduced or waived pursuant to an expense limitation arrangement during the reporting period? | ![]() ![]() |
c. Are the fees waived subject to recoupment? | ![]() ![]() |
d. Were any expenses previously waived recouped during the period? | ![]() ![]() |
Item C.9. Investment advisers.
a. Provide the following information about each investment adviser (other than a sub-adviser) of the Fund: |
Investment Advisers Record: 1 | |
i. Full name | BlackRock Advisors, LLC |
ii. SEC file number ( e.g., 801- ) | 801-47710 |
iii.CRD number | 000106614 |
iv. LEI, if any | 5493001LN9MRM6A35J74 |
v. State, if applicable | DELAWARE |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Was the investment adviser hired during the reporting period? | ![]() ![]() |
b. If an investment adviser (other than a sub- adviser) to the Fund was terminated during the reporting period, provide the following with respect to each investment adviser: |
i. Full name | |
ii. SEC file number ( e.g., 801- ) | |
iii. CRD number | |
iv. LEI, if any | |
v. State, if applicable | |
vi. Foreign country, if applicable | |
vii. Termination date |
c. For each sub-adviser to the Fund, provide the information requested: |
i. Full name | |
ii. SEC file number ( e.g., 801- ), if applicable | |
iii. CRD number | |
iv. LEI, if any | |
v. State, if applicable | |
vi. Foreign country, if applicable | |
vii. Is the sub-adviser an affiliated person of the Fund's investment adviser(s)? | ![]() ![]() |
viii. Was the sub-adviser hired during the reporting period? | ![]() ![]() |
d. If a sub-adviser was terminated during the reporting period, provide the following with respect to such sub-adviser: |
i. Full name | |
ii. SEC file number ( e.g., 801- ) | |
iii. CRD number | |
iv. LEI, if any | |
v. State, if applicable | |
vi. Foreign country, if applicable | |
vii. Termination date |
Item C.10. Transfer agents.
a. Provide the following information about each person providing transfer agency services to the Fund: |
Transfer Agents Record: 1 | |
i. Full name | BNY Mellon Investment Servicing (US) Inc. |
ii.SEC file number ( e.g., 84- or 85- ) | 84-01761 |
iii. LEI, if any | 549300CFZQLI9QMJ1Z03 |
iv. State, if applicable | DELAWARE |
v. Foreign country, if applicable | UNITED STATES OF AMERICA |
vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vii. Is the transfer agent a sub-transfer agent? | ![]() ![]() |
b. Has a transfer agent been hired or terminated during the reporting period? | ![]() ![]() |
Item C.11. Pricing services.
a. Provide the following information about each person that provided pricing services to the Fund during the reporting period: |
Pricing Services Record: 1 | |
i. Full name | ICE Data Pricing & Reference Data, LLC |
ii. LEI, if any, or provide and describe other identifying number | 5493000NQ9LYLDBCTL34 |
Description of other identifying number | |
iii. State, if applicable | NEW YORK |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
b. Was a pricing service hired or terminated during the reporting period? | ![]() ![]() |
Item C.12. Custodians.
a. Provide the following information about each person that provided custodial services to the Fund during the reporting period: |
Custodians Record: 1 | |
i. Full name | JPMorgan Chase Bank, N.A. |
ii. LEI, if any | 7H6GLXDRUGQFU57RNE97 |
iii. State, if applicable | NEW YORK |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 2 | |
i. Full name | The Bank of New York Mellon |
ii. LEI, if any | HPFHU0OQ28E4N0NFVK49 |
iii. State, if applicable | NEW YORK |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
b. Has a custodian been hired or terminated during the reporting period?* | ![]() ![]() |
Item C.13. Shareholder servicing agents.
a. Provide the following information about each shareholder servicing agent of the Fund: |
Shareholder servicing agents Record: 1 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 2 | |
i. Full name | Allen & Company of Florida, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-09877 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 3 | |
i. Full name | Barclays Capital Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-41342 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 4 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 5 | |
i. Full name | American Century Investment Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-35220 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 6 | |
i. Full name | Access Investments, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-49750 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 7 | |
i. Full name | Andbanc Brokerage, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-68759 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 8 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 9 | |
i. Full name | Alerus Securities |
ii. LEI, if any, or provide and describe other identifying number | 8-47152 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 10 | |
i. Full name | Ameritas Investment Corp. |
ii. LEI, if any, or provide and describe other identifying number | 8-31296 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 11 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 12 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 13 | |
i. Full name | Alight Financial Solutions LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-47344 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 14 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 15 | |
i. Full name | Arete Wealth Management, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-50854 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 16 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 17 | |
i. Full name | 1st Global Capital Corp. |
ii. LEI, if any, or provide and describe other identifying number | 8-44870 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 18 | |
i. Full name | Alight Solutions LLC |
ii. LEI, if any, or provide and describe other identifying number | 084-01996 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 19 | |
i. Full name | Allegiance Capital, L.L.C. |
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 | 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 20 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 21 | |
i. Full name | ACA/Prudent Investors Planning Corporation |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 22 | |
i. Full name | ABD Retirement Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-69271 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 23 | |
i. Full name | American Financial Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-53205 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 24 | |
i. Full name | Arive Capital Markets |
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 | 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 25 | |
i. Full name | AxA 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 26 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 27 | |
i. Full name | BestVest Investments, Ltd. |
ii. LEI, if any, or provide and describe other identifying number | 8-49007 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 28 | |
i. Full name | Allianz Life Financial Services, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-13630 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 29 | |
i. Full name | Amegy Investments, Inc. (Zions) |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 30 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 31 | |
i. Full name | Avondale Partners, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-51550 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 32 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 33 | |
i. Full name | ARCA Capital Investments, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-53110 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 34 | |
i. Full name | Capitol Securities Management, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-30353 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 35 | |
i. Full name | ADCAP Securities |
ii. LEI, if any, or provide and describe other identifying number | 8-51285 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 36 | |
i. Full name | American Financial Associates, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-44065 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 37 | |
i. Full name | Bernard Herold & Co., Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-17005 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 38 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 39 | |
i. Full name | American Enterprise Investment Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-42582 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 40 | |
i. Full name | Access Financial Group, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-46065 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 41 | |
i. Full name | Ascensus Broker Dealer Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-47312 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 42 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 43 | |
i. Full name | BTG Pactual US Capital, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-68148 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 44 | |
i. Full name | ACP Securities, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-67185 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 45 | |
i. Full name | Broker Dealer Financial Services Corp. |
ii. LEI, if any, or provide and describe other identifying number | 8-24220 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 46 | |
i. Full name | BancWest Investment Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-44261 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 47 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 48 | |
i. Full name | Avisen Securities, 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 49 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 50 | |
i. Full name | B.C. Ziegler & Company |
ii. LEI, if any, or provide and describe other identifying number | 8-00094 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 51 | |
i. Full name | Aon Benfield Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-14953 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 52 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 53 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 54 | |
i. Full name | BMO Harris Financial Advisors, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-67064 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 55 | |
i. Full name | Advisory Group Equity 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 56 | |
i. Full name | Bolton Global Capital |
ii. LEI, if any, or provide and describe other identifying number | 8-33222 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 57 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 58 | |
i. Full name | Benchmark Investments, Inc. |
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 | 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 59 | |
i. Full name | Benjamin F. Edwards & Company, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-68023 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 60 | |
i. Full name | Bodell Overcash Anderson & Co., Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-15775 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 61 | |
i. Full name | Avalon Investment & Securities Group, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-17078 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 62 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 63 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 64 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 65 | |
i. Full name | Arvest Investments, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-49677 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 66 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 67 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 68 | |
i. Full name | Caldwell Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-27639 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 69 | |
i. Full name | Actinver Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-49311 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 70 | |
i. Full name | American Independent Securities Group, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-66905 |
Description of other identifying number | SEC File Number |
iii. State, if applicable | IDAHO |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 71 | |
i. Full name | Arkadios Capital |
ii. LEI, if any, or provide and describe other identifying number | 8-69729 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 72 | |
i. Full name | Ameriprise Financial Services, Inc. |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 73 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 74 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 75 | |
i. Full name | Blakeslee and 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 76 | |
i. Full name | American Municipal Securities, 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 77 | |
i. Full name | CIBC World Markets Corp. |
ii. LEI, if any, or provide and describe other identifying number | 8-18333 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 78 | |
i. Full name | BPU Investment Management, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-34979 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 79 | |
i. Full name | American Capital Partners, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-65165 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 80 | |
i. Full name | Apex Clearing Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-23522 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 81 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 82 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 83 | |
i. Full name | 1st Discount Brokerage, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-48557 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 84 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 85 | |
i. Full name | BB&T Securities, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-67486 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 86 | |
i. Full name | American Portfolios Financial Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-37085 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 87 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 88 | |
i. Full name | Buckman, Buckman & Reid, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-40413 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 89 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 90 | |
i. Full name | Comerica Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-35001 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 91 | |
i. Full name | First Republic Securities Company, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-52973 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 92 | |
i. Full name | Cadaret, Grant & Co., Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-27844 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 93 | |
i. Full name | BC Securities, Inc. (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 | 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 94 | |
i. Full name | Detalus Securities, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-52180 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 95 | |
i. Full name | Fidelity Investments Life |
ii. LEI, if any, or provide and describe other identifying number | 54930024AKTQGTIV1P93 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 96 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 97 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 98 | |
i. Full name | Cuso Financial Services, L.P. |
ii. LEI, if any, or provide and describe other identifying number | 8-49711 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 99 | |
i. Full name | First Allied Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-46167 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 100 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 101 | |
i. Full name | Bankers Life Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-69562 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 102 | |
i. Full name | Conover Securities Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-35085 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 103 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 104 | |
i. Full name | BTS Securities Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-26818 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 105 | |
i. Full name | Berthel, Fisher & Company Financial Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-29426 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 106 | |
i. Full name | Capital Institutional Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-22273 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 107 | |
i. Full name | BOSC, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-35381 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 108 | |
i. Full name | Bristol Financial Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-67140 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 109 | |
i. Full name | Cascade Financial Management, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-53730 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 110 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 111 | |
i. Full name | FTB 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 112 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 113 | |
i. Full name | Cantella & Co., Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-23904 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 114 | |
i. Full name | BFT Financial Group, 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 115 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 116 | |
i. Full name | Calton & Associates, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-38635 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 117 | |
i. Full name | Gardner Financial Services, 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 118 | |
i. Full name | Callaway Financial Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-52474 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 119 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 120 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 121 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 122 | |
i. Full name | Crews & Associates, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-24075 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 123 | |
i. Full name | Boenning & Scattergood, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-15543 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 124 | |
i. Full name | BBVA Securities Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-42857 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 125 | |
i. Full name | Essex Securities LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-51472 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 126 | |
i. Full name | Detwiler Fenton & Co. |
ii. LEI, if any, or provide and describe other identifying number | 8-16324 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 127 | |
i. Full name | Cascade Investment Group, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-46943 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 128 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 129 | |
i. Full name | Crescent Securities Group |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 130 | |
i. Full name | Capital One Investing LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-51160 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 131 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 132 | |
i. Full name | Fairport Capital, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-32162 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 133 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 134 | |
i. Full name | Cetera Investment Services, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-31826 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 135 | |
i. Full name | BCG Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-12680 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 136 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 137 | |
i. Full name | Axiom Capital Management, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-42638 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 138 | |
i. Full name | Coburn & Meredith, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-02474 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 139 | |
i. Full name | Carty & Company, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-19082 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 140 | |
i. Full name | Carter, Terry & Company, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-33797 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 141 | |
i. Full name | Cetera Advisors LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-26892 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 142 | |
i. Full name | City National Bank |
ii. LEI, if any, or provide and describe other identifying number | 593C3GZG957YOJPS2Z63 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 143 | |
i. Full name | First Western Advisors |
ii. LEI, if any, or provide and describe other identifying number | 8-28729 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 144 | |
i. Full name | Excel Securities & Associates, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-34261 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 145 | |
i. Full name | Bolton Securities Corp. |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 146 | |
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 | 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 147 | |
i. Full name | C. R. Davis & Company |
ii. LEI, if any, or provide and describe other identifying number | 8-859 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 148 | |
i. Full name | IDB Capital Corp. |
ii. LEI, if any, or provide and describe other identifying number | 8-53000 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 149 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 150 | |
i. Full name | Client One 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 151 | |
i. Full name | Cetera Financial Specialists LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-27082 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 152 | |
i. Full name | JJB Hilliard WL Lyons |
ii. LEI, if any, or provide and describe other identifying number | 8-33133 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 153 | |
i. Full name | H. Beck, Inc. |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 154 | |
i. Full name | Liberty Partners Financial Services, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-66335 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 155 | |
i. Full name | Hancock Bank Corporation |
ii. LEI, if any, or provide and describe other identifying number | 549300GRNBWY8HIICT41 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 156 | |
i. Full name | Horace Mann Life Insurance Co. |
ii. LEI, if any, or provide and describe other identifying number | 5493000HR2JKKNH2FL09 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 157 | |
i. Full name | Hefren-Tillotson, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-10646 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 158 | |
i. Full name | International Financial Solutions, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-49020 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 159 | |
i. Full name | HSBC Securities (USA), Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-41562 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 160 | |
i. Full name | Gladowsky Capital Management Corp. |
ii. LEI, if any, or provide and describe other identifying number | 8-51017 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 161 | |
i. Full name | Commerce Brokerage Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-35096 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 162 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 163 | |
i. Full name | Kalos Capital, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-50630 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 164 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 165 | |
i. Full name | CGIS Securities LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-68758 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 166 | |
i. Full name | Charles Schwab & Co., Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-16514 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 167 | |
i. Full name | Citigroup Global Markets Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-08177 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 168 | |
i. Full name | Coker & Palmer, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-44129 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 169 | |
i. Full name | Commonwealth Equity Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-24040 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 170 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 171 | |
i. Full name | Credit Suisse Securities (USA) LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-00422 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 172 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 173 | |
i. Full name | Maplewood Investment Advisors, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-52221 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 174 | |
i. Full name | Liberty Group, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-52994 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 175 | |
i. Full name | KMS Financial Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-15433 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 176 | |
i. Full name | L.S.Y., Inc. |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 177 | |
i. Full name | David A. Noyes & Company |
ii. LEI, if any, or provide and describe other identifying number | 8-22752 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 178 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 179 | |
i. Full name | Mesirow Financial, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-28816 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 180 | |
i. Full name | CUNA Brokerage Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-30027 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 181 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 182 | |
i. Full name | Independent Financial Group, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-22870 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 183 | |
i. Full name | E. E. Powell & Company Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-01893 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 184 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 185 | |
i. Full name | Citizens Bank |
ii. LEI, if any, or provide and describe other identifying number | DRMSV1Q0EKMEXLAU1P80 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 186 | |
i. Full name | Dougherty & Company LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-21937 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 187 | |
i. Full name | Corinthian Partners, L.L.C. |
ii. LEI, if any, or provide and describe other identifying number | 8-48461 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 188 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 189 | |
i. Full name | Middlegate Securities Ltd. |
ii. LEI, if any, or provide and describe other identifying number | 8-39031 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 190 | |
i. Full name | David Lerner Associates, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-20746 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 191 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 192 | |
i. Full name | Mid-Atlantic Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-36997 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 193 | |
i. Full name | DesPain Financial Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-37056 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 194 | |
i. Full name | MV Securities Group, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-47827 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 195 | |
i. Full name | Northeastern Financial Group, Incorporated |
ii. LEI, if any, or provide and describe other identifying number | 8-33132 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 196 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 197 | |
i. Full name | Merrill Lynch, Pierce, Fenner & Smith Incorporated |
ii. LEI, if any, or provide and describe other identifying number | 8-07221 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 198 | |
i. Full name | Mercantil Commercebank Investment Services |
ii. LEI, if any, or provide and describe other identifying number | 8-53612 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 199 | |
i. Full name | Edward D. Jones & Co., L.P. |
ii. LEI, if any, or provide and describe other identifying number | 8-00759 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 200 | |
i. Full name | Highlander Capital Group, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-37169 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 201 | |
i. Full name | Empire Asset Management Company |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 202 | |
i. Full name | Mid-Atlantic Clearing & Settlement Corp. |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 203 | |
i. Full name | CoreCap Investments, Inc. |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 204 | |
i. Full name | E*Trade Securities |
ii. LEI, if any, or provide and describe other identifying number | 8-44112 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 205 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 206 | |
i. Full name | E-W Investments, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-35259 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 207 | |
i. Full name | Cary Street Partners LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-66085 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 208 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 209 | |
i. Full name | Exeter Trust Company |
ii. LEI, if any, or provide and describe other identifying number | 028-04279 |
Description of other identifying number | SEC File Number |
iii. State, if applicable | NEW HAMPSHIRE |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 210 | |
i. Full name | Brazos Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-39119 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 211 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 212 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 213 | |
i. Full name | FCG Advisors, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-49104 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 214 | |
i. Full name | DFPG Investments, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-68730 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 215 | |
i. Full name | Centaurus Financial, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-45185 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 216 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 217 | |
i. Full name | Donegal Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-66137 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 218 | |
i. Full name | Coastal Equities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-40822 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 219 | |
i. Full name | Cambridge Investment Research, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-48740 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 220 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 221 | |
i. Full name | NYLife Securities LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-15517 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 222 | |
i. Full name | Northern Capital Securities Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-49130 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 223 | |
i. Full name | Dominick & Dominick LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-21076 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 224 | |
i. Full name | First Heartland Capital, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-46008 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 225 | |
i. Full name | Capital Financial Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-25203 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 226 | |
i. Full name | J.D. Seibert & Company, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-23604 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 227 | |
i. Full name | Pershing, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-17574 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 228 | |
i. Full name | Comprehensive Asset Management and Servicing, 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 229 | |
i. Full name | Financial Services International Corp. |
ii. LEI, if any, or provide and describe other identifying number | 8-48032 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 230 | |
i. Full name | Financial Northeastern Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-34883 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 231 | |
i. Full name | CBIZ Financial Solutions, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-34205 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 232 | |
i. Full name | Finance 500, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-28302 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 233 | |
i. Full name | Fifth Third Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-02428 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 234 | |
i. Full name | J.P. Morgan Securities LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-35008 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 235 | |
i. Full name | Investacorp, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-22598 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 236 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 237 | |
i. Full name | Planners Financial Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-18027 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 238 | |
i. Full name | Old National Trust Company |
ii. LEI, if any, or provide and describe other identifying number | 028-00344 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 239 | |
i. Full name | Centennial Securities Company, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-23406 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 240 | |
i. Full name | Lantern Investments, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-45285 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 241 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 242 | |
i. Full name | BMO Harris Bank |
ii. LEI, if any, or provide and describe other identifying number | 3Y4U8VZURTYWI1W2K376 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 243 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 244 | |
i. Full name | GRF Capital Investors, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-41494 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 245 | |
i. Full name | E*Trade Savings Bank |
ii. LEI, if any, or provide and describe other identifying number | 549300DXPO50FJ75QA85 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 246 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 247 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 248 | |
i. Full name | Key West Investments, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-68166 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 249 | |
i. Full name | BNP Paribas Securities Corp |
ii. LEI, if any, or provide and describe other identifying number | 8-40490 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 250 | |
i. Full name | Fieldpoint Private 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 251 | |
i. Full name | Family Investors Company |
ii. LEI, if any, or provide and describe other identifying number | 8-11190 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 252 | |
i. Full name | Cutter & Company Brokerage, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-39590 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 253 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 254 | |
i. Full name | Reliance Trust Company |
ii. LEI, if any, or provide and describe other identifying number | 549300NV8FSQRNOUQO50 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 255 | |
i. Full name | Bley Investments 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 256 | |
i. Full name | Coldstream Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-51549 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 257 | |
i. Full name | Means Investment Co., Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-27458 |
Description of other identifying number | SEC File Number |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 258 | |
i. Full name | Roberts & Ryan Investments Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-37469 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 259 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 260 | |
i. Full name | KCD Financial, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-66005 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 261 | |
i. Full name | D.A. Davidson & Co. |
ii. LEI, if any, or provide and describe other identifying number | 8-02399 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 262 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 263 | |
i. Full name | Country Club Financial Services, 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 264 | |
i. Full name | Federated Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-15644 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 265 | |
i. Full name | Freimark Blair & Company, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-28646 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 266 | |
i. Full name | First Command Financial Planning, 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 267 | |
i. Full name | First Financial Securities of America, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-29565 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 268 | |
i. Full name | D.M. Kelly & Company |
ii. LEI, if any, or provide and describe other identifying number | 8-48398 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 269 | |
i. Full name | Ross, Sinclaire & Associates, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-41740 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 270 | |
i. Full name | BAC Florida Investments |
ii. LEI, if any, or provide and describe other identifying number | 8-37483 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 271 | |
i. Full name | Monex Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-44874 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 272 | |
i. Full name | Ladenburg Thalman & Co. Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-17230 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 273 | |
i. Full name | Consolidated Financial Investments, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-37004 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 274 | |
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 | 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 275 | |
i. Full name | Lieblong & Associates, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-49880 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 276 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 277 | |
i. Full name | First Bankers' Banc Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-31584 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 278 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 279 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 280 | |
i. Full name | PNC Capital Markets LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-32493 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 281 | |
i. Full name | First Manhattan Co. |
ii. LEI, if any, or provide and describe other identifying number | 8-10438 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 282 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 283 | |
i. Full name | Register Financial Associates, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-45012 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 284 | |
i. Full name | First Kentucky Securities Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-22224 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 285 | |
i. Full name | Snowden Account Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-68188 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 286 | |
i. Full name | D.H. Hill Securities LLP |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 287 | |
i. Full name | Petersen Investments, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-48306 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 288 | |
i. Full name | Sterling Monroe Securities, 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 289 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 290 | |
i. Full name | S F Sentry Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-43101 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 291 | |
i. Full name | CRI Securities, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-39877 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 292 | |
i. Full name | DWS Investments Distributors, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-47765 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 293 | |
i. Full name | Fiduciary Trust International |
ii. LEI, if any, or provide and describe other identifying number | N1YKEWO2IYPRS4742F57 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 294 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 295 | |
i. Full name | Davenport & Company LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-17103 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 296 | |
i. Full name | Planmember Securities Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-25065 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 297 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 298 | |
i. Full name | FolioFN 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 299 | |
i. Full name | Rehmann Financial Network |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 300 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 301 | |
i. Full name | First State Financial Management, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-34201 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 302 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 303 | |
i. Full name | Lincoln Financial Distributors, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-13431 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 304 | |
i. Full name | Safra Securities LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-51935 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 305 | |
i. Full name | M. Griffith Investment Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-02259 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 306 | |
i. Full name | Farmers Financial Solutions, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-52361 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 307 | |
i. Full name | Duncan-Williams, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-18971 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 308 | |
i. Full name | Citizens Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-48744 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 309 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 310 | |
i. Full name | EK Riley Investments, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-65369 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 311 | |
i. Full name | Securian Financial Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-31955 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 312 | |
i. Full name | VOYA Financial Advisors, 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 313 | |
i. Full name | OFG Financial Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-40770 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 314 | |
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 | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 315 | |
i. Full name | Gold Coast Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-53148 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 316 | |
i. Full name | Morgan Stanley & Co. LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-15869 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 317 | |
i. Full name | Pruco Securities, LLC. |
ii. LEI, if any, or provide and describe other identifying number | 8-16402 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 318 | |
i. Full name | Whitehall-Parker Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-27688 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 319 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 320 | |
i. Full name | Dorsey & Company, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-07541 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 321 | |
i. Full name | Foresters Equity Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-36703 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 322 | |
i. Full name | Folger Nolan Fleming Douglas Incorporated |
ii. LEI, if any, or provide and describe other identifying number | 8-03335 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 323 | |
i. Full name | Garden State Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-25790 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 324 | |
i. Full name | RBC Capital Markets, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-45411 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 325 | |
i. Full name | Southeast Investments, N.C., Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-50127 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 326 | |
i. Full name | FSB Warner Financial, 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 327 | |
i. Full name | Oberweis Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-49679 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 328 | |
i. Full name | NIA Securities, L.L.C. |
ii. LEI, if any, or provide and describe other identifying number | 8-50591 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 329 | |
i. Full name | NorthWestern Mutual Investment Services, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-14088 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 330 | |
i. Full name | Forest Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-33568 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 331 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 332 | |
i. Full name | FNBB Capital Markets, LLC |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 333 | |
i. Full name | Dinosaur Securities, L.L.C. |
ii. LEI, if any, or provide and describe other identifying number | 8-52908 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 334 | |
i. Full name | Gerwin Group, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-40282 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 335 | |
i. Full name | Glen Eagle Advisors LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-65678 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 336 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 337 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 338 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 339 | |
i. Full name | SWBC Investment Services, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-66764 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 340 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 341 | |
i. Full name | Geoffrey Richards Securities Corp. |
ii. LEI, if any, or provide and describe other identifying number | 8-65251 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 342 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 343 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 344 | |
i. Full name | G.L.S. & Associates, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-51808 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 345 | |
i. Full name | Edwin C. Blitz Investments, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-22741 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 346 | |
i. Full name | Genworth Life & Annuity Insurance Company |
ii. LEI, if any, or provide and describe other identifying number | TAI340D9BWT9R77O0P03 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 347 | |
i. Full name | Essex Financial Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-66015 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 348 | |
i. Full name | GWN Securities Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-66185 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 349 | |
i. Full name | Halliday Financial, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-45529 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 350 | |
i. Full name | WedBush Securities Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-12987 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 351 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 352 | |
i. Full name | Synovus Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-34709 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 353 | |
i. Full name | Deutsche Bank Securities Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-17822 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 354 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 355 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 356 | |
i. Full name | LPL Financial LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-17668 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 357 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 358 | |
i. Full name | Great Pacific Securities |
ii. LEI, if any, or provide and describe other identifying number | 8-44398 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 359 | |
i. Full name | Oscar Gruss & Son Incorporated |
ii. LEI, if any, or provide and describe other identifying number | 8-22371 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 360 | |
i. Full name | H.D. Vest Investment Services |
ii. LEI, if any, or provide and describe other identifying number | 8-29533 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 361 | |
i. Full name | RIM Securities LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-36759 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 362 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 363 | |
i. Full name | Wunderlich Securities, 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 364 | |
i. Full name | Security Distributors, Inc. |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 365 | |
i. Full name | Hanson McClain Securities |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 366 | |
i. Full name | Etico Partners, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-65500 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 367 | |
i. Full name | Keel Point Capital, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-22990 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 368 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 369 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 370 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 371 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 372 | |
i. Full name | Herbert J. Sims & Co. Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-03315 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 373 | |
i. Full name | T. Rowe Price Investment Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-25130 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 374 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 375 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 376 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 377 | |
i. Full name | Stonnington Group, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-66919 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 378 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 379 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 380 | |
i. Full name | Investment Planners, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-35642 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 381 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 382 | |
i. Full name | Gilbert, Doniger & Co., Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-22326 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 383 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 384 | |
i. Full name | Wells Fargo Bank, N.A. |
ii. LEI, if any, or provide and describe other identifying number | KB1H1DSPRFMYMCUFXT09 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 385 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 386 | |
i. Full name | MSEC, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-68627 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 387 | |
i. Full name | Hapoalim Securities USA, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-03018 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 388 | |
i. Full name | Charles Schwab Bank |
ii. LEI, if any, or provide and describe other identifying number | 549300INFJ8TYNZ1G568 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 389 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 390 | |
i. Full name | Insight Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-16247 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 391 | |
i. Full name | Integral Financial LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-65284 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 392 | |
i. Full name | Hightower Securities, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-53560 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 393 | |
i. Full name | Prospera Financial Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-28164 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 394 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 395 | |
i. Full name | First Honolulu Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-23919 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 396 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 397 | |
i. Full name | Hennion & Walsh, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-41988 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 398 | |
i. Full name | Fidelity Brokerage Services LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-23292 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 399 | |
i. Full name | ICMA-RC Services, Inc. |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 400 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 401 | |
i. Full name | Podesta & Co. |
ii. LEI, if any, or provide and describe other identifying number | 8-28860 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 402 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 403 | |
i. Full name | International Research Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-37954 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 404 | |
i. Full name | Financial Planning Consultants, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-25384 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 405 | |
i. Full name | Queens Road Securities, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-52737 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 406 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 407 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 408 | |
i. Full name | ING Financial Markets LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-43978 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 409 | |
i. Full name | Saxony Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-53490 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 410 | |
i. Full name | Inverness Securities, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-66278 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 411 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 412 | |
i. Full name | InvestShares (Legal name: IMA Securities LLC) |
ii. LEI, if any, or provide and describe other identifying number | 8-68365 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 413 | |
i. Full name | Kovack Securities Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-50847 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 414 | |
i. Full name | J.A. Glynn & Co. |
ii. LEI, if any, or provide and describe other identifying number | 8-39465 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 415 | |
i. Full name | First Southern, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-69733 |
Description of other identifying number | SEC File Number |
iii. State, if applicable | PUERTO RICO |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 416 | |
i. Full name | Landolt Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-43645 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 417 | |
i. Full name | Quincy Cass Associates, Incorporated |
ii. LEI, if any, or provide and describe other identifying number | 8-05743 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 418 | |
i. Full name | Keystone Capital 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 419 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 420 | |
i. Full name | Intercontinental Asset Management Group, Ltd. |
ii. LEI, if any, or provide and describe other identifying number | 8-39706 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 421 | |
i. Full name | Jack V. Butterfield Investment Company |
ii. LEI, if any, or provide and describe other identifying number | 8-12454 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 422 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 423 | |
i. Full name | Investment Professionals, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-44786 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 424 | |
i. Full name | Itau International Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-67674 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 425 | |
i. Full name | Wells Fargo Clearing Services, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-37180 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 426 | |
i. Full name | Feldstein Financial Group, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-53388 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 427 | |
i. Full name | JHW Financial Services Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-45304 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 428 | |
i. Full name | World Trend Financial Planning Services, Ltd. |
ii. LEI, if any, or provide and describe other identifying number | 8-43693 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 429 | |
i. Full name | Wayne Hummer Investments, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-00484 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 430 | |
i. Full name | Stifel, Nicolaus & Company, Incorporated |
ii. LEI, if any, or provide and describe other identifying number | 8-01447 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 431 | |
i. Full name | Mercer HR Services, LLC |
ii. LEI, if any, or provide and describe other identifying number | N/A |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 432 | |
i. Full name | StockCross Financial Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-17758 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 433 | |
i. Full name | Wells Fargo Securities, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-65876 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 434 | |
i. Full name | Summit Equities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-27556 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 435 | |
i. Full name | John Hancock Trust Company |
ii. LEI, if any, or provide and describe other identifying number | 549300W205WZCFZS6R51 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 436 | |
i. Full name | Jefferies, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-15074 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 437 | |
i. Full name | MerCap Securities |
ii. LEI, if any, or provide and describe other identifying number | 8-68810 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 438 | |
i. Full name | Stannard Financial Services, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-50654 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 439 | |
i. Full name | First Financial Equity Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-34082 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 440 | |
i. Full name | Thompson Davis & Co., Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-49386 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 441 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 442 | |
i. Full name | The Garbacz Group Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-42366 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 443 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 444 | |
i. Full name | The Huntington Investment Company |
ii. LEI, if any, or provide and describe other identifying number | 8-34867 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 445 | |
i. Full name | L. B. Fisher & Company |
ii. LEI, if any, or provide and describe other identifying number | 8-21023 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 446 | |
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 | |
iv. Foreign country, if applicable | UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND |
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 447 | |
i. Full name | Loring Ward Securities Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-51381 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 448 | |
i. Full name | UBS AG, New York Branch |
ii. LEI, if any, or provide and describe other identifying number | BFM8T61CT2L1QCEMIK50 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 449 | |
i. Full name | Lexington Investment Company, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-43085 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 450 | |
i. Full name | Larson Financial Securities, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-68456 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 451 | |
i. Full name | Lucia Securities, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-47643 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 452 | |
i. Full name | Liberty Capital Investment Corporation |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 453 | |
i. Full name | Landaas & Company |
ii. LEI, if any, or provide and describe other identifying number | 8-51826 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 454 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 455 | |
i. Full name | Loria Financial Group, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-52128 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 456 | |
i. Full name | Foresters Financial Services |
ii. LEI, if any, or provide and describe other identifying number | 8-13891 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 457 | |
i. Full name | The Investment Center, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-35826 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 458 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 459 | |
i. Full name | Fortune Financial Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-49727 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 460 | |
i. Full name | Leigh Baldwin & Co., LLC |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 461 | |
i. Full name | Legacy Asset Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-51871 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 462 | |
i. Full name | Madison Avenue Securities, Inc. |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 463 | |
i. Full name | G. W. & 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 464 | |
i. Full name | M&T Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-35185 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 465 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 466 | |
i. Full name | Maxim Group LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-65337 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 467 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 468 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 469 | |
i. Full name | Treasure Financial Corp. |
ii. LEI, if any, or provide and describe other identifying number | 8-48165 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 470 | |
i. Full name | Unionbanc Investment Services, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-30706 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 471 | |
i. Full name | ValMark Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-45463 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 472 | |
i. Full name | TrustCore Investments, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-32152 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 473 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 474 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 475 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 476 | |
i. Full name | Vanderbilt Securities, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-16712 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 477 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 478 | |
i. Full name | GWFS Equities, 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 479 | |
i. Full name | Hancock Investment Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-49106 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 480 | |
i. Full name | Goldman Sachs & Co. LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-00129 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 481 | |
i. Full name | Trade-PMR 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 482 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 483 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 484 | |
i. Full name | Paradigm Equities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-45593 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 485 | |
i. Full name | Wall Street Access |
ii. LEI, if any, or provide and describe other identifying number | 8-25936 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 486 | |
i. Full name | North South Capital, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-67979 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 487 | |
i. Full name | William C. Burnside & Company, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-21242 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 488 | |
i. Full name | Harvest Financial Corporation |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 489 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 490 | |
i. Full name | Winslow, Evans & Crocker, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-44347 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 491 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 492 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 493 | |
i. Full name | Wood (Arthur W.) Company, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-03368 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 494 | |
i. Full name | World Choice Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-45235 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 495 | |
i. Full name | Northern Trust Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-23689 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 496 | |
i. Full name | People's Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-29667 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 497 | |
i. Full name | Morgan Stanley Smith Barney LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-68191 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 498 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 499 | |
i. Full name | MHA Financial Corp. |
ii. LEI, if any, or provide and describe other identifying number | 8-21836 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 500 | |
i. Full name | Mutual Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-28580 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 501 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 502 | |
i. Full name | Navy Federal Brokerage 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 503 | |
i. Full name | Morris Group, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-28916 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 504 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 505 | |
i. Full name | PFS Investments Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-26486 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 506 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 507 | |
i. Full name | Vorpahl Wing Securities |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 508 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 509 | |
i. Full name | Principal Life Insurance Company |
ii. LEI, if any, or provide and describe other identifying number | SDCMU2LVKGV2AF1KWP64 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 510 | |
i. Full name | NBC Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-35870 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 511 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 512 | |
i. Full name | Portfolio Resources Group, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-45380 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 513 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 514 | |
i. Full name | Neidiger, Tucker, Bruner, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-21884 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 515 | |
i. Full name | Northwest Investment Advisors, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-65282 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 516 | |
i. Full name | NPB Financial Group, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-67113 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 517 | |
i. Full name | Nationwide Securities, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-12500 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 518 | |
i. Full name | Herndon Plant Oakley, LTD |
ii. LEI, if any, or provide and describe other identifying number | 8-50912 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 519 | |
i. Full name | Questar Capital Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-50174 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 520 | |
i. Full name | Raymond James & Associates, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-10999 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 521 | |
i. Full name | Penates Group, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-50594 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 522 | |
i. Full name | Hazlett, Burt & Watson, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-17737 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 523 | |
i. Full name | Princor Financial Services Corporation |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 524 | |
i. Full name | Oppenheimer & Co. Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-04077 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 525 | |
i. Full name | Pershing Advisor Solutions, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-47425 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 526 | |
i. Full name | NYLife Distributors LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-46655 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 527 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 528 | |
i. Full name | PWA Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-67700 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 529 | |
i. Full name | Hornor, Townsend & Kent, Inc. |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 530 | |
i. Full name | Regions Bank |
ii. LEI, if any, or provide and describe other identifying number | EQTWLK1G7ODGC2MGLV11 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 531 | |
i. Full name | Peak Brokerage Services, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-68829 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 532 | |
i. Full name | P. R. Herzig & Co. Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-22589 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 533 | |
i. Full name | Piper Jaffray & Co. |
ii. LEI, if any, or provide and describe other identifying number | 8-15204 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 534 | |
i. Full name | Purshe Kaplan Sterling Investments |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 535 | |
i. Full name | Pension Dynamics Securities Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-52535 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 536 | |
i. Full name | Riversource Distributors, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-67196 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 537 | |
i. Full name | Hilltop Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-45123 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 538 | |
i. Full name | PNC Bank, N.A. |
ii. LEI, if any, or provide and describe other identifying number | AD6GFRVSDT01YPT1CS68 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 539 | |
i. Full name | Hunter Associates, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-44779 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 540 | |
i. Full name | RF Lafferty & Co |
ii. LEI, if any, or provide and describe other identifying number | 8-25581 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 541 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 542 | |
i. Full name | Raymond James Financial Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-17983 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 543 | |
i. Full name | Rogan & Associates, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-49995 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 544 | |
i. Full name | S.A. Stone Wealth Management |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 545 | |
i. Full name | Saperston Asset Management, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-50658 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 546 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 547 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 548 | |
i. Full name | Sentinel Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-53142 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 549 | |
i. Full name | Signator Investors, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-13995 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 550 | |
i. Full name | Innovation Partners LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-67812 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 551 | |
i. Full name | Robinson & Robinson, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-17109 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 552 | |
i. Full name | Huntleigh Securities Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-21893 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 553 | |
i. Full name | Guardian Insurance & Annuity Company, Inc., The |
ii. LEI, if any, or provide and describe other identifying number | TGIU5N0SIMULU6I57R64 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 554 | |
i. Full name | Infinex Investments, 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 555 | |
i. Full name | Rothschild Investment Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-16429 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 556 | |
i. Full name | RJJ Pasadena Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-25324 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 557 | |
i. Full name | Shareholders Service Group, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-65778 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 558 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 559 | |
i. Full name | Stephen A. Kohn & Associates, Ltd. |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 560 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 561 | |
i. Full name | Institutional Securities Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-38158 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 562 | |
i. Full name | Summit Brokerage Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-46310 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 563 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 564 | |
i. Full name | Sycamore Financial Group |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 565 | |
i. Full name | Interactive Brokers LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-47257 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 566 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 567 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 568 | |
i. Full name | Sigma Financial Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-30466 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 569 | |
i. Full name | International Assets Advisory, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-27736 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 570 | |
i. Full name | SecureVest Financial Group |
ii. LEI, if any, or provide and describe other identifying number | 8-26030 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 571 | |
i. Full name | SKA Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-53366 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 572 | |
i. Full name | TCFG Wealth Management, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-69089 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 573 | |
i. Full name | Investment Architects, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-35724 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 574 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 575 | |
i. Full name | Slavic Investment Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-40024 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 576 | |
i. Full name | TD Ameritrade, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-23395 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 577 | |
i. Full name | Securities Research, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-23699 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 578 | |
i. Full name | TCM Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-50313 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 579 | |
i. Full name | Simmons First Investment Group, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-51795 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 580 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 581 | |
i. Full name | Signature Securities Group Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-52697 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 582 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 583 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 584 | |
i. Full name | Investment Placement Group |
ii. LEI, if any, or provide and describe other identifying number | 8-30700 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 585 | |
i. Full name | The Oak Ridge Financial Services Group, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-50082 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 586 | |
i. Full name | Invex, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-44695 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 587 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 588 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 589 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 590 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 591 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 592 | |
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 | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 593 | |
i. Full name | SECU Brokerage Services |
ii. LEI, if any, or provide and describe other identifying number | 8-37927 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 594 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 595 | |
i. Full name | K. W. Chambers & CO. |
ii. LEI, if any, or provide and describe other identifying number | 8-10533 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 596 | |
i. Full name | Standard Insurance Company |
ii. LEI, if any, or provide and describe other identifying number | 549300KVA8DBYKHPXO21 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 597 | |
i. Full name | The Lawrence D. Vitez Corp. DBA Consolidated Securities |
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 | 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 598 | |
i. Full name | Thurston, Springer, Miller, Herd & Titak, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-25452 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 599 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 600 | |
i. Full name | SunTrust 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 601 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 602 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 603 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 604 | |
i. Full name | The O.N. Equity Sales Company |
ii. LEI, if any, or provide and describe other identifying number | 8-14161 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 605 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 606 | |
i. Full name | Kercheville & Company, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-32795 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 607 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 608 | |
i. Full name | Vision Financial Markets LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-67447 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 609 | |
i. Full name | UMB Financial Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-34999 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 610 | |
i. Full name | Univest Investments, Inc. |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 611 | |
i. Full name | Transamerica Financial Advisors, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-33429 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 612 | |
i. Full name | Visun Securities Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-31907 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 613 | |
i. Full name | The GMS Group, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-23936 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 614 | |
i. Full name | Kovitz Securities, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-66267 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 615 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 616 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 617 | |
i. Full name | Zions Investment |
ii. LEI, if any, or provide and describe other identifying number | 8-35721 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 618 | |
i. Full name | Key Investment Services LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-66999 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 619 | |
i. Full name | VOYA Investments Distributors, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-48020 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 620 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 621 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 622 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 623 | |
i. Full name | LaBrunerie Financial Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-47830 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 624 | |
i. Full name | The Jeffrey Matthews Financial Group, L.L.C. |
ii. LEI, if any, or provide and describe other identifying number | 8-49352 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 625 | |
i. Full name | TransAm 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 | 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 626 | |
i. Full name | AssetMark Trust Company |
ii. LEI, if any, or provide and describe other identifying number | N/A |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 627 | |
i. Full name | Benefit Trust Company |
ii. LEI, if any, or provide and describe other identifying number | N/A |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 628 | |
i. Full name | Woodstock Financial Group, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-48080 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 629 | |
i. Full name | World Equity Group, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-44088 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 630 | |
i. Full name | Primerica Shareholder Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 084-01499 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 631 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 632 | |
i. Full name | Umpqua Investments, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-02915 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 633 | |
i. Full name | Allegis Investment Services, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-69318 |
Description of other identifying number | SEC File Number |
iii. State, if applicable | IDAHO |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 634 | |
i. Full name | United Planners' Financial Services of America A Limited Partner |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 635 | |
i. Full name | Saturna Trust Company |
ii. LEI, if any, or provide and describe other identifying number | N/A |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 636 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 637 | |
i. Full name | Benefit Plans Administrative Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | N/A |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 638 | |
i. Full name | John Hancock Life Insurance Company |
ii. LEI, if any, or provide and describe other identifying number | QQ0OZ8J9C4B5QT1XDG31 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 639 | |
i. Full name | Voya Retirement Insurance and Annuity Company |
ii. LEI, if any, or provide and describe other identifying number | OK3MKCDYPD4NN6QDGK18 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 640 | |
i. Full name | American United Life Insurance Company |
ii. LEI, if any, or provide and describe other identifying number | 549300T82H2DYU80LV98 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 641 | |
i. Full name | State Farm VP Management Corp |
ii. LEI, if any, or provide and describe other identifying number | 8-50128 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 642 | |
i. Full name | Lara, May & Associates, 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 643 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 644 | |
i. Full name | Leumi Investment Services Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-52993 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 645 | |
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 | NEW HAMPSHIRE |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 646 | |
i. Full name | LaSalle St. Securities, L.L.C. |
ii. LEI, if any, or provide and describe other identifying number | 8-18860 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 647 | |
i. Full name | Vestor Capital Securities |
ii. LEI, if any, or provide and describe other identifying number | 8-32743 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 648 | |
i. Full name | Supreme Alliance, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-51046 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 649 | |
i. Full name | Lincoln Investment Planning, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-14354 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 650 | |
i. Full name | Sammons Retirement Solutions, Inc. |
ii. LEI, if any, or provide and describe other identifying number | N/A |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 651 | |
i. Full name | Nest Investments BD, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-70117 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 652 | |
i. Full name | Digital Retirement Solutions, Inc. |
ii. LEI, if any, or provide and describe other identifying number | N/A |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 653 | |
i. Full name | Bill Few Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-49625 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 654 | |
i. Full name | Marsco Investment Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-36754 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 655 | |
i. Full name | Concord Wealth Brokerage |
ii. LEI, if any, or provide and describe other identifying number | 8-41511 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 656 | |
i. Full name | Bruderman Brothers, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-51974 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 657 | |
i. Full name | XP Securities, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-68817 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 658 | |
i. Full name | Whitney National Bank |
ii. LEI, if any, or provide and describe other identifying number | NSGZD26XPW2CUM2JKU70 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 659 | |
i. Full name | 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 660 | |
i. Full name | Wellington Shields & Co., LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-68098 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 661 | |
i. Full name | Uhlmann Price Securities, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-50041 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 662 | |
i. Full name | Fidelity Investments Institutional Operations Company, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-35097 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 663 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 664 | |
i. Full name | Conduent HR Services LLC |
ii. LEI, if any, or provide and describe other identifying number | 084-06035 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 665 | |
i. Full name | M Holdings Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-50214 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 666 | |
i. Full name | M. S. Howells & Co. |
ii. LEI, if any, or provide and describe other identifying number | 8-52558 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 667 | |
i. Full name | TD Ameritrade Trust Company |
ii. LEI, if any, or provide and describe other identifying number | 028-15163 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 668 | |
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 | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 669 | |
i. Full name | MBSC Securities Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-13801 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 670 | |
i. Full name | First Mercantile Trust Company |
ii. LEI, if any, or provide and describe other identifying number | 028-10498 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 671 | |
i. Full name | Meridien Financial Group, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-26090 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 672 | |
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 | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 673 | |
i. Full name | Prudential Insurance Company of America |
ii. LEI, if any, or provide and describe other identifying number | Y574KRZ6V5A7UBU45C31 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 674 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 675 | |
i. Full name | American Wealth Management |
ii. LEI, if any, or provide and describe other identifying number | 8-41807 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 676 | |
i. Full name | Moors & Cabot, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-23060 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 677 | |
i. Full name | IFP Securities |
ii. LEI, if any, or provide and describe other identifying number | 8-70150 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 678 | |
i. Full name | Aufhaser Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-48786 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 679 | |
i. Full name | Mora WM Securities, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-68910 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 680 | |
i. Full name | BD4RIA, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-70022 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 681 | |
i. Full name | Nations Financial Group, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-50588 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 682 | |
i. Full name | Monere Investments, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-52982 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 683 | |
i. Full name | Mutual Trust Co. of America Securities |
ii. LEI, if any, or provide and describe other identifying number | 8-25547 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 684 | |
i. Full name | Nestlerode & Loy, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-12629 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 685 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 686 | |
i. Full name | National Financial Services, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-26740 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 687 | |
i. Full name | Nelson Ivest Brokerage Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-26448 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 688 | |
i. Full name | Neuberger Berman LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-01068 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 689 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 690 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 691 | |
i. Full name | Northeast Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-42227 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 692 | |
i. Full name | North Ridge Securities Corp. |
ii. LEI, if any, or provide and describe other identifying number | 8-42879 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 693 | |
i. Full name | Omni Financial Securities |
ii. LEI, if any, or provide and describe other identifying number | 8-44034 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 694 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 695 | |
i. Full name | Ohanesian / Lecours, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-40729 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 696 | |
i. Full name | Oriental Financial Services Corp. |
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 | PUERTO RICO |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 697 | |
i. Full name | Ceros Financial Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-47955 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 698 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 699 | |
i. Full name | Patapsco Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-43485 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 700 | |
i. Full name | Arque Capital, Ltd. |
ii. LEI, if any, or provide and describe other identifying number | 8-65390 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 701 | |
i. Full name | CFT Securities, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-51345 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 702 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 703 | |
i. Full name | Broadridge Business Process Outsourcing, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-53412 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 704 | |
i. Full name | Planned Financial Programs, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-05727 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 705 | |
i. Full name | Planned Investment Co., Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-15266 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 706 | |
i. Full name | Place Trade Financial, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-65915 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 707 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 708 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 709 | |
i. Full name | Titleist Asset Management, Ltd. |
ii. LEI, if any, or provide and describe other identifying number | 8-65859 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 710 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 711 | |
i. Full name | SunTrust Bank |
ii. LEI, if any, or provide and describe other identifying number | IYDOJBGJWY9T8XKCSX06 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 712 | |
i. Full name | Proequities, 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 713 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 714 | |
i. Full name | Voya Institutional Plan Services, LLC |
ii. LEI, if any, or provide and describe other identifying number | N/A |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 715 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 716 | |
i. Full name | R.M. Stark & Co., Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-22543 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 717 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 718 | |
i. Full name | PTS 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 719 | |
i. Full name | Pyramid Funds Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-12769 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 720 | |
i. Full name | R. Seelaus & Co., Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-31475 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 721 | |
i. Full name | Reliance Worldwide Investments, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-67575 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 722 | |
i. Full name | Quest Capital Strategies, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-34532 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 723 | |
i. Full name | Rhodes Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-37689 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 724 | |
i. Full name | Regulus Advisors, 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 725 | |
i. Full name | Sage, Rutty & Co., 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 726 | |
i. Full name | Robert W. Baird & Co. Incorporated |
ii. LEI, if any, or provide and describe other identifying number | 8-00497 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 727 | |
i. Full name | Sanders Morris Harris Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-38325 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 728 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 729 | |
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 | PUERTO RICO |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 730 | |
i. Full name | Schlitt Investor Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-34202 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 731 | |
i. Full name | Samuel A Ramirez & Co., Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-19014 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 732 | |
i. Full name | Royal Alliance Associates, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-40218 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 733 | |
i. Full name | Repex & Co., Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-26431 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 734 | |
i. Full name | H. C. Denison Co. |
ii. LEI, if any, or provide and describe other identifying number | 8-00044 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 735 | |
i. Full name | Hantz Financial Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-51291 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 736 | |
i. Full name | Rodgers Brothers, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-33475 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 737 | |
i. Full name | SDDCO Brokerage Advisors, 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 738 | |
i. Full name | SG Americas Securities, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-66125 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 739 | |
i. Full name | Sisung Securities Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-42121 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 740 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 741 | |
i. Full name | Silber Bennett Financial, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-68795 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 742 | |
i. Full name | St. Bernard Financial Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-47566 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 743 | |
i. Full name | Stephens Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-01927 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 744 | |
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 | 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 745 | |
i. Full name | Sweney Cartwright & Company |
ii. LEI, if any, or provide and describe other identifying number | 8-03150 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 746 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 747 | |
i. Full name | Superior Financial Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-52618 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 748 | |
i. Full name | The Tavenner Company |
ii. LEI, if any, or provide and describe other identifying number | 8-41206 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 749 | |
i. Full name | TimeCapital Securities Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-18248 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 750 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 751 | |
i. Full name | Tradition Asiel Securities Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-43559 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 752 | |
i. Full name | TradeStation Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-48711 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 753 | |
i. Full name | Thoroughbred Financial Services, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-51944 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 754 | |
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 | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 755 | |
i. Full name | U.S. Bancorp Investments, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-35359 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 756 | |
i. Full name | UBS Financial Services Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-16267 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 757 | |
i. Full name | USAA Investment Management Company |
ii. LEI, if any, or provide and describe other identifying number | 8-41241 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 758 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 759 | |
i. Full name | USCA Securities LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-52285 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 760 | |
i. Full name | Vaughan & Co Securities, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-36916 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 761 | |
i. Full name | VBC Securities, LLC |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 762 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 763 | |
i. Full name | Voya Financial Partners, LLC |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 764 | |
i. Full name | VectorGlobal WMG |
ii. LEI, if any, or provide and describe other identifying number | 8-45715 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 765 | |
i. Full name | Weston Securities Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-32664 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 766 | |
i. Full name | Waddell & Reed, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-27030 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 767 | |
i. Full name | Watermark Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-43902 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 768 | |
i. Full name | Weller, Anderson & Co., 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 769 | |
i. Full name | Westport Resources Investment Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-40904 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 770 | |
i. Full name | Western Growers Financial Services, Inc. |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 771 | |
i. Full name | Wescom Financial Services, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-66189 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 772 | |
i. Full name | Western International Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-48572 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 773 | |
i. Full name | William Blair & Company L.L.C. |
ii. LEI, if any, or provide and describe other identifying number | 8-02698 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 774 | |
i. Full name | Wiley Bros.-Aintree Capital, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-03774 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 775 | |
i. Full name | T. Rowe Price Retirement Plan Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 084-06219 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 776 | |
i. Full name | Ascensus, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 549300K5MHNFPEU2RK82 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 777 | |
i. Full name | JPMorgan Chase Bank, N.A. |
ii. LEI, if any, or provide and describe other identifying number | 7H6GLYDRUGQFU57RNE97 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 778 | |
i. Full name | Hartford Funds Management Company, LLC |
ii. LEI, if any, or provide and describe other identifying number | 801-77209 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 779 | |
i. Full name | Teachers Insurance and Annuity Association of America |
ii. LEI, if any, or provide and describe other identifying number | O06YD7BJ4EPYNABVFN69 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 780 | |
i. Full name | Hartford Life Insurance Company |
ii. LEI, if any, or provide and describe other identifying number | 8CE7JPU9IU72L3PPD756 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 781 | |
i. Full name | Great-West Financial Retirement Plan Services, LLC |
ii. LEI, if any, or provide and describe other identifying number | N/A |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 782 | |
i. Full name | Insigneo Securities, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-44166 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 783 | |
i. Full name | Chalice Capital Partners, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-69967 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 784 | |
i. Full name | Invicta Capital, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-69923 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 785 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 786 | |
i. Full name | General Securities Corp. |
ii. LEI, if any, or provide and describe other identifying number | 8-31654 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 787 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 788 | |
i. Full name | Feltl & Company |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 789 | |
i. Full name | Global Brokerage Services, Inc. |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 790 | |
i. Full name | G.F. Investment Services, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-66659 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 791 | |
i. Full name | Eastern Point Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-39398 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 792 | |
i. Full name | Century Securities Associates, Inc. |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 793 | |
i. Full name | FMSBonds, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-23280 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 794 | |
i. Full name | TIAA-CREF Individual & Institutional Services, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-44454 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 795 | |
i. Full name | TD Ameritrade Clearing, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-16335 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 796 | |
i. Full name | Crestone Securities |
ii. LEI, if any, or provide and describe other identifying number | 8-52463 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 797 | |
i. Full name | UBATCO & Co. |
ii. LEI, if any, or provide and describe other identifying number | N/A |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 798 | |
i. Full name | MidWestern Securities Trading Company, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-52074 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 799 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 800 | |
i. Full name | Philip J. Greenblatt Securities Ltd |
ii. LEI, if any, or provide and describe other identifying number | 8-30725 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 801 | |
i. Full name | Nicol Investors Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-65566 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 802 | |
i. Full name | Joseph Gunnar & Co. LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-41386 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 803 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 804 | |
i. Full name | Healthcare Community Securities Corporation |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 805 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 806 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 807 | |
i. Full name | Northland Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-48994 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 808 | |
i. Full name | Sabadell Securities USA, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-67975 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 809 | |
i. Full name | Mid Atlantic Capital Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-27663 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 810 | |
i. Full name | Mack Investment Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-35536 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 811 | |
i. Full name | Pacific Financial Associates, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-40712 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 812 | |
i. Full name | MMC Securities Corp. |
ii. LEI, if any, or provide and describe other identifying number | 8-52349 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 813 | |
i. Full name | Securities Service Network, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-28980 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 814 | |
i. Full name | Lockton Financial Advisors, 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 815 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 816 | |
i. Full name | Nationwide Planning Associates Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-45310 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 817 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 818 | |
i. Full name | SEI Private Trust Company |
ii. LEI, if any, or provide and describe other identifying number | 028-10625 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 819 | |
i. Full name | Vanguard Marketing Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-21570 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 820 | |
i. Full name | ViewTrade Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-51605 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 821 | |
i. Full name | TRG Advisors, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-50449 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 822 | |
i. Full name | The Capital Group Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-52512 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 823 | |
i. Full name | Triad Advisors, Inc. |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 824 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 825 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 826 | |
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 | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 827 | |
i. Full name | Wheelhouse Securities Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-68105 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 828 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 829 | |
i. Full name | Vanguard Group, Inc., The |
ii. LEI, if any, or provide and describe other identifying number | 5493002789CY3L0CJP65 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 830 | |
i. Full name | Nationwide Financial Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 5493001H7AZNDS6BKJ36 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 831 | |
i. Full name | Woodlands Securities Corporation |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 832 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 833 | |
i. Full name | Fifth Third Bank |
ii. LEI, if any, or provide and describe other identifying number | QFROUN1UWUYU0DVIWD51 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 834 | |
i. Full name | GLP Investment Services |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 835 | |
i. Full name | Calamar Financial Group |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 836 | |
i. Full name | Newport Retirement Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | N/A |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 837 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 838 | |
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 | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
b. Has a shareholder servicing agent been hired or terminated during the reporting period? | ![]() ![]() |
Item C.14. Administrators.
a. Provide the following information about each administrator of the Fund: |
Administrators Record: 1 | |
i. Full name | JPMorgan Chase Bank, N.A. |
ii. LEI, if any, or other identifying number | 7H6GLXDRUGQFU57RNE97 |
Description of other identifying number | |
iii. State, if applicable | NEW YORK |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the administrator an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the administrator a sub-administrator? | ![]() ![]() |
Administrators Record: 2 | |
i. Full name | BlackRock Advisors, LLC |
ii. LEI, if any, or other identifying number | 5493001LN9MRM6A35J74 |
Description of other identifying number | |
iii. State, if applicable | DELAWARE |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the administrator an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the administrator a sub-administrator? | ![]() ![]() |
b.Has a third-party administrator been hired or terminated during the reporting period? | ![]() ![]() |
Item C.15. Affiliated broker-dealers.
Provide the following information about each affiliated broker-dealer: |
Broker Dealers Record: 1 | |
a. Full name | BlackRock Investments, LLC |
b. SEC file number | 8-48436 |
c. CRD number | 000038642 |
d. LEI, if any | N/A |
e. State, if applicable | NEW YORK |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0 |
Broker Dealers Record: 2 | |
a. Full name | BlackRock Execution Services |
b. SEC file number | 8-48719 |
c. CRD number | 000039438 |
d. LEI, if any | 549300HFCRQ0NT5KY652 |
e. State, if applicable | NEW YORK |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0 |
Item C.16. Brokers.
Instructions to Item C.16 and Item C.17. To help Registrants distinguish between agency and principal transactions, and to promote consistent reporting of the information required by these items, the following criteria should be used: 1. If a security is purchased or sold in a transaction for which the confirmation specifies the amount of the commission to be paid by the Registrant, the transaction should be considered an agency transaction and included in determining the answers to Item C.16. 2. If a security is purchased or sold in a transaction for which the confirmation specifies only the net amount to be paid or received by the Registrant and such net amount is equal to the market value of the security at the time of the transaction, the transaction should be considered a principal transaction and included in determining the amounts in Item C.17. 3. If a security is purchased by the Registrant in an underwritten offering, the acquisition should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the underwriters are receiving from the issuer. 4. If a security is sold by the Registrant in a tender offer, the sale should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the offeror is paying to soliciting brokers or dealers. 5. If a security is purchased directly from the issuer (such as a bank CD), the purchase should be considered a principal transaction and included in answering Item C.17. 6. The value of called or maturing securities should not be counted in either agency or principal transactions and should not be included in determining the amounts shown in Item C.16 and Item C.17. This means that the acquisition of a security may be included, but it is possible that its disposition may not be included. Disposition of a repurchase agreement at its expiration date should not be included. 7. The purchase or sales of securities in transactions not described in paragraphs (1) through (6) above should be evaluated by the Fund based upon the guidelines established in those paragraphs and classified accordingly. The agents considered in Item C.16 may be persons or companies not registered under the Exchange Act as securities brokers. The persons or companies from whom the investment company purchased or to whom it sold portfolio instruments on a principal basis may be persons or entities not registered under the Exchange Act as securities dealers. |
a. For each of the ten brokers that received the largest dollar amount of brokerage commissions (excluding dealer concessions in underwritings) by virtue of direct or indirect participation in the Fund’s portfolio transactions, provide the information below: |
i. Full name of broker | |
ii. SEC file number | |
iii. CRD number | |
iv. LEI, if any | |
v. State, if applicable | |
vi. Foreign country, if applicable | |
vii. Gross commissions paid by the Fund for the reporting period |
b. Aggregate brokerage commissions paid by Fund during the reporting period: | 0 |
Item C.17. Principal transactions.
a. For each of the ten entities acting as principals with which the Fund did the largest dollar amount of principal transactions (include all short-term obligations, and U.S. government and tax-free securities) in both the secondary market and in underwritten offerings, provide the information below: |
Principal Transactions Record: 1 | |
i. Full name of dealer | National Financial Services LLC |
ii. SEC file number | 8-26740 |
iii. CRD number | 000013041 |
iv. LEI, if any | 549300JRHF1MHHWUAW04 |
v. State, if applicable | TEXAS |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 1215700000 |
Principal Transactions Record: 2 | |
i. Full name of dealer | J.P. Morgan Securities LLC |
ii. SEC file number | 8-35008 |
iii. CRD number | 000000079 |
iv. LEI, if any | ZBUT11V806EZRVTWT807 |
v. State, if applicable | OHIO |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 1550754091.25 |
Principal Transactions Record: 3 | |
i. Full name of dealer | Citigroup Global Markets, Inc. |
ii. SEC file number | 8-08177 |
iii. CRD number | 000007059 |
iv. LEI, if any | MBNUM2BPBDO7JBLYG310 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 955910000 |
Principal Transactions Record: 4 | |
i. Full name of dealer | RBC Capital Markets, LLC |
ii. SEC file number | 8-45411 |
iii. CRD number | 000031194 |
iv. LEI, if any | 549300LCO2FLSSVFFR64 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 102235000 |
Principal Transactions Record: 5 | |
i. Full name of dealer | Barclays Capital, Inc. |
ii. SEC file number | 8-41342 |
iii. CRD number | 000019714 |
iv. LEI, if any | AC28XWWI3WIBK2824319 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 663598232 |
Principal Transactions Record: 6 | |
i. Full name of dealer | Morgan Stanley & Co., Inc. |
ii. SEC file number | 8-15869 |
iii. CRD number | 000008209 |
iv. LEI, if any | 9R7GPTSO7KV3UQJZQ078 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 581827996.65 |
Principal Transactions Record: 7 | |
i. Full name of dealer | Jefferies LLC |
ii. SEC file number | 8-15074 |
iii. CRD number | 000002347 |
iv. LEI, if any | 58PU97L1C0WSRCWADL48 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 520920000 |
Principal Transactions Record: 8 | |
i. Full name of dealer | Goldman Sachs & Co. LLC |
ii. SEC file number | 8-12900 |
iii. CRD number | 000000361 |
iv. LEI, if any | FOR8UP27PHTHYVLBNG30 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 230705438 |
Principal Transactions Record: 9 | |
i. Full name of dealer | Wells Fargo Securities LLC |
ii. SEC file number | 8-65876 |
iii. CRD number | 000126292 |
iv. LEI, if any | VYVVCKR63DVZZN70PB21 |
v. State, if applicable | NORTH CAROLINA |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 1170435278.2 |
Principal Transactions Record: 10 | |
i. Full name of dealer | BofA Securities, Inc. |
ii. SEC file number | 8-69787 |
iii. CRD number | 000283942 |
iv. LEI, if any | 549300HN4UKV1E2R3U73 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 447167000 |
b. Aggregate value of principal purchase/sale transactions of Fund during the reporting period: | 7532393036.1 |
Item C.18. Payments for brokerage and research.
During the reporting period, did the Fund pay commissions to broker-dealers for "brokerage and research services" within the meaning of section 28(e) of the Exchange Act (15 U.S.C. 78bb)? | ![]() ![]() |
Item C.19. Average net assets.
a. Provide the Fund's (other than a money market fund's) monthly average net assets during the reporting period | |
b. Provide the money market fund's daily average net assets during the reporting period | 325440521.7 |
Item C.20. Lines of credit, interfund lending and interfund borrowing.
a. Does the Fund have available a line of credit? | ![]() ![]() |
b. Did the Fund engage in interfund lending? | ![]() ![]() |
c.Did the Fund engage in interfund borrowing? | ![]() ![]() |
Management Investment Record: 7 |
Item C.1. Background information.
a. Full Name of the Fund | New York Money Fund |
b. Series identication number, if any | S000001473 |
c. LEI | 549300XLCZIW23X5I573 |
d. Is this the first filing on this form by the Fund? | ![]() ![]() |
Item C.2. Classes of open-end management investment companies.
a. How many Classes of shares of the Fund (if any) are authorized? | 11 |
b. How many new Classes of shares of the Fund were added during the reporting period? | 0 |
c. How many Classes of shares of the Fund were terminated during the reporting period? | 0 |
d. For each Class with shares outstanding, provide the information requested below: | |
Shares Outstanding Record: 1 | |
i. Full name of Class | Institutional |
ii. Class identification number, if any | C000003909 |
iii. Ticker symbol, if any | MUNXX |
Shares Outstanding Record: 2 | |
i. Full name of Class | Premier |
ii. Class identification number, if any | C000003908 |
iii. Ticker symbol, if any | BNBXX |
Item C.3. Type of fund.
Instructions. 1. "Fund of Funds" means a fund that acquires securities issued by any other investment company in excess of the amounts permitted under paragraph (A) of section 12(d)(1) of the Act (15 U.S.C. 80a-12(d)(1)(A)), but, for purposes of this Item, does not include a fund that acquires securities issued by another company solely in reliance on rule 12d1-1 under the Act (CFR 270.12d1-1). 2. "Index Fund" means an investment company, including an Exchange-Traded Fund, that seeks to track the performance of a specified index. 3. "Interval Fund" means a closed-end management investment company that makes periodic repurchases of its shares pursuant to rule 23c-3 under the Act (17 CFR 270.23c-3). 4. "Master-Feeder Fund" means a two-tiered arrangement in which one or more funds (each a feeder fund) holds shares of a single Fund (the master fund) in accordance with section 12(d)(1)(E) of the Act (15 U.S.C. 80a-12(d)(1)(E)) or pursuant to exemptive relief granted by the Commission. 5. "Target Date Fund" means an investment company that has an investment objective or strategy of providing varying degrees of long-term appreciation and capital preservation through a mix of equity and fixed income exposures that changes over time based on an investor's age, target retirement date, or life expectancy. |
Indicate if the Fund is any one of the types listed below. Check all that apply. |
a. Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund i. ![]() ii. ![]() b. ![]() c. ![]() d. ![]() e. ![]() f. ![]() g. ![]() h. ![]() i. ![]() ![]() |
Item C.4. Diversification.
Does the Fund seek to operate as a “non-diversified company” as such term is defined in section 5(b)(2) of the Act (15 U.S.C. 80a- 5(b) (2))? | ![]() ![]() |
Item C.5. Investments in certain foreign corporations.
Instruction. "Controlled foreign corporation" has the meaning provided in section 957 of the Internal Revenue Code [26 U.S.C. 957]. |
a. Does the fund invest in a controlled foreign corporation for the purpose of investing in certain types of instruments such as, but not limited to, commodities? | ![]() ![]() |
Item C.6. Securities lending.
Instruction. For purposes of this Item, other adverse impacts would include, for example, (1) a loss to the Fund if collateral and indemnification were not sufficient to replace the loaned securities or their value, (2) the Fund's ineligibility to vote shares in a proxy, or (3) the Fund's ineligibility to receive a direct distribution from the issuer. |
a. Is the Fund authorized to engage in securities lending transactions? | ![]() ![]() |
b. Did the Fund lend any of its securities during the reporting period? | ![]() ![]() |
c. Provide the information requested below about each securities lending agent, if any, retained by the Fund: |
Securities Lending Record: 1 | |
i. Full name of securities lending agent | BlackRock Investment Management, LLC |
ii. LEI, if any | 5493006MRTEZZ4S4CQ20 |
iii. Is the securities lending agent an affiliated person, or an affiliated person of an affiliated person, of the Fund? | ![]() ![]() |
iv. Does the securities lending agent or any other entity indemnify the fund against borrower default on loans administered by this agent? | ![]() ![]() |
v. If the entity providing the indemnification is not the securities lending agent, provide the following information: |
Idemnity Providers Record: 1 |
1. Name of person providing indemnification | N/A |
2. LEI, if any, of person providing indemnification | N/A |
vi. Did the Fund exercise its indemnification rights during the reporting period? | ![]() ![]() |
d. If a person providing cash collateral management services to the Fund in connection with the Fund's securities lending activities does not also serve as securities lending agent, provide the following information about each cash collateral manager: |
i. Full name of cash collateral manager: | |
ii. LEI, if any: | |
iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund? | ![]() ![]() |
iv. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of the Fund? | ![]() ![]() |
e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply): | ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
If other, describe: | Rebates paid to borrowers |
f. Provide the monthly average of the value of portfolio securities on loan during the reporting period | N/A |
g. Provide the net income from securities lending activities | N/A |
Item C.7. Reliance on certain rules.
Did the Fund rely on any of the following rules under the Act during the reporting period? (check all that apply) | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Item C.8. Expense limitations.
Instruction. Provide information concerning any direct or indirect limitations, waivers or reductions, on the level of expenses incurred by the fund during the reporting period. A limitation, for example, may be applied indirectly (such as when an adviser agrees to accept a reduced fee pursuant to a voluntary fee waiver) or it may apply only for a temporary period such as for a new fund in its start-up phase. |
a. Did the Fund have an expense limitation arrangement in place during the reporting period? | ![]() ![]() |
b. Were any expenses of the Fund reduced or waived pursuant to an expense limitation arrangement during the reporting period? | ![]() ![]() |
c. Are the fees waived subject to recoupment? | ![]() ![]() |
d. Were any expenses previously waived recouped during the period? | ![]() ![]() |
Item C.9. Investment advisers.
a. Provide the following information about each investment adviser (other than a sub-adviser) of the Fund: |
Investment Advisers Record: 1 | |
i. Full name | BlackRock Advisors, LLC |
ii. SEC file number ( e.g., 801- ) | 801-47710 |
iii.CRD number | 000106614 |
iv. LEI, if any | 5493001LN9MRM6A35J74 |
v. State, if applicable | DELAWARE |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Was the investment adviser hired during the reporting period? | ![]() ![]() |
b. If an investment adviser (other than a sub- adviser) to the Fund was terminated during the reporting period, provide the following with respect to each investment adviser: |
i. Full name | |
ii. SEC file number ( e.g., 801- ) | |
iii. CRD number | |
iv. LEI, if any | |
v. State, if applicable | |
vi. Foreign country, if applicable | |
vii. Termination date |
c. For each sub-adviser to the Fund, provide the information requested: |
i. Full name | |
ii. SEC file number ( e.g., 801- ), if applicable | |
iii. CRD number | |
iv. LEI, if any | |
v. State, if applicable | |
vi. Foreign country, if applicable | |
vii. Is the sub-adviser an affiliated person of the Fund's investment adviser(s)? | ![]() ![]() |
viii. Was the sub-adviser hired during the reporting period? | ![]() ![]() |
d. If a sub-adviser was terminated during the reporting period, provide the following with respect to such sub-adviser: |
i. Full name | |
ii. SEC file number ( e.g., 801- ) | |
iii. CRD number | |
iv. LEI, if any | |
v. State, if applicable | |
vi. Foreign country, if applicable | |
vii. Termination date |
Item C.10. Transfer agents.
a. Provide the following information about each person providing transfer agency services to the Fund: |
Transfer Agents Record: 1 | |
i. Full name | BNY Mellon Investment Servicing (US) Inc. |
ii.SEC file number ( e.g., 84- or 85- ) | 84-01761 |
iii. LEI, if any | 549300CFZQLI9QMJ1Z03 |
iv. State, if applicable | DELAWARE |
v. Foreign country, if applicable | UNITED STATES OF AMERICA |
vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vii. Is the transfer agent a sub-transfer agent? | ![]() ![]() |
b. Has a transfer agent been hired or terminated during the reporting period? | ![]() ![]() |
Item C.11. Pricing services.
a. Provide the following information about each person that provided pricing services to the Fund during the reporting period: |
Pricing Services Record: 1 | |
i. Full name | ICE Data Pricing & Reference Data, LLC |
ii. LEI, if any, or provide and describe other identifying number | 5493000NQ9LYLDBCTL34 |
Description of other identifying number | |
iii. State, if applicable | NEW YORK |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
b. Was a pricing service hired or terminated during the reporting period? | ![]() ![]() |
Item C.12. Custodians.
a. Provide the following information about each person that provided custodial services to the Fund during the reporting period: |
Custodians Record: 1 | |
i. Full name | The Bank of New York Mellon |
ii. LEI, if any | HPFHU0OQ28E4N0NFVK49 |
iii. State, if applicable | NEW YORK |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 2 | |
i. Full name | JPMorgan Chase Bank, N.A. |
ii. LEI, if any | 7H6GLXDRUGQFU57RNE97 |
iii. State, if applicable | NEW YORK |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
b. Has a custodian been hired or terminated during the reporting period?* | ![]() ![]() |
Item C.13. Shareholder servicing agents.
a. Provide the following information about each shareholder servicing agent of the Fund: |
Shareholder servicing agents Record: 1 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 2 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 3 | |
i. Full name | Avondale Partners, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-51550 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 4 | |
i. Full name | B.C. Ziegler & Company |
ii. LEI, if any, or provide and describe other identifying number | 8-00094 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 5 | |
i. Full name | BBVA Securities Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-42857 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 6 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 7 | |
i. Full name | Capital Institutional Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-22273 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 8 | |
i. Full name | Cetera Advisors LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-26892 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 9 | |
i. Full name | Cetera Financial Specialists LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-27082 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 10 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 11 | |
i. Full name | E*Trade Savings Bank |
ii. LEI, if any, or provide and describe other identifying number | 549300DXPO50FJ75QA85 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 12 | |
i. Full name | Fortune Financial Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-49727 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 13 | |
i. Full name | Fidelity Brokerage Services LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-23292 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 14 | |
i. Full name | Eastern Point Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-39398 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 15 | |
i. Full name | Gerwin Group, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-40282 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 16 | |
i. Full name | H. C. Denison Co. |
ii. LEI, if any, or provide and describe other identifying number | 8-00044 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 17 | |
i. Full name | ICMA-RC Services, Inc. |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 18 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 19 | |
i. Full name | Huntleigh Securities Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-21893 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 20 | |
i. Full name | JHW Financial Services Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-45304 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 21 | |
i. Full name | Key West Investments, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-68166 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 22 | |
i. Full name | KMS Financial Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-15433 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 23 | |
i. Full name | Lara, May & Associates, 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 24 | |
i. Full name | Mack Investment Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-35536 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 25 | |
i. Full name | Merrill Lynch, Pierce, Fenner & Smith Incorporated |
ii. LEI, if any, or provide and describe other identifying number | 8-07221 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 26 | |
i. Full name | Mid-Atlantic Clearing & Settlement Corp. |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 27 | |
i. Full name | Nestlerode & Loy, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-12629 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 28 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 29 | |
i. Full name | Nationwide Planning Associates Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-45310 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 30 | |
i. Full name | Northeastern Financial Group, Incorporated |
ii. LEI, if any, or provide and describe other identifying number | 8-33132 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 31 | |
i. Full name | NorthWestern Mutual Investment Services, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-14088 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 32 | |
i. Full name | Northland Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-48994 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 33 | |
i. Full name | OFG Financial Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-40770 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 34 | |
i. Full name | Peak Brokerage Services, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-68829 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 35 | |
i. Full name | People's Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-29667 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 36 | |
i. Full name | PWA Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-67700 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 37 | |
i. Full name | RF Lafferty & Co |
ii. LEI, if any, or provide and describe other identifying number | 8-25581 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 38 | |
i. Full name | Signator Investors, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-13995 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 39 | |
i. Full name | Transamerica Financial Advisors, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-33429 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 40 | |
i. Full name | Snowden Account Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-68188 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 41 | |
i. Full name | Thoroughbred Financial Services, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-51944 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 42 | |
i. Full name | UMB Financial Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-34999 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 43 | |
i. Full name | Wells Fargo Securities, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-65876 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 44 | |
i. Full name | Southeast Investments, N.C., Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-50127 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 45 | |
i. Full name | Wall Street Access |
ii. LEI, if any, or provide and describe other identifying number | 8-25936 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 46 | |
i. Full name | Primerica Shareholder Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 084-01499 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 47 | |
i. Full name | Wellington Shields & Co., LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-68098 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 48 | |
i. Full name | Newport Retirement Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | N/A |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 49 | |
i. Full name | 1st Global Capital Corp. |
ii. LEI, if any, or provide and describe other identifying number | 8-44870 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 50 | |
i. Full name | ABD Retirement Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-69271 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 51 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 52 | |
i. Full name | Access Investments, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-49750 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 53 | |
i. Full name | Ameritas Investment Corp. |
ii. LEI, if any, or provide and describe other identifying number | 8-31296 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 54 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 55 | |
i. Full name | BC Securities, Inc. (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 | 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 56 | |
i. Full name | Apex Clearing Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-23522 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 57 | |
i. Full name | Bill Few Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-49625 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 58 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 59 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 60 | |
i. Full name | Allegis Investment Services, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-69318 |
Description of other identifying number | SEC File Number |
iii. State, if applicable | IDAHO |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 61 | |
i. Full name | BTS Securities Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-26818 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 62 | |
i. Full name | Calton & Associates, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-38635 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 63 | |
i. Full name | Carty & Company, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-19082 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 64 | |
i. Full name | Aon Benfield Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-14953 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 65 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 66 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 67 | |
i. Full name | Centaurus Financial, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-45185 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 68 | |
i. Full name | Centennial Securities Company, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-23406 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 69 | |
i. Full name | Benchmark Investments, Inc. |
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 | 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 70 | |
i. Full name | BestVest Investments, Ltd. |
ii. LEI, if any, or provide and describe other identifying number | 8-49007 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 71 | |
i. Full name | E*Trade Securities |
ii. LEI, if any, or provide and describe other identifying number | 8-44112 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 72 | |
i. Full name | E-W Investments, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-35259 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 73 | |
i. Full name | First Heartland Capital, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-46008 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 74 | |
i. Full name | FNBB Capital Markets, LLC |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 75 | |
i. Full name | Bolton Securities Corp. |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 76 | |
i. Full name | Cascade Investment Group, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-46943 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 77 | |
i. Full name | Consolidated Financial Investments, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-37004 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 78 | |
i. Full name | Gardner Financial Services, 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 79 | |
i. Full name | Glen Eagle Advisors LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-65678 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 80 | |
i. Full name | Hapoalim Securities USA, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-03018 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 81 | |
i. Full name | Credit Suisse Securities (USA) LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-00422 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 82 | |
i. Full name | DesPain Financial Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-37056 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 83 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 84 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 85 | |
i. Full name | David Lerner Associates, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-20746 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 86 | |
i. Full name | Crestone Securities |
ii. LEI, if any, or provide and describe other identifying number | 8-52463 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 87 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 88 | |
i. Full name | Highlander Capital Group, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-37169 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 89 | |
i. Full name | Independent Financial Group, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-22870 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 90 | |
i. Full name | Dougherty & Company LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-21937 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 91 | |
i. Full name | First Financial Securities of America, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-29565 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 92 | |
i. Full name | Investment Professionals, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-44786 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 93 | |
i. Full name | Global Brokerage Services, Inc. |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 94 | |
i. Full name | G.F. Investment Services, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-66659 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 95 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 96 | |
i. Full name | Kalos Capital, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-50630 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 97 | |
i. Full name | Keel Point Capital, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-22990 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 98 | |
i. Full name | Lexington Investment Company, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-43085 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 99 | |
i. Full name | Access Financial Group, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-46065 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 100 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 101 | |
i. Full name | Madison Avenue Securities, Inc. |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 102 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 103 | |
i. Full name | Barclays Capital Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-41342 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 104 | |
i. Full name | Morgan Stanley & Co. LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-15869 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 105 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 106 | |
i. Full name | Alight Financial Solutions LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-47344 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 107 | |
i. Full name | Horace Mann Life Insurance Co. |
ii. LEI, if any, or provide and describe other identifying number | 5493000HR2JKKNH2FL09 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 108 | |
i. Full name | Hightower Securities, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-53560 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 109 | |
i. Full name | H. Beck, Inc. |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 110 | |
i. Full name | Avisen Securities, 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 111 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 112 | |
i. Full name | American Century Investment Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-35220 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 113 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 114 | |
i. Full name | Hancock Investment Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-49106 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 115 | |
i. Full name | Freimark Blair & Company, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-28646 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 116 | |
i. Full name | Bankers Life Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-69562 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 117 | |
i. Full name | Brazos Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-39119 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 118 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 119 | |
i. Full name | BCG Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-12680 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 120 | |
i. Full name | Citizens Bank |
ii. LEI, if any, or provide and describe other identifying number | DRMSV1Q0EKMEXLAU1P80 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 121 | |
i. Full name | Cambridge Investment Research, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-48740 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 122 | |
i. Full name | North Ridge Securities Corp. |
ii. LEI, if any, or provide and describe other identifying number | 8-42879 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 123 | |
i. Full name | Cadaret, Grant & Co., Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-27844 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 124 | |
i. Full name | Pruco Securities, LLC. |
ii. LEI, if any, or provide and describe other identifying number | 8-16402 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 125 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 126 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 127 | |
i. Full name | Insight Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-16247 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 128 | |
i. Full name | IDB Capital Corp. |
ii. LEI, if any, or provide and describe other identifying number | 8-53000 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 129 | |
i. Full name | CGIS Securities LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-68758 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 130 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 131 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 132 | |
i. Full name | Interactive Brokers LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-47257 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 133 | |
i. Full name | Planmember Securities Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-25065 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 134 | |
i. Full name | Dorsey & Company, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-07541 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 135 | |
i. Full name | Investacorp, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-22598 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 136 | |
i. Full name | Cary Street Partners LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-66085 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 137 | |
i. Full name | Rothschild Investment Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-16429 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 138 | |
i. Full name | International Assets Advisory, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-27736 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 139 | |
i. Full name | J.A. Glynn & Co. |
ii. LEI, if any, or provide and describe other identifying number | 8-39465 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 140 | |
i. Full name | Rehmann Financial Network |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 141 | |
i. Full name | City National Bank |
ii. LEI, if any, or provide and describe other identifying number | 593C3GZG957YOJPS2Z63 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 142 | |
i. Full name | Robert W. Baird & Co. Incorporated |
ii. LEI, if any, or provide and describe other identifying number | 8-00497 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 143 | |
i. Full name | SecureVest Financial Group |
ii. LEI, if any, or provide and describe other identifying number | 8-26030 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 144 | |
i. Full name | Invex, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-44695 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 145 | |
i. Full name | CUNA Brokerage Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-30027 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 146 | |
i. Full name | Securian Financial Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-31955 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 147 | |
i. Full name | Essex Financial Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-66015 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 148 | |
i. Full name | Edwin C. Blitz Investments, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-22741 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 149 | |
i. Full name | Country Club Financial Services, 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 150 | |
i. Full name | SG Americas Securities, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-66125 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 151 | |
i. Full name | Financial Services International Corp. |
ii. LEI, if any, or provide and describe other identifying number | 8-48032 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 152 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 153 | |
i. Full name | Coldstream Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-51549 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 154 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 155 | |
i. Full name | Jefferies, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-15074 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 156 | |
i. Full name | David A. Noyes & Company |
ii. LEI, if any, or provide and describe other identifying number | 8-22752 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 157 | |
i. Full name | L. B. Fisher & Company |
ii. LEI, if any, or provide and describe other identifying number | 8-21023 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 158 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 159 | |
i. Full name | First Republic Securities Company, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-52973 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 160 | |
i. Full name | G.L.S. & Associates, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-51808 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 161 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 162 | |
i. Full name | First Allied Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-46167 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 163 | |
i. Full name | First Bankers' Banc Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-31584 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 164 | |
i. Full name | Kovitz Securities, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-66267 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 165 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 166 | |
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 | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 167 | |
i. Full name | First Kentucky Securities Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-22224 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 168 | |
i. Full name | Synovus Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-34709 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 169 | |
i. Full name | Mid Atlantic Capital Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-27663 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 170 | |
i. Full name | Inverness Securities, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-66278 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 171 | |
i. Full name | L.S.Y., Inc. |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 172 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 173 | |
i. Full name | Sweney Cartwright & Company |
ii. LEI, if any, or provide and describe other identifying number | 8-03150 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 174 | |
i. Full name | Moors & Cabot, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-23060 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 175 | |
i. Full name | Healthcare Community Securities Corporation |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 176 | |
i. Full name | Gilbert, Doniger & Co., Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-22326 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 177 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 178 | |
i. Full name | The O.N. Equity Sales Company |
ii. LEI, if any, or provide and describe other identifying number | 8-14161 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 179 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 180 | |
i. Full name | Northeast Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-42227 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 181 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 182 | |
i. Full name | J.D. Seibert & Company, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-23604 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 183 | |
i. Full name | Kercheville & Company, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-32795 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 184 | |
i. Full name | Intercontinental Asset Management Group, Ltd. |
ii. LEI, if any, or provide and describe other identifying number | 8-39706 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 185 | |
i. Full name | Trade-PMR 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 186 | |
i. Full name | Lincoln Investment Planning, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-14354 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 187 | |
i. Full name | KCD Financial, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-66005 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 188 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 189 | |
i. Full name | Ladenburg Thalman & Co. Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-17230 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 190 | |
i. Full name | Vorpahl Wing Securities |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 191 | |
i. Full name | Pyramid Funds Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-12769 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 192 | |
i. Full name | Rhodes Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-37689 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 193 | |
i. Full name | Wood (Arthur W.) Company, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-03368 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 194 | |
i. Full name | Fifth Third Bank |
ii. LEI, if any, or provide and describe other identifying number | QFROUN1UWUYU0DVIWD51 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 195 | |
i. Full name | Saturna Trust Company |
ii. LEI, if any, or provide and describe other identifying number | N/A |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 196 | |
i. Full name | Robinson & Robinson, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-17109 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 197 | |
i. Full name | M Holdings Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-50214 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 198 | |
i. Full name | Aufhaser Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-48786 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 199 | |
i. Full name | S.A. Stone Wealth Management |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 200 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 201 | |
i. Full name | Loring Ward Securities Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-51381 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 202 | |
i. Full name | TD Ameritrade, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-23395 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 203 | |
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 | NEW HAMPSHIRE |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 204 | |
i. Full name | Superior Financial Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-52618 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 205 | |
i. Full name | North South Capital, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-67979 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 206 | |
i. Full name | Saperston Asset Management, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-50658 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 207 | |
i. Full name | Mutual Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-28580 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 208 | |
i. Full name | UBS Financial Services Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-16267 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 209 | |
i. Full name | Shareholders Service Group, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-65778 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 210 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 211 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 212 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 213 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 214 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 215 | |
i. Full name | Lockton Financial Advisors, 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 216 | |
i. Full name | Wescom Financial Services, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-66189 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 217 | |
i. Full name | 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 218 | |
i. Full name | Sabadell Securities USA, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-67975 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 219 | |
i. Full name | Winslow, Evans & Crocker, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-44347 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 220 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 221 | |
i. Full name | World Trend Financial Planning Services, Ltd. |
ii. LEI, if any, or provide and describe other identifying number | 8-43693 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 222 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 223 | |
i. Full name | Summit Brokerage Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-46310 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 224 | |
i. Full name | Charles Schwab Bank |
ii. LEI, if any, or provide and describe other identifying number | 549300INFJ8TYNZ1G568 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 225 | |
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 | 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 226 | |
i. Full name | PTS 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 227 | |
i. Full name | Quincy Cass Associates, Incorporated |
ii. LEI, if any, or provide and describe other identifying number | 8-05743 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 228 | |
i. Full name | Vanguard Group, Inc., The |
ii. LEI, if any, or provide and describe other identifying number | 5493002789CY3L0CJP65 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 229 | |
i. Full name | Prospera Financial Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-28164 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 230 | |
i. Full name | Treasure Financial Corp. |
ii. LEI, if any, or provide and describe other identifying number | 8-48165 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 231 | |
i. Full name | American Wealth Management |
ii. LEI, if any, or provide and describe other identifying number | 8-41807 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 232 | |
i. Full name | Tradition Asiel Securities Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-43559 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 233 | |
i. Full name | Wells Fargo Clearing Services, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-37180 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 234 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 235 | |
i. Full name | ViewTrade Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-51605 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 236 | |
i. Full name | William C. Burnside & Company, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-21242 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 237 | |
i. Full name | Vestor Capital Securities |
ii. LEI, if any, or provide and describe other identifying number | 8-32743 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 238 | |
i. Full name | Repex & Co., Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-26431 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 239 | |
i. Full name | Ross, Sinclaire & Associates, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-41740 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 240 | |
i. Full name | Western Growers Financial Services, Inc. |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 241 | |
i. Full name | Sterling Monroe Securities, 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 242 | |
i. Full name | Summit Equities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-27556 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 243 | |
i. Full name | Principal Life Insurance Company |
ii. LEI, if any, or provide and describe other identifying number | SDCMU2LVKGV2AF1KWP64 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 244 | |
i. Full name | TD Ameritrade Clearing, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-16335 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 245 | |
i. Full name | Guardian Insurance & Annuity Company, Inc., The |
ii. LEI, if any, or provide and describe other identifying number | TGIU5N0SIMULU6I57R64 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 246 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 247 | |
i. Full name | Weston Securities Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-32664 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 248 | |
i. Full name | Chalice Capital Partners, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-69967 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 249 | |
i. Full name | Woodlands Securities Corporation |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 250 | |
i. Full name | Supreme Alliance, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-51046 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 251 | |
i. Full name | Univest Investments, Inc. |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 252 | |
i. Full name | Westport Resources Investment Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-40904 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 253 | |
i. Full name | Hartford Funds Management Company, LLC |
ii. LEI, if any, or provide and describe other identifying number | 801-77209 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 254 | |
i. Full name | Whitney National Bank |
ii. LEI, if any, or provide and describe other identifying number | NSGZD26XPW2CUM2JKU70 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 255 | |
i. Full name | Wheelhouse Securities Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-68105 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 256 | |
i. Full name | Conduent HR Services LLC |
ii. LEI, if any, or provide and describe other identifying number | 084-06035 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 257 | |
i. Full name | Prudential Insurance Company of America |
ii. LEI, if any, or provide and describe other identifying number | Y574KRZ6V5A7UBU45C31 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 258 | |
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 | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 259 | |
i. Full name | Insigneo Securities, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-44166 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 260 | |
i. Full name | American Financial Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-53205 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 261 | |
i. Full name | Caldwell Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-27639 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 262 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 263 | |
i. Full name | Arive Capital Markets |
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 | 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 264 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 265 | |
i. Full name | BPU Investment Management, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-34979 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 266 | |
i. Full name | Cantella & Co., Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-23904 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 267 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 268 | |
i. Full name | ADCAP Securities |
ii. LEI, if any, or provide and describe other identifying number | 8-51285 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 269 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 270 | |
i. Full name | ACP Securities, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-67185 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 271 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 272 | |
i. Full name | 1st Discount Brokerage, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-48557 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 273 | |
i. Full name | Capital Financial Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-25203 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 274 | |
i. Full name | CBIZ Financial Solutions, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-34205 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 275 | |
i. Full name | Ceros Financial Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-47955 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 276 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 277 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 278 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 279 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 280 | |
i. Full name | CIBC World Markets Corp. |
ii. LEI, if any, or provide and describe other identifying number | 8-18333 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 281 | |
i. Full name | Comprehensive Asset Management and Servicing, 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 282 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 283 | |
i. Full name | D.A. Davidson & Co. |
ii. LEI, if any, or provide and describe other identifying number | 8-02399 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 284 | |
i. Full name | BFT Financial Group, 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 285 | |
i. Full name | Corinthian Partners, L.L.C. |
ii. LEI, if any, or provide and describe other identifying number | 8-48461 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 286 | |
i. Full name | Crews & Associates, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-24075 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 287 | |
i. Full name | DFPG Investments, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-68730 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 288 | |
i. Full name | Detwiler Fenton & Co. |
ii. LEI, if any, or provide and describe other identifying number | 8-16324 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 289 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 290 | |
i. Full name | Allegiance Capital, L.L.C. |
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 | 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 291 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 292 | |
i. Full name | Feldstein Financial Group, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-53388 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 293 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 294 | |
i. Full name | Financial Planning Consultants, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-25384 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 295 | |
i. Full name | Bristol Financial Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-67140 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 296 | |
i. Full name | Edward D. Jones & Co., L.P. |
ii. LEI, if any, or provide and describe other identifying number | 8-00759 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 297 | |
i. Full name | BancWest Investment Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-44261 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 298 | |
i. Full name | Great Pacific Securities |
ii. LEI, if any, or provide and describe other identifying number | 8-44398 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 299 | |
i. Full name | ARCA Capital Investments, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-53110 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 300 | |
i. Full name | BB&T Securities, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-67486 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 301 | |
i. Full name | BOSC, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-35381 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 302 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 303 | |
i. Full name | Amegy Investments, Inc. (Zions) |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 304 | |
i. Full name | C. R. Davis & Company |
ii. LEI, if any, or provide and describe other identifying number | 8-859 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 305 | |
i. Full name | Bodell Overcash Anderson & Co., Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-15775 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 306 | |
i. Full name | Fifth Third Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-02428 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 307 | |
i. Full name | Geoffrey Richards Securities Corp. |
ii. LEI, if any, or provide and describe other identifying number | 8-65251 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 308 | |
i. Full name | Hancock Bank Corporation |
ii. LEI, if any, or provide and describe other identifying number | 549300GRNBWY8HIICT41 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 309 | |
i. Full name | Fidelity Investments Life |
ii. LEI, if any, or provide and describe other identifying number | 54930024AKTQGTIV1P93 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 310 | |
i. Full name | Innovation Partners LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-67812 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 311 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 312 | |
i. Full name | J.P. Morgan Securities LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-35008 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 313 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 314 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 315 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 316 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 317 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 318 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 319 | |
i. Full name | Kovack Securities Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-50847 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 320 | |
i. Full name | Key Investment Services LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-66999 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 321 | |
i. Full name | Liberty Partners Financial Services, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-66335 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 322 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 323 | |
i. Full name | Davenport & Company LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-17103 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 324 | |
i. Full name | Cuso Financial Services, L.P. |
ii. LEI, if any, or provide and describe other identifying number | 8-49711 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 325 | |
i. Full name | Conover Securities Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-35085 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 326 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 327 | |
i. Full name | M. S. Howells & Co. |
ii. LEI, if any, or provide and describe other identifying number | 8-52558 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 328 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 329 | |
i. Full name | Integral Financial LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-65284 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 330 | |
i. Full name | E. E. Powell & Company Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-01893 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 331 | |
i. Full name | CoreCap Investments, Inc. |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 332 | |
i. Full name | Commerce Brokerage Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-35096 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 333 | |
i. Full name | Coker & Palmer, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-44129 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 334 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 335 | |
i. Full name | Mora WM Securities, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-68910 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 336 | |
i. Full name | Essex Securities LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-51472 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 337 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 338 | |
i. Full name | Mutual Trust Co. of America Securities |
ii. LEI, if any, or provide and describe other identifying number | 8-25547 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 339 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 340 | |
i. Full name | Cutter & Company Brokerage, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-39590 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 341 | |
i. Full name | Farmers Financial Solutions, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-52361 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 342 | |
i. Full name | Family Investors Company |
ii. LEI, if any, or provide and describe other identifying number | 8-11190 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 343 | |
i. Full name | Exeter Trust Company |
ii. LEI, if any, or provide and describe other identifying number | 028-04279 |
Description of other identifying number | SEC File Number |
iii. State, if applicable | NEW HAMPSHIRE |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 344 | |
i. Full name | First Command Financial Planning, 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 345 | |
i. Full name | National Financial Services, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-26740 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 346 | |
i. Full name | General Securities Corp. |
ii. LEI, if any, or provide and describe other identifying number | 8-31654 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 347 | |
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 | 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 348 | |
i. Full name | Morris Group, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-28916 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 349 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 350 | |
i. Full name | FSB Warner Financial, 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 351 | |
i. Full name | MV Securities Group, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-47827 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 352 | |
i. Full name | Nelson Ivest Brokerage Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-26448 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 353 | |
i. Full name | Mid-Atlantic Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-36997 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 354 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 355 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 356 | |
i. Full name | Old National Trust Company |
ii. LEI, if any, or provide and describe other identifying number | 028-00344 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 357 | |
i. Full name | Oberweis Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-49679 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 358 | |
i. Full name | Northwest Investment Advisors, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-65282 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 359 | |
i. Full name | Ohanesian / Lecours, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-40729 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 360 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 361 | |
i. Full name | Garden State Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-25790 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 362 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 363 | |
i. Full name | First Southern, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-69733 |
Description of other identifying number | SEC File Number |
iii. State, if applicable | PUERTO RICO |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 364 | |
i. Full name | Planned Financial Programs, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-05727 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 365 | |
i. Full name | GRF Capital Investors, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-41494 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 366 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 367 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 368 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 369 | |
i. Full name | Gladowsky Capital Management Corp. |
ii. LEI, if any, or provide and describe other identifying number | 8-51017 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 370 | |
i. Full name | H.D. Vest Investment Services |
ii. LEI, if any, or provide and describe other identifying number | 8-29533 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 371 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 372 | |
i. Full name | Hanson McClain Securities |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 373 | |
i. Full name | Raymond James Financial Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-17983 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 374 | |
i. Full name | Goldman Sachs & Co. LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-00129 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 375 | |
i. Full name | Register Financial Associates, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-45012 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 376 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 377 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 378 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 379 | |
i. Full name | R. Seelaus & Co., Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-31475 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 380 | |
i. Full name | Rogan & Associates, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-49995 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 381 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 382 | |
i. Full name | Harvest Financial Corporation |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 383 | |
i. Full name | Hunter Associates, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-44779 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 384 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 385 | |
i. Full name | Landolt Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-43645 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 386 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 387 | |
i. Full name | SEI Private Trust Company |
ii. LEI, if any, or provide and describe other identifying number | 028-10625 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 388 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 389 | |
i. Full name | SunTrust Bank |
ii. LEI, if any, or provide and describe other identifying number | IYDOJBGJWY9T8XKCSX06 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 390 | |
i. Full name | Thompson Davis & Co., Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-49386 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 391 | |
i. Full name | TimeCapital Securities Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-18248 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 392 | |
i. Full name | U.S. Bancorp Investments, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-35359 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 393 | |
i. Full name | JJB Hilliard WL Lyons |
ii. LEI, if any, or provide and describe other identifying number | 8-33133 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 394 | |
i. Full name | UBS AG, New York Branch |
ii. LEI, if any, or provide and describe other identifying number | BFM8T61CT2L1QCEMIK50 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 395 | |
i. Full name | MBSC Securities Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-13801 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 396 | |
i. Full name | TCM Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-50313 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 397 | |
i. Full name | SunTrust 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 398 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 399 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 400 | |
i. Full name | United Planners' Financial Services of America A Limited Partner |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 401 | |
i. Full name | Alight Solutions LLC |
ii. LEI, if any, or provide and describe other identifying number | 084-01996 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 402 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 403 | |
i. Full name | Umpqua Investments, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-02915 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 404 | |
i. Full name | Allen & Company of Florida, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-09877 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 405 | |
i. Full name | VOYA Investments Distributors, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-48020 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 406 | |
i. Full name | Wayne Hummer Investments, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-00484 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 407 | |
i. Full name | Advisory Group Equity 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 408 | |
i. Full name | American Capital Partners, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-65165 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 409 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 410 | |
i. Full name | Wiley Bros.-Aintree Capital, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-03774 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 411 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 412 | |
i. Full name | Arete Wealth Management, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-50854 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 413 | |
i. Full name | Hilltop Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-45123 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 414 | |
i. Full name | Liberty Capital Investment Corporation |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 415 | |
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 | |
iv. Foreign country, if applicable | UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND |
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 416 | |
i. Full name | AxA 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 417 | |
i. Full name | LaBrunerie Financial Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-47830 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 418 | |
i. Full name | Loria Financial Group, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-52128 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 419 | |
i. Full name | Nationwide Financial Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 5493001H7AZNDS6BKJ36 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 420 | |
i. Full name | Weller, Anderson & Co., 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 421 | |
i. Full name | William Blair & Company L.L.C. |
ii. LEI, if any, or provide and describe other identifying number | 8-02698 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 422 | |
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 | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 423 | |
i. Full name | Meridien Financial Group, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-26090 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 424 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 425 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 426 | |
i. Full name | Axiom Capital Management, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-42638 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 427 | |
i. Full name | Arkadios Capital |
ii. LEI, if any, or provide and describe other identifying number | 8-69729 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 428 | |
i. Full name | John Hancock Trust Company |
ii. LEI, if any, or provide and describe other identifying number | 549300W205WZCFZS6R51 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 429 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 430 | |
i. Full name | NBC Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-35870 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 431 | |
i. Full name | Voya Institutional Plan Services, LLC |
ii. LEI, if any, or provide and describe other identifying number | N/A |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 432 | |
i. Full name | Middlegate Securities Ltd. |
ii. LEI, if any, or provide and describe other identifying number | 8-39031 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 433 | |
i. Full name | Mesirow Financial, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-28816 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 434 | |
i. Full name | Navy Federal Brokerage 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 435 | |
i. Full name | Calamar Financial Group |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 436 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 437 | |
i. Full name | MSEC, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-68627 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 438 | |
i. Full name | Broker Dealer Financial Services Corp. |
ii. LEI, if any, or provide and describe other identifying number | 8-24220 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 439 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 440 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 441 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 442 | |
i. Full name | Century Securities Associates, Inc. |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 443 | |
i. Full name | Citizens Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-48744 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 444 | |
i. Full name | MHA Financial Corp. |
ii. LEI, if any, or provide and describe other identifying number | 8-21836 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 445 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 446 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 447 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 448 | |
i. Full name | Comerica Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-35001 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 449 | |
i. Full name | Capital One Investing LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-51160 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 450 | |
i. Full name | Cetera Investment Services, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-31826 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 451 | |
i. Full name | Place Trade Financial, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-65915 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 452 | |
i. Full name | Pershing, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-17574 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 453 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 454 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 455 | |
i. Full name | PNC Bank, N.A. |
ii. LEI, if any, or provide and describe other identifying number | AD6GFRVSDT01YPT1CS68 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 456 | |
i. Full name | Donegal Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-66137 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 457 | |
i. Full name | Financial Northeastern Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-34883 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 458 | |
i. Full name | Dominick & Dominick LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-21076 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 459 | |
i. Full name | Commonwealth Equity Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-24040 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 460 | |
i. Full name | EK Riley Investments, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-65369 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 461 | |
i. Full name | Finance 500, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-28302 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 462 | |
i. Full name | First Western Advisors |
ii. LEI, if any, or provide and describe other identifying number | 8-28729 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 463 | |
i. Full name | Oriental Financial Services Corp. |
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 | PUERTO RICO |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 464 | |
i. Full name | Penates Group, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-50594 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 465 | |
i. Full name | First Honolulu Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-23919 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 466 | |
i. Full name | S F Sentry Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-43101 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 467 | |
i. Full name | P. R. Herzig & Co. Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-22589 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 468 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 469 | |
i. Full name | Pension Dynamics Securities Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-52535 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 470 | |
i. Full name | Sage, Rutty & Co., 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 471 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 472 | |
i. Full name | FMSBonds, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-23280 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 473 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 474 | |
i. Full name | FolioFN 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 475 | |
i. Full name | Securities Service Network, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-28980 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 476 | |
i. Full name | Princor Financial Services Corporation |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 477 | |
i. Full name | SKA Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-53366 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 478 | |
i. Full name | Sentinel Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-53142 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 479 | |
i. Full name | Petersen Investments, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-48306 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 480 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 481 | |
i. Full name | Raymond James & Associates, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-10999 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 482 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 483 | |
i. Full name | Reliance Trust Company |
ii. LEI, if any, or provide and describe other identifying number | 549300NV8FSQRNOUQO50 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 484 | |
i. Full name | Slavic Investment Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-40024 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 485 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 486 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 487 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 488 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 489 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 490 | |
i. Full name | Infinex Investments, 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 491 | |
i. Full name | InvestShares (Legal name: IMA Securities LLC) |
ii. LEI, if any, or provide and describe other identifying number | 8-68365 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 492 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 493 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 494 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 495 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 496 | |
i. Full name | The Jeffrey Matthews Financial Group, L.L.C. |
ii. LEI, if any, or provide and describe other identifying number | 8-49352 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 497 | |
i. Full name | Joseph Gunnar & Co. LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-41386 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 498 | |
i. Full name | Titleist Asset Management, Ltd. |
ii. LEI, if any, or provide and describe other identifying number | 8-65859 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 499 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 500 | |
i. Full name | Leigh Baldwin & Co., LLC |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 501 | |
i. Full name | Vaughan & Co Securities, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-36916 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 502 | |
i. Full name | Larson Financial Securities, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-68456 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 503 | |
i. Full name | ValMark Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-45463 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 504 | |
i. Full name | Lincoln Financial Distributors, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-13431 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 505 | |
i. Full name | Watermark Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-43902 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 506 | |
i. Full name | Vision Financial Markets LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-67447 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 507 | |
i. Full name | Nations Financial Group, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-50588 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 508 | |
i. Full name | TD Ameritrade Trust Company |
ii. LEI, if any, or provide and describe other identifying number | 028-15163 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 509 | |
i. Full name | World Choice Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-45235 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 510 | |
i. Full name | NIA Securities, L.L.C. |
ii. LEI, if any, or provide and describe other identifying number | 8-50591 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 511 | |
i. Full name | M&T Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-35185 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 512 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 513 | |
i. Full name | Standard Insurance Company |
ii. LEI, if any, or provide and describe other identifying number | 549300KVA8DBYKHPXO21 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 514 | |
i. Full name | Securities Research, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-23699 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 515 | |
i. Full name | Means Investment Co., Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-27458 |
Description of other identifying number | SEC File Number |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 516 | |
i. Full name | Stephens Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-01927 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 517 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 518 | |
i. Full name | The Huntington Investment Company |
ii. LEI, if any, or provide and describe other identifying number | 8-34867 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 519 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 520 | |
i. Full name | Sycamore Financial Group |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 521 | |
i. Full name | The Investment Center, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-35826 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 522 | |
i. Full name | Northern Trust Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-23689 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 523 | |
i. Full name | TCFG Wealth Management, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-69089 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 524 | |
i. Full name | Voya Financial Partners, LLC |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 525 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 526 | |
i. Full name | VOYA Financial Advisors, 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 527 | |
i. Full name | Paradigm Equities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-45593 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 528 | |
i. Full name | Western International Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-48572 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 529 | |
i. Full name | Planned Investment Co., Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-15266 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 530 | |
i. Full name | Portfolio Resources Group, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-45380 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 531 | |
i. Full name | Proequities, 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 532 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 533 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 534 | |
i. Full name | R.M. Stark & Co., Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-22543 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 535 | |
i. Full name | Regions Bank |
ii. LEI, if any, or provide and describe other identifying number | EQTWLK1G7ODGC2MGLV11 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 536 | |
i. Full name | Benefit Trust Company |
ii. LEI, if any, or provide and describe other identifying number | N/A |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 537 | |
i. Full name | Great-West Financial Retirement Plan Services, LLC |
ii. LEI, if any, or provide and describe other identifying number | N/A |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 538 | |
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 | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 539 | |
i. Full name | UBATCO & Co. |
ii. LEI, if any, or provide and describe other identifying number | N/A |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 540 | |
i. Full name | T. Rowe Price Retirement Plan Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 084-06219 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 541 | |
i. Full name | IFP Securities |
ii. LEI, if any, or provide and describe other identifying number | 8-70150 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 542 | |
i. Full name | Bruderman Brothers, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-51974 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 543 | |
i. Full name | Safra Securities LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-51935 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 544 | |
i. Full name | SDDCO Brokerage Advisors, 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 545 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 546 | |
i. Full name | SECU Brokerage Services |
ii. LEI, if any, or provide and describe other identifying number | 8-37927 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 547 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 548 | |
i. Full name | Saxony Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-53490 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 549 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 550 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 551 | |
i. Full name | Sigma Financial Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-30466 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 552 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 553 | |
i. Full name | SWBC Investment Services, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-66764 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 554 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 555 | |
i. Full name | Stonnington Group, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-66919 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 556 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 557 | |
i. Full name | Stephen A. Kohn & Associates, Ltd. |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 558 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 559 | |
i. Full name | Stifel, Nicolaus & Company, Incorporated |
ii. LEI, if any, or provide and describe other identifying number | 8-01447 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 560 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 561 | |
i. Full name | Triad Advisors, Inc. |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 562 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 563 | |
i. Full name | T. Rowe Price Investment Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-25130 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 564 | |
i. Full name | Vanderbilt Securities, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-16712 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 565 | |
i. Full name | USCA Securities LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-52285 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 566 | |
i. Full name | VBC Securities, LLC |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 567 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 568 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 569 | |
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 | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 570 | |
i. Full name | Fidelity Investments Institutional Operations Company, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-35097 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 571 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 572 | |
i. Full name | Benefit Plans Administrative Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | N/A |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 573 | |
i. Full name | Nest Investments BD, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-70117 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 574 | |
i. Full name | AssetMark Trust Company |
ii. LEI, if any, or provide and describe other identifying number | N/A |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 575 | |
i. Full name | American Enterprise Investment Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-42582 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 576 | |
i. Full name | American Independent Securities Group, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-66905 |
Description of other identifying number | SEC File Number |
iii. State, if applicable | IDAHO |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 577 | |
i. Full name | Alerus Securities |
ii. LEI, if any, or provide and describe other identifying number | 8-47152 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 578 | |
i. Full name | American Municipal Securities, 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 579 | |
i. Full name | Allianz Life Financial Services, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-13630 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 580 | |
i. Full name | Andbanc Brokerage, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-68759 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 581 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 582 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 583 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 584 | |
i. Full name | American Portfolios Financial Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-37085 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 585 | |
i. Full name | Ameriprise Financial Services, Inc. |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 586 | |
i. Full name | Bernard Herold & Co., Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-17005 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 587 | |
i. Full name | Arque Capital, Ltd. |
ii. LEI, if any, or provide and describe other identifying number | 8-65390 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 588 | |
i. Full name | ACA/Prudent Investors Planning Corporation |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 589 | |
i. Full name | Bley Investments 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 590 | |
i. Full name | Boenning & Scattergood, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-15543 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 591 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 592 | |
i. Full name | BNP Paribas Securities Corp |
ii. LEI, if any, or provide and describe other identifying number | 8-40490 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 593 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 594 | |
i. Full name | Avalon Investment & Securities Group, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-17078 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 595 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 596 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 597 | |
i. Full name | BTG Pactual US Capital, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-68148 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 598 | |
i. Full name | Buckman, Buckman & Reid, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-40413 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 599 | |
i. Full name | Callaway Financial Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-52474 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 600 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 601 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 602 | |
i. Full name | Capitol Securities Management, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-30353 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 603 | |
i. Full name | CFT Securities, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-51345 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 604 | |
i. Full name | Carter, Terry & Company, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-33797 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 605 | |
i. Full name | Citigroup Global Markets Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-08177 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 606 | |
i. Full name | Cascade Financial Management, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-53730 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 607 | |
i. Full name | BAC Florida Investments |
ii. LEI, if any, or provide and describe other identifying number | 8-37483 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 608 | |
i. Full name | Actinver Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-49311 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 609 | |
i. Full name | Charles Schwab & Co., Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-16514 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 610 | |
i. Full name | American Financial Associates, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-44065 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 611 | |
i. Full name | Coastal Equities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-40822 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 612 | |
i. Full name | Arvest Investments, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-49677 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 613 | |
i. Full name | BMO Harris Financial Advisors, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-67064 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 614 | |
i. Full name | Benjamin F. Edwards & Company, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-68023 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 615 | |
i. Full name | Bolton Global Capital |
ii. LEI, if any, or provide and describe other identifying number | 8-33222 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 616 | |
i. Full name | Berthel, Fisher & Company Financial Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-29426 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 617 | |
i. Full name | Ascensus Broker Dealer Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-47312 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 618 | |
i. Full name | BMO Harris Bank |
ii. LEI, if any, or provide and describe other identifying number | 3Y4U8VZURTYWI1W2K376 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 619 | |
i. Full name | Crescent Securities Group |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 620 | |
i. Full name | CRI Securities, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-39877 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 621 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 622 | |
i. Full name | D.M. Kelly & Company |
ii. LEI, if any, or provide and describe other identifying number | 8-48398 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 623 | |
i. Full name | Client One 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 624 | |
i. Full name | Deutsche Bank Securities Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-17822 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 625 | |
i. Full name | Detalus Securities, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-52180 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 626 | |
i. Full name | D.H. Hill Securities LLP |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 627 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 628 | |
i. Full name | Dinosaur Securities, L.L.C. |
ii. LEI, if any, or provide and describe other identifying number | 8-52908 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 629 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 630 | |
i. Full name | Duncan-Williams, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-18971 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 631 | |
i. Full name | Coburn & Meredith, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-02474 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 632 | |
i. Full name | Excel Securities & Associates, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-34261 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 633 | |
i. Full name | Federated Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-15644 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 634 | |
i. Full name | Feltl & Company |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 635 | |
i. Full name | Etico Partners, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-65500 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 636 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 637 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 638 | |
i. Full name | First Financial Equity Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-34082 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 639 | |
i. Full name | Folger Nolan Fleming Douglas Incorporated |
ii. LEI, if any, or provide and describe other identifying number | 8-03335 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 640 | |
i. Full name | First State Financial Management, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-34201 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 641 | |
i. Full name | Blakeslee and 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 642 | |
i. Full name | Foresters Equity Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-36703 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 643 | |
i. Full name | Gold Coast Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-53148 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 644 | |
i. Full name | Forest Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-33568 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 645 | |
i. Full name | GWN Securities Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-66185 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 646 | |
i. Full name | Hantz Financial Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-51291 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 647 | |
i. Full name | Herbert J. Sims & Co. Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-03315 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 648 | |
i. Full name | Hennion & Walsh, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-41988 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 649 | |
i. Full name | GWFS Equities, 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 650 | |
i. Full name | Herndon Plant Oakley, LTD |
ii. LEI, if any, or provide and describe other identifying number | 8-50912 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 651 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 652 | |
i. Full name | Hornor, Townsend & Kent, Inc. |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 653 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 654 | |
i. Full name | Hazlett, Burt & Watson, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-17737 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 655 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 656 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 657 | |
i. Full name | International Research Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-37954 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 658 | |
i. Full name | Investment Planners, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-35642 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 659 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 660 | |
i. Full name | Itau International Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-67674 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 661 | |
i. Full name | Investment Architects, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-35724 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 662 | |
i. Full name | Institutional Securities Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-38158 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 663 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 664 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 665 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 666 | |
i. Full name | Keystone Capital 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 667 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 668 | |
i. Full name | Leumi Investment Services Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-52993 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 669 | |
i. Full name | Lantern Investments, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-45285 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 670 | |
i. Full name | K. W. Chambers & CO. |
ii. LEI, if any, or provide and describe other identifying number | 8-10533 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 671 | |
i. Full name | Investment Placement Group |
ii. LEI, if any, or provide and describe other identifying number | 8-30700 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 672 | |
i. Full name | Fairport Capital, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-32162 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 673 | |
i. Full name | Fieldpoint Private 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 674 | |
i. Full name | FCG Advisors, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-49104 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 675 | |
i. Full name | Lieblong & Associates, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-49880 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 676 | |
i. Full name | Genworth Life & Annuity Insurance Company |
ii. LEI, if any, or provide and describe other identifying number | TAI340D9BWT9R77O0P03 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 677 | |
i. Full name | Hefren-Tillotson, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-10646 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 678 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 679 | |
i. Full name | ING Financial Markets LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-43978 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 680 | |
i. Full name | Jack V. Butterfield Investment Company |
ii. LEI, if any, or provide and describe other identifying number | 8-12454 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 681 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 682 | |
i. Full name | LaSalle St. Securities, L.L.C. |
ii. LEI, if any, or provide and describe other identifying number | 8-18860 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 683 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 684 | |
i. Full name | Lucia Securities, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-47643 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 685 | |
i. Full name | Maplewood Investment Advisors, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-52221 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 686 | |
i. Full name | International Financial Solutions, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-49020 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 687 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 688 | |
i. Full name | M. Griffith Investment Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-02259 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 689 | |
i. Full name | Marsco Investment Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-36754 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 690 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 691 | |
i. Full name | Mercantil Commercebank Investment Services |
ii. LEI, if any, or provide and describe other identifying number | 8-53612 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 692 | |
i. Full name | MMC Securities Corp. |
ii. LEI, if any, or provide and describe other identifying number | 8-52349 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 693 | |
i. Full name | MidWestern Securities Trading Company, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-52074 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 694 | |
i. Full name | Monex Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-44874 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 695 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 696 | |
i. Full name | DWS Investments Distributors, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-47765 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 697 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 698 | |
i. Full name | Morgan Stanley Smith Barney LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-68191 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 699 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 700 | |
i. Full name | Fiduciary Trust International |
ii. LEI, if any, or provide and describe other identifying number | N1YKEWO2IYPRS4742F57 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 701 | |
i. Full name | Empire Asset Management Company |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 702 | |
i. Full name | Broadridge Business Process Outsourcing, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-53412 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 703 | |
i. Full name | Nicol Investors Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-65566 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 704 | |
i. Full name | Foresters Financial Services |
ii. LEI, if any, or provide and describe other identifying number | 8-13891 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 705 | |
i. Full name | Neidiger, Tucker, Bruner, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-21884 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 706 | |
i. Full name | FTB 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 707 | |
i. Full name | First Manhattan Co. |
ii. LEI, if any, or provide and describe other identifying number | 8-10438 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 708 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 709 | |
i. Full name | HSBC Securities (USA), Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-41562 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 710 | |
i. Full name | Landaas & Company |
ii. LEI, if any, or provide and describe other identifying number | 8-51826 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 711 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 712 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 713 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 714 | |
i. Full name | Neuberger Berman LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-01068 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 715 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 716 | |
i. Full name | Liberty Group, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-52994 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 717 | |
i. Full name | NPB Financial Group, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-67113 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 718 | |
i. Full name | Monere Investments, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-52982 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 719 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 720 | |
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 | 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 721 | |
i. Full name | Legacy Asset Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-51871 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 722 | |
i. Full name | Halliday Financial, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-45529 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 723 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 724 | |
i. Full name | Nationwide Securities, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-12500 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 725 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 726 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 727 | |
i. Full name | Northern Capital Securities Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-49130 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 728 | |
i. Full name | NYLife Securities LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-15517 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 729 | |
i. Full name | Omni Financial Securities |
ii. LEI, if any, or provide and describe other identifying number | 8-44034 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 730 | |
i. Full name | NYLife Distributors LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-46655 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 731 | |
i. Full name | Patapsco Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-43485 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 732 | |
i. Full name | Oscar Gruss & Son Incorporated |
ii. LEI, if any, or provide and describe other identifying number | 8-22371 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 733 | |
i. Full name | Pershing Advisor Solutions, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-47425 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 734 | |
i. Full name | Oppenheimer & Co. Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-04077 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 735 | |
i. Full name | Pacific Financial Associates, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-40712 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 736 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 737 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 738 | |
i. Full name | Maxim Group LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-65337 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 739 | |
i. Full name | PFS Investments Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-26486 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 740 | |
i. Full name | Philip J. Greenblatt Securities Ltd |
ii. LEI, if any, or provide and describe other identifying number | 8-30725 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 741 | |
i. Full name | PNC Capital Markets LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-32493 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 742 | |
i. Full name | Planners Financial Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-18027 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 743 | |
i. Full name | Podesta & Co. |
ii. LEI, if any, or provide and describe other identifying number | 8-28860 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 744 | |
i. Full name | RBC Capital Markets, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-45411 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 745 | |
i. Full name | LPL Financial LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-17668 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 746 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 747 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 748 | |
i. Full name | G. W. & 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 749 | |
i. Full name | Quest Capital Strategies, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-34532 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 750 | |
i. Full name | Purshe Kaplan Sterling Investments |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 751 | |
i. Full name | Queens Road Securities, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-52737 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 752 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 753 | |
i. Full name | Roberts & Ryan Investments Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-37469 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 754 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 755 | |
i. Full name | RJJ Pasadena Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-25324 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 756 | |
i. Full name | Riversource Distributors, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-67196 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 757 | |
i. Full name | RIM Securities LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-36759 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 758 | |
i. Full name | Sanders Morris Harris Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-38325 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 759 | |
i. Full name | Royal Alliance Associates, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-40218 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 760 | |
i. Full name | Rodgers Brothers, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-33475 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 761 | |
i. Full name | Schlitt Investor Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-34202 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 762 | |
i. Full name | Samuel A Ramirez & Co., Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-19014 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 763 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 764 | |
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 | PUERTO RICO |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 765 | |
i. Full name | StockCross Financial Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-17758 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 766 | |
i. Full name | Piper Jaffray & Co. |
ii. LEI, if any, or provide and describe other identifying number | 8-15204 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 767 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 768 | |
i. Full name | Security Distributors, Inc. |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 769 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 770 | |
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 | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 771 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 772 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 773 | |
i. Full name | The Garbacz Group Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-42366 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 774 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 775 | |
i. Full name | Signature Securities Group Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-52697 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 776 | |
i. Full name | St. Bernard Financial Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-47566 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 777 | |
i. Full name | Stannard Financial Services, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-50654 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 778 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 779 | |
i. Full name | Questar Capital Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-50174 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 780 | |
i. Full name | The Capital Group Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-52512 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 781 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 782 | |
i. Full name | The GMS Group, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-23936 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 783 | |
i. Full name | The Tavenner Company |
ii. LEI, if any, or provide and describe other identifying number | 8-41206 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 784 | |
i. Full name | The Oak Ridge Financial Services Group, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-50082 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 785 | |
i. Full name | TIAA-CREF Individual & Institutional Services, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-44454 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 786 | |
i. Full name | Thurston, Springer, Miller, Herd & Titak, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-25452 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 787 | |
i. Full name | The Lawrence D. Vitez Corp. DBA Consolidated Securities |
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 | 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 788 | |
i. Full name | TradeStation Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-48711 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 789 | |
i. Full name | Sisung Securities Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-42121 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 790 | |
i. Full name | TransAm 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 | 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 791 | |
i. Full name | Uhlmann Price Securities, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-50041 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 792 | |
i. Full name | Regulus Advisors, 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 793 | |
i. Full name | TrustCore Investments, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-32152 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 794 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 795 | |
i. Full name | TRG Advisors, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-50449 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 796 | |
i. Full name | USAA Investment Management Company |
ii. LEI, if any, or provide and describe other identifying number | 8-41241 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 797 | |
i. Full name | Simmons First Investment Group, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-51795 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 798 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 799 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 800 | |
i. Full name | Vanguard Marketing Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-21570 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 801 | |
i. Full name | VectorGlobal WMG |
ii. LEI, if any, or provide and describe other identifying number | 8-45715 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 802 | |
i. Full name | Unionbanc Investment Services, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-30706 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 803 | |
i. Full name | WedBush Securities Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-12987 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 804 | |
i. Full name | Silber Bennett Financial, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-68795 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 805 | |
i. Full name | Reliance Worldwide Investments, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-67575 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 806 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 807 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 808 | |
i. Full name | Waddell & Reed, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-27030 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 809 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 810 | |
i. Full name | Whitehall-Parker Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-27688 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 811 | |
i. Full name | Visun Securities Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-31907 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 812 | |
i. Full name | Wells Fargo Bank, N.A. |
ii. LEI, if any, or provide and describe other identifying number | KB1H1DSPRFMYMCUFXT09 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 813 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 814 | |
i. Full name | Zions Investment |
ii. LEI, if any, or provide and describe other identifying number | 8-35721 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 815 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 816 | |
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 | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 817 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 818 | |
i. Full name | Wunderlich Securities, 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 819 | |
i. Full name | First Mercantile Trust Company |
ii. LEI, if any, or provide and describe other identifying number | 028-10498 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 820 | |
i. Full name | Digital Retirement Solutions, Inc. |
ii. LEI, if any, or provide and describe other identifying number | N/A |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 821 | |
i. Full name | Ascensus, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 549300K5MHNFPEU2RK82 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 822 | |
i. Full name | Teachers Insurance and Annuity Association of America |
ii. LEI, if any, or provide and describe other identifying number | O06YD7BJ4EPYNABVFN69 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 823 | |
i. Full name | Sammons Retirement Solutions, Inc. |
ii. LEI, if any, or provide and describe other identifying number | N/A |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 824 | |
i. Full name | Concord Wealth Brokerage |
ii. LEI, if any, or provide and describe other identifying number | 8-41511 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 825 | |
i. Full name | American United Life Insurance Company |
ii. LEI, if any, or provide and describe other identifying number | 549300T82H2DYU80LV98 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 826 | |
i. Full name | JPMorgan Chase Bank, N.A. |
ii. LEI, if any, or provide and describe other identifying number | 7H6GLYDRUGQFU57RNE97 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 827 | |
i. Full name | Voya Retirement Insurance and Annuity Company |
ii. LEI, if any, or provide and describe other identifying number | OK3MKCDYPD4NN6QDGK18 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 828 | |
i. Full name | Hartford Life Insurance Company |
ii. LEI, if any, or provide and describe other identifying number | 8CE7JPU9IU72L3PPD756 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 829 | |
i. Full name | John Hancock Life Insurance Company |
ii. LEI, if any, or provide and describe other identifying number | QQ0OZ8J9C4B5QT1XDG31 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 830 | |
i. Full name | Mercer HR Services, LLC |
ii. LEI, if any, or provide and describe other identifying number | N/A |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 831 | |
i. Full name | State Farm VP Management Corp |
ii. LEI, if any, or provide and describe other identifying number | 8-50128 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 832 | |
i. Full name | MerCap Securities |
ii. LEI, if any, or provide and describe other identifying number | 8-68810 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 833 | |
i. Full name | Invicta Capital, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-69923 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 834 | |
i. Full name | BD4RIA, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-70022 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 835 | |
i. Full name | XP Securities, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-68817 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 836 | |
i. Full name | Woodstock Financial Group, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-48080 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 837 | |
i. Full name | GLP Investment Services |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 838 | |
i. Full name | World Equity Group, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-44088 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
b. Has a shareholder servicing agent been hired or terminated during the reporting period? | ![]() ![]() |
Item C.14. Administrators.
a. Provide the following information about each administrator of the Fund: |
Administrators Record: 1 | |
i. Full name | JPMorgan Chase Bank, N.A. |
ii. LEI, if any, or other identifying number | 7H6GLXDRUGQFU57RNE97 |
Description of other identifying number | |
iii. State, if applicable | NEW YORK |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the administrator an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the administrator a sub-administrator? | ![]() ![]() |
Administrators Record: 2 | |
i. Full name | BlackRock Advisors, LLC |
ii. LEI, if any, or other identifying number | 5493001LN9MRM6A35J74 |
Description of other identifying number | |
iii. State, if applicable | DELAWARE |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the administrator an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the administrator a sub-administrator? | ![]() ![]() |
b.Has a third-party administrator been hired or terminated during the reporting period? | ![]() ![]() |
Item C.15. Affiliated broker-dealers.
Provide the following information about each affiliated broker-dealer: |
Broker Dealers Record: 1 | |
a. Full name | BlackRock Execution Services |
b. SEC file number | 8-48719 |
c. CRD number | 000039438 |
d. LEI, if any | 549300HFCRQ0NT5KY652 |
e. State, if applicable | NEW YORK |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0 |
Broker Dealers Record: 2 | |
a. Full name | BlackRock Investments, LLC |
b. SEC file number | 8-48436 |
c. CRD number | 000038642 |
d. LEI, if any | N/A |
e. State, if applicable | NEW YORK |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0 |
Item C.16. Brokers.
Instructions to Item C.16 and Item C.17. To help Registrants distinguish between agency and principal transactions, and to promote consistent reporting of the information required by these items, the following criteria should be used: 1. If a security is purchased or sold in a transaction for which the confirmation specifies the amount of the commission to be paid by the Registrant, the transaction should be considered an agency transaction and included in determining the answers to Item C.16. 2. If a security is purchased or sold in a transaction for which the confirmation specifies only the net amount to be paid or received by the Registrant and such net amount is equal to the market value of the security at the time of the transaction, the transaction should be considered a principal transaction and included in determining the amounts in Item C.17. 3. If a security is purchased by the Registrant in an underwritten offering, the acquisition should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the underwriters are receiving from the issuer. 4. If a security is sold by the Registrant in a tender offer, the sale should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the offeror is paying to soliciting brokers or dealers. 5. If a security is purchased directly from the issuer (such as a bank CD), the purchase should be considered a principal transaction and included in answering Item C.17. 6. The value of called or maturing securities should not be counted in either agency or principal transactions and should not be included in determining the amounts shown in Item C.16 and Item C.17. This means that the acquisition of a security may be included, but it is possible that its disposition may not be included. Disposition of a repurchase agreement at its expiration date should not be included. 7. The purchase or sales of securities in transactions not described in paragraphs (1) through (6) above should be evaluated by the Fund based upon the guidelines established in those paragraphs and classified accordingly. The agents considered in Item C.16 may be persons or companies not registered under the Exchange Act as securities brokers. The persons or companies from whom the investment company purchased or to whom it sold portfolio instruments on a principal basis may be persons or entities not registered under the Exchange Act as securities dealers. |
a. For each of the ten brokers that received the largest dollar amount of brokerage commissions (excluding dealer concessions in underwritings) by virtue of direct or indirect participation in the Fund’s portfolio transactions, provide the information below: |
i. Full name of broker | |
ii. SEC file number | |
iii. CRD number | |
iv. LEI, if any | |
v. State, if applicable | |
vi. Foreign country, if applicable | |
vii. Gross commissions paid by the Fund for the reporting period |
b. Aggregate brokerage commissions paid by Fund during the reporting period: | 0 |
Item C.17. Principal transactions.
a. For each of the ten entities acting as principals with which the Fund did the largest dollar amount of principal transactions (include all short-term obligations, and U.S. government and tax-free securities) in both the secondary market and in underwritten offerings, provide the information below: |
Principal Transactions Record: 1 | |
i. Full name of dealer | Morgan Stanley & Co., Inc. |
ii. SEC file number | 8-15869 |
iii. CRD number | 000008209 |
iv. LEI, if any | 9R7GPTSO7KV3UQJZQ078 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 106850000 |
Principal Transactions Record: 2 | |
i. Full name of dealer | Citigroup Global Markets, Inc. |
ii. SEC file number | 8-08177 |
iii. CRD number | 000007059 |
iv. LEI, if any | MBNUM2BPBDO7JBLYG310 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 214565000 |
Principal Transactions Record: 3 | |
i. Full name of dealer | BNY Mellon Capital Markets, LLC |
ii. SEC file number | 8-35255 |
iii. CRD number | 000017454 |
iv. LEI, if any | VJW2DOOHGDT6PR0ZRO63 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 42340000 |
Principal Transactions Record: 4 | |
i. Full name of dealer | Barclays Capital, Inc. |
ii. SEC file number | 8-41342 |
iii. CRD number | 000019714 |
iv. LEI, if any | AC28XWWI3WIBK2824319 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 324670000 |
Principal Transactions Record: 5 | |
i. Full name of dealer | National Financial Services LLC |
ii. SEC file number | 8-26740 |
iii. CRD number | 000013041 |
iv. LEI, if any | 549300JRHF1MHHWUAW04 |
v. State, if applicable | TEXAS |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 296175000 |
Principal Transactions Record: 6 | |
i. Full name of dealer | Jefferies LLC |
ii. SEC file number | 8-15074 |
iii. CRD number | 000002347 |
iv. LEI, if any | 58PU97L1C0WSRCWADL48 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 109240000 |
Principal Transactions Record: 7 | |
i. Full name of dealer | J.P. Morgan Securities LLC |
ii. SEC file number | 8-35008 |
iii. CRD number | 000000079 |
iv. LEI, if any | ZBUT11V806EZRVTWT807 |
v. State, if applicable | OHIO |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 501585000 |
Principal Transactions Record: 8 | |
i. Full name of dealer | RBC Capital Markets, LLC |
ii. SEC file number | 8-45411 |
iii. CRD number | 000031194 |
iv. LEI, if any | 549300LCO2FLSSVFFR64 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 70620000 |
Principal Transactions Record: 9 | |
i. Full name of dealer | Goldman Sachs & Co. LLC |
ii. SEC file number | 8-12900 |
iii. CRD number | 000000361 |
iv. LEI, if any | FOR8UP27PHTHYVLBNG30 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 163675000 |
Principal Transactions Record: 10 | |
i. Full name of dealer | Wells Fargo Securities LLC |
ii. SEC file number | 8-65876 |
iii. CRD number | 000126292 |
iv. LEI, if any | VYVVCKR63DVZZN70PB21 |
v. State, if applicable | NORTH CAROLINA |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 180715000 |
b. Aggregate value of principal purchase/sale transactions of Fund during the reporting period: | 2073825000 |
Item C.18. Payments for brokerage and research.
During the reporting period, did the Fund pay commissions to broker-dealers for "brokerage and research services" within the meaning of section 28(e) of the Exchange Act (15 U.S.C. 78bb)? | ![]() ![]() |
Item C.19. Average net assets.
a. Provide the Fund's (other than a money market fund's) monthly average net assets during the reporting period | |
b. Provide the money market fund's daily average net assets during the reporting period | 146579563.18 |
Item C.20. Lines of credit, interfund lending and interfund borrowing.
a. Does the Fund have available a line of credit? | ![]() ![]() |
b. Did the Fund engage in interfund lending? | ![]() ![]() |
c.Did the Fund engage in interfund borrowing? | ![]() ![]() |
Management Investment Record: 8 |
Item C.1. Background information.
a. Full Name of the Fund | MuniFund |
b. Series identication number, if any | S000001479 |
c. LEI | 549300WYN2ZXCN48WR70 |
d. Is this the first filing on this form by the Fund? | ![]() ![]() |
Item C.2. Classes of open-end management investment companies.
a. How many Classes of shares of the Fund (if any) are authorized? | 10 |
b. How many new Classes of shares of the Fund were added during the reporting period? | 0 |
c. How many Classes of shares of the Fund were terminated during the reporting period? | 0 |
d. For each Class with shares outstanding, provide the information requested below: | |
Shares Outstanding Record: 1 | |
i. Full name of Class | Dollar |
ii. Class identification number, if any | C000003962 |
iii. Ticker symbol, if any | MFDXX |
Shares Outstanding Record: 2 | |
i. Full name of Class | Institutional |
ii. Class identification number, if any | C000003960 |
iii. Ticker symbol, if any | MFTXX |
Shares Outstanding Record: 3 | |
i. Full name of Class | Private Client |
ii. Class identification number, if any | C000003961 |
iii. Ticker symbol, if any | BMPXX |
Shares Outstanding Record: 4 | |
i. Full name of Class | Premier |
ii. Class identification number, if any | C000003967 |
iii. Ticker symbol, if any | BLSXX |
Shares Outstanding Record: 5 | |
i. Full name of Class | Select |
ii. Class identification number, if any | C000003966 |
iii. Ticker symbol, if any | BMBXX |
Shares Outstanding Record: 6 | |
i. Full name of Class | Administration |
ii. Class identification number, if any | C000003963 |
iii. Ticker symbol, if any | BIAXX |
Item C.3. Type of fund.
Instructions. 1. "Fund of Funds" means a fund that acquires securities issued by any other investment company in excess of the amounts permitted under paragraph (A) of section 12(d)(1) of the Act (15 U.S.C. 80a-12(d)(1)(A)), but, for purposes of this Item, does not include a fund that acquires securities issued by another company solely in reliance on rule 12d1-1 under the Act (CFR 270.12d1-1). 2. "Index Fund" means an investment company, including an Exchange-Traded Fund, that seeks to track the performance of a specified index. 3. "Interval Fund" means a closed-end management investment company that makes periodic repurchases of its shares pursuant to rule 23c-3 under the Act (17 CFR 270.23c-3). 4. "Master-Feeder Fund" means a two-tiered arrangement in which one or more funds (each a feeder fund) holds shares of a single Fund (the master fund) in accordance with section 12(d)(1)(E) of the Act (15 U.S.C. 80a-12(d)(1)(E)) or pursuant to exemptive relief granted by the Commission. 5. "Target Date Fund" means an investment company that has an investment objective or strategy of providing varying degrees of long-term appreciation and capital preservation through a mix of equity and fixed income exposures that changes over time based on an investor's age, target retirement date, or life expectancy. |
Indicate if the Fund is any one of the types listed below. Check all that apply. |
a. Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund i. ![]() ii. ![]() b. ![]() c. ![]() d. ![]() e. ![]() f. ![]() g. ![]() h. ![]() i. ![]() ![]() |
Item C.4. Diversification.
Does the Fund seek to operate as a “non-diversified company” as such term is defined in section 5(b)(2) of the Act (15 U.S.C. 80a- 5(b) (2))? | ![]() ![]() |
Item C.5. Investments in certain foreign corporations.
Instruction. "Controlled foreign corporation" has the meaning provided in section 957 of the Internal Revenue Code [26 U.S.C. 957]. |
a. Does the fund invest in a controlled foreign corporation for the purpose of investing in certain types of instruments such as, but not limited to, commodities? | ![]() ![]() |
Item C.6. Securities lending.
Instruction. For purposes of this Item, other adverse impacts would include, for example, (1) a loss to the Fund if collateral and indemnification were not sufficient to replace the loaned securities or their value, (2) the Fund's ineligibility to vote shares in a proxy, or (3) the Fund's ineligibility to receive a direct distribution from the issuer. |
a. Is the Fund authorized to engage in securities lending transactions? | ![]() ![]() |
b. Did the Fund lend any of its securities during the reporting period? | ![]() ![]() |
c. Provide the information requested below about each securities lending agent, if any, retained by the Fund: |
Securities Lending Record: 1 | |
i. Full name of securities lending agent | BlackRock Investment Management, LLC |
ii. LEI, if any | 5493006MRTEZZ4S4CQ20 |
iii. Is the securities lending agent an affiliated person, or an affiliated person of an affiliated person, of the Fund? | ![]() ![]() |
iv. Does the securities lending agent or any other entity indemnify the fund against borrower default on loans administered by this agent? | ![]() ![]() |
v. If the entity providing the indemnification is not the securities lending agent, provide the following information: |
Idemnity Providers Record: 1 |
1. Name of person providing indemnification | N/A |
2. LEI, if any, of person providing indemnification | N/A |
vi. Did the Fund exercise its indemnification rights during the reporting period? | ![]() ![]() |
d. If a person providing cash collateral management services to the Fund in connection with the Fund's securities lending activities does not also serve as securities lending agent, provide the following information about each cash collateral manager: |
i. Full name of cash collateral manager: | |
ii. LEI, if any: | |
iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund? | ![]() ![]() |
iv. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of the Fund? | ![]() ![]() |
e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply): | ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
If other, describe: | Rebates paid to borrowers |
f. Provide the monthly average of the value of portfolio securities on loan during the reporting period | N/A |
g. Provide the net income from securities lending activities | N/A |
Item C.7. Reliance on certain rules.
Did the Fund rely on any of the following rules under the Act during the reporting period? (check all that apply) | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Item C.8. Expense limitations.
Instruction. Provide information concerning any direct or indirect limitations, waivers or reductions, on the level of expenses incurred by the fund during the reporting period. A limitation, for example, may be applied indirectly (such as when an adviser agrees to accept a reduced fee pursuant to a voluntary fee waiver) or it may apply only for a temporary period such as for a new fund in its start-up phase. |
a. Did the Fund have an expense limitation arrangement in place during the reporting period? | ![]() ![]() |
b. Were any expenses of the Fund reduced or waived pursuant to an expense limitation arrangement during the reporting period? | ![]() ![]() |
c. Are the fees waived subject to recoupment? | ![]() ![]() |
d. Were any expenses previously waived recouped during the period? | ![]() ![]() |
Item C.9. Investment advisers.
a. Provide the following information about each investment adviser (other than a sub-adviser) of the Fund: |
Investment Advisers Record: 1 | |
i. Full name | BlackRock Advisors, LLC |
ii. SEC file number ( e.g., 801- ) | 801-47710 |
iii.CRD number | 000106614 |
iv. LEI, if any | 5493001LN9MRM6A35J74 |
v. State, if applicable | DELAWARE |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Was the investment adviser hired during the reporting period? | ![]() ![]() |
b. If an investment adviser (other than a sub- adviser) to the Fund was terminated during the reporting period, provide the following with respect to each investment adviser: |
i. Full name | |
ii. SEC file number ( e.g., 801- ) | |
iii. CRD number | |
iv. LEI, if any | |
v. State, if applicable | |
vi. Foreign country, if applicable | |
vii. Termination date |
c. For each sub-adviser to the Fund, provide the information requested: |
i. Full name | |
ii. SEC file number ( e.g., 801- ), if applicable | |
iii. CRD number | |
iv. LEI, if any | |
v. State, if applicable | |
vi. Foreign country, if applicable | |
vii. Is the sub-adviser an affiliated person of the Fund's investment adviser(s)? | ![]() ![]() |
viii. Was the sub-adviser hired during the reporting period? | ![]() ![]() |
d. If a sub-adviser was terminated during the reporting period, provide the following with respect to such sub-adviser: |
i. Full name | |
ii. SEC file number ( e.g., 801- ) | |
iii. CRD number | |
iv. LEI, if any | |
v. State, if applicable | |
vi. Foreign country, if applicable | |
vii. Termination date |
Item C.10. Transfer agents.
a. Provide the following information about each person providing transfer agency services to the Fund: |
Transfer Agents Record: 1 | |
i. Full name | BNY Mellon Investment Servicing (US) Inc. |
ii.SEC file number ( e.g., 84- or 85- ) | 84-01761 |
iii. LEI, if any | 549300CFZQLI9QMJ1Z03 |
iv. State, if applicable | DELAWARE |
v. Foreign country, if applicable | UNITED STATES OF AMERICA |
vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vii. Is the transfer agent a sub-transfer agent? | ![]() ![]() |
b. Has a transfer agent been hired or terminated during the reporting period? | ![]() ![]() |
Item C.11. Pricing services.
a. Provide the following information about each person that provided pricing services to the Fund during the reporting period: |
Pricing Services Record: 1 | |
i. Full name | ICE Data Pricing & Reference Data, LLC |
ii. LEI, if any, or provide and describe other identifying number | 5493000NQ9LYLDBCTL34 |
Description of other identifying number | |
iii. State, if applicable | NEW YORK |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
b. Was a pricing service hired or terminated during the reporting period? | ![]() ![]() |
Item C.12. Custodians.
a. Provide the following information about each person that provided custodial services to the Fund during the reporting period: |
Custodians Record: 1 | |
i. Full name | JPMorgan Chase Bank, N.A. |
ii. LEI, if any | 7H6GLXDRUGQFU57RNE97 |
iii. State, if applicable | NEW YORK |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 2 | |
i. Full name | The Bank of New York Mellon |
ii. LEI, if any | HPFHU0OQ28E4N0NFVK49 |
iii. State, if applicable | NEW YORK |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
b. Has a custodian been hired or terminated during the reporting period?* | ![]() ![]() |
Item C.13. Shareholder servicing agents.
a. Provide the following information about each shareholder servicing agent of the Fund: |
Shareholder servicing agents Record: 1 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 2 | |
i. Full name | B.C. Ziegler & Company |
ii. LEI, if any, or provide and describe other identifying number | 8-00094 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 3 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 4 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 5 | |
i. Full name | CIBC World Markets Corp. |
ii. LEI, if any, or provide and describe other identifying number | 8-18333 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 6 | |
i. Full name | Cetera Financial Specialists LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-27082 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 7 | |
i. Full name | Citigroup Global Markets Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-08177 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 8 | |
i. Full name | David A. Noyes & Company |
ii. LEI, if any, or provide and describe other identifying number | 8-22752 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 9 | |
i. Full name | D.H. Hill Securities LLP |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 10 | |
i. Full name | Essex Securities LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-51472 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 11 | |
i. Full name | Feldstein Financial Group, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-53388 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 12 | |
i. Full name | Family Investors Company |
ii. LEI, if any, or provide and describe other identifying number | 8-11190 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 13 | |
i. Full name | Financial Northeastern Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-34883 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 14 | |
i. Full name | Gilbert, Doniger & Co., Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-22326 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 15 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 16 | |
i. Full name | International Assets Advisory, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-27736 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 17 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 18 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 19 | |
i. Full name | Invex, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-44695 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 20 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 21 | |
i. Full name | Investment Professionals, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-44786 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 22 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 23 | |
i. Full name | Larson Financial Securities, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-68456 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 24 | |
i. Full name | L. B. Fisher & Company |
ii. LEI, if any, or provide and describe other identifying number | 8-21023 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 25 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 26 | |
i. Full name | Morgan Stanley Smith Barney LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-68191 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 27 | |
i. Full name | Navy Federal Brokerage 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 28 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 29 | |
i. Full name | Pershing Advisor Solutions, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-47425 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 30 | |
i. Full name | Planmember Securities Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-25065 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 31 | |
i. Full name | Podesta & Co. |
ii. LEI, if any, or provide and describe other identifying number | 8-28860 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 32 | |
i. Full name | Prospera Financial Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-28164 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 33 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 34 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 35 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 36 | |
i. Full name | Roberts & Ryan Investments Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-37469 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 37 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 38 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 39 | |
i. Full name | Sweney Cartwright & Company |
ii. LEI, if any, or provide and describe other identifying number | 8-03150 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 40 | |
i. Full name | TCFG Wealth Management, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-69089 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 41 | |
i. Full name | Synovus Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-34709 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 42 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 43 | |
i. Full name | Umpqua Investments, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-02915 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 44 | |
i. Full name | Weller, Anderson & Co., 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 45 | |
i. Full name | WedBush Securities Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-12987 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 46 | |
i. Full name | Hartford Funds Management Company, LLC |
ii. LEI, if any, or provide and describe other identifying number | 801-77209 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 47 | |
i. Full name | Fifth Third Bank |
ii. LEI, if any, or provide and describe other identifying number | QFROUN1UWUYU0DVIWD51 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 48 | |
i. Full name | Invicta Capital, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-69923 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 49 | |
i. Full name | Axiom Capital Management, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-42638 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 50 | |
i. Full name | BAC Florida Investments |
ii. LEI, if any, or provide and describe other identifying number | 8-37483 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 51 | |
i. Full name | Benchmark Investments, Inc. |
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 | 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 52 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 53 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 54 | |
i. Full name | Aon Benfield Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-14953 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 55 | |
i. Full name | BCG Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-12680 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 56 | |
i. Full name | Capitol Securities Management, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-30353 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 57 | |
i. Full name | Apex Clearing Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-23522 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 58 | |
i. Full name | Carty & Company, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-19082 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 59 | |
i. Full name | BancWest Investment Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-44261 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 60 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 61 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 62 | |
i. Full name | Comprehensive Asset Management and Servicing, 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 63 | |
i. Full name | BFT Financial Group, 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 64 | |
i. Full name | Berthel, Fisher & Company Financial Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-29426 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 65 | |
i. Full name | Cutter & Company Brokerage, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-39590 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 66 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 67 | |
i. Full name | CGIS Securities LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-68758 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 68 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 69 | |
i. Full name | Citizens Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-48744 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 70 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 71 | |
i. Full name | Dougherty & Company LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-21937 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 72 | |
i. Full name | Farmers Financial Solutions, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-52361 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 73 | |
i. Full name | Cambridge Investment Research, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-48740 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 74 | |
i. Full name | Empire Asset Management Company |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 75 | |
i. Full name | First Manhattan Co. |
ii. LEI, if any, or provide and describe other identifying number | 8-10438 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 76 | |
i. Full name | Alight Solutions LLC |
ii. LEI, if any, or provide and describe other identifying number | 084-01996 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 77 | |
i. Full name | Detalus Securities, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-52180 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 78 | |
i. Full name | Duncan-Williams, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-18971 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 79 | |
i. Full name | CUNA Brokerage Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-30027 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 80 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 81 | |
i. Full name | Arque Capital, Ltd. |
ii. LEI, if any, or provide and describe other identifying number | 8-65390 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 82 | |
i. Full name | FNBB Capital Markets, LLC |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 83 | |
i. Full name | Donegal Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-66137 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 84 | |
i. Full name | Hapoalim Securities USA, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-03018 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 85 | |
i. Full name | Arete Wealth Management, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-50854 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 86 | |
i. Full name | First Honolulu Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-23919 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 87 | |
i. Full name | Barclays Capital Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-41342 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 88 | |
i. Full name | Hornor, Townsend & Kent, Inc. |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 89 | |
i. Full name | Fieldpoint Private 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 90 | |
i. Full name | Landaas & Company |
ii. LEI, if any, or provide and describe other identifying number | 8-51826 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 91 | |
i. Full name | BMO Harris Financial Advisors, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-67064 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 92 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 93 | |
i. Full name | Great Pacific Securities |
ii. LEI, if any, or provide and describe other identifying number | 8-44398 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 94 | |
i. Full name | G. W. & 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 95 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 96 | |
i. Full name | Lieblong & Associates, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-49880 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 97 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 98 | |
i. Full name | Bodell Overcash Anderson & Co., Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-15775 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 99 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 100 | |
i. Full name | Keel Point Capital, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-22990 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 101 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 102 | |
i. Full name | Monex Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-44874 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 103 | |
i. Full name | MidWestern Securities Trading Company, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-52074 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 104 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 105 | |
i. Full name | Boenning & Scattergood, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-15543 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 106 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 107 | |
i. Full name | NYLife Distributors LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-46655 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 108 | |
i. Full name | Cascade Financial Management, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-53730 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 109 | |
i. Full name | D.A. Davidson & Co. |
ii. LEI, if any, or provide and describe other identifying number | 8-02399 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 110 | |
i. Full name | Lantern Investments, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-45285 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 111 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 112 | |
i. Full name | Marsco Investment Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-36754 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 113 | |
i. Full name | Herbert J. Sims & Co. Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-03315 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 114 | |
i. Full name | Fairport Capital, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-32162 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 115 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 116 | |
i. Full name | Fiduciary Trust International |
ii. LEI, if any, or provide and describe other identifying number | N1YKEWO2IYPRS4742F57 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 117 | |
i. Full name | Nationwide Securities, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-12500 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 118 | |
i. Full name | NIA Securities, L.L.C. |
ii. LEI, if any, or provide and describe other identifying number | 8-50591 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 119 | |
i. Full name | Independent Financial Group, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-22870 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 120 | |
i. Full name | Neidiger, Tucker, Bruner, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-21884 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 121 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 122 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 123 | |
i. Full name | Arvest Investments, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-49677 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 124 | |
i. Full name | Ohanesian / Lecours, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-40729 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 125 | |
i. Full name | Liberty Capital Investment Corporation |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 126 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 127 | |
i. Full name | First Kentucky Securities Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-22224 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 128 | |
i. Full name | BB&T Securities, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-67486 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 129 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 130 | |
i. Full name | Regulus Advisors, 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 131 | |
i. Full name | FSB Warner Financial, 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 132 | |
i. Full name | Maplewood Investment Advisors, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-52221 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 133 | |
i. Full name | Reliance Trust Company |
ii. LEI, if any, or provide and describe other identifying number | 549300NV8FSQRNOUQO50 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 134 | |
i. Full name | Mack Investment Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-35536 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 135 | |
i. Full name | Fortune Financial Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-49727 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 136 | |
i. Full name | BBVA Securities Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-42857 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 137 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 138 | |
i. Full name | Caldwell Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-27639 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 139 | |
i. Full name | Safra Securities LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-51935 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 140 | |
i. Full name | Samuel A Ramirez & Co., Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-19014 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 141 | |
i. Full name | Goldman Sachs & Co. LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-00129 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 142 | |
i. Full name | Stannard Financial Services, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-50654 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 143 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 144 | |
i. Full name | North South Capital, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-67979 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 145 | |
i. Full name | Northern Trust Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-23689 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 146 | |
i. Full name | Meridien Financial Group, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-26090 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 147 | |
i. Full name | Hunter Associates, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-44779 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 148 | |
i. Full name | NorthWestern Mutual Investment Services, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-14088 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 149 | |
i. Full name | Capital Institutional Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-22273 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 150 | |
i. Full name | Hennion & Walsh, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-41988 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 151 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 152 | |
i. Full name | Centaurus Financial, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-45185 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 153 | |
i. Full name | The Lawrence D. Vitez Corp. DBA Consolidated Securities |
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 | 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 154 | |
i. Full name | Paradigm Equities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-45593 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 155 | |
i. Full name | Pension Dynamics Securities Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-52535 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 156 | |
i. Full name | The GMS Group, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-23936 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 157 | |
i. Full name | Herndon Plant Oakley, LTD |
ii. LEI, if any, or provide and describe other identifying number | 8-50912 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 158 | |
i. Full name | Key West Investments, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-68166 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 159 | |
i. Full name | Charles Schwab & Co., Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-16514 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 160 | |
i. Full name | Buckman, Buckman & Reid, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-40413 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 161 | |
i. Full name | Lockton Financial Advisors, 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 162 | |
i. Full name | Petersen Investments, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-48306 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 163 | |
i. Full name | Portfolio Resources Group, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-45380 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 164 | |
i. Full name | Insight Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-16247 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 165 | |
i. Full name | TRG Advisors, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-50449 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 166 | |
i. Full name | Joseph Gunnar & Co. LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-41386 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 167 | |
i. Full name | UBS AG, New York Branch |
ii. LEI, if any, or provide and describe other identifying number | BFM8T61CT2L1QCEMIK50 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 168 | |
i. Full name | Unionbanc Investment Services, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-30706 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 169 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 170 | |
i. Full name | Kovitz Securities, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-66267 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 171 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 172 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 173 | |
i. Full name | Legacy Asset Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-51871 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 174 | |
i. Full name | Purshe Kaplan Sterling Investments |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 175 | |
i. Full name | Coburn & Meredith, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-02474 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 176 | |
i. Full name | Repex & Co., Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-26431 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 177 | |
i. Full name | VBC Securities, LLC |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 178 | |
i. Full name | Regions Bank |
ii. LEI, if any, or provide and describe other identifying number | EQTWLK1G7ODGC2MGLV11 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 179 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 180 | |
i. Full name | Rodgers Brothers, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-33475 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 181 | |
i. Full name | Woodlands Securities Corporation |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 182 | |
i. Full name | Comerica Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-35001 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 183 | |
i. Full name | Voya Retirement Insurance and Annuity Company |
ii. LEI, if any, or provide and describe other identifying number | OK3MKCDYPD4NN6QDGK18 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 184 | |
i. Full name | Middlegate Securities Ltd. |
ii. LEI, if any, or provide and describe other identifying number | 8-39031 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 185 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 186 | |
i. Full name | Crestone Securities |
ii. LEI, if any, or provide and describe other identifying number | 8-52463 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 187 | |
i. Full name | Country Club Financial Services, 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 188 | |
i. Full name | Conover Securities Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-35085 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 189 | |
i. Full name | Shareholders Service Group, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-65778 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 190 | |
i. Full name | Hartford Life Insurance Company |
ii. LEI, if any, or provide and describe other identifying number | 8CE7JPU9IU72L3PPD756 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 191 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 192 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 193 | |
i. Full name | SKA Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-53366 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 194 | |
i. Full name | AssetMark Trust Company |
ii. LEI, if any, or provide and describe other identifying number | N/A |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 195 | |
i. Full name | Silber Bennett Financial, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-68795 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 196 | |
i. Full name | Sycamore Financial Group |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 197 | |
i. Full name | Benefit Plans Administrative Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | N/A |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 198 | |
i. Full name | Monere Investments, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-52982 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 199 | |
i. Full name | Mora WM Securities, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-68910 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 200 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 201 | |
i. Full name | Hightower Securities, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-53560 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 202 | |
i. Full name | Foresters Financial Services |
ii. LEI, if any, or provide and describe other identifying number | 8-13891 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 203 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 204 | |
i. Full name | H. Beck, Inc. |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 205 | |
i. Full name | Financial Services International Corp. |
ii. LEI, if any, or provide and describe other identifying number | 8-48032 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 206 | |
i. Full name | Kercheville & Company, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-32795 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 207 | |
i. Full name | People's Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-29667 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 208 | |
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 | NEW HAMPSHIRE |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 209 | |
i. Full name | Oscar Gruss & Son Incorporated |
ii. LEI, if any, or provide and describe other identifying number | 8-22371 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 210 | |
i. Full name | American Wealth Management |
ii. LEI, if any, or provide and describe other identifying number | 8-41807 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 211 | |
i. Full name | Transamerica Financial Advisors, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-33429 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 212 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 213 | |
i. Full name | Wells Fargo Bank, N.A. |
ii. LEI, if any, or provide and describe other identifying number | KB1H1DSPRFMYMCUFXT09 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 214 | |
i. Full name | Planned Investment Co., Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-15266 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 215 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 216 | |
i. Full name | Mid-Atlantic Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-36997 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 217 | |
i. Full name | MerCap Securities |
ii. LEI, if any, or provide and describe other identifying number | 8-68810 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 218 | |
i. Full name | William C. Burnside & Company, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-21242 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 219 | |
i. Full name | Lara, May & Associates, 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 220 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 221 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 222 | |
i. Full name | Rhodes Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-37689 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 223 | |
i. Full name | Security Distributors, Inc. |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 224 | |
i. Full name | Southeast Investments, N.C., Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-50127 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 225 | |
i. Full name | World Choice Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-45235 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 226 | |
i. Full name | World Trend Financial Planning Services, Ltd. |
ii. LEI, if any, or provide and describe other identifying number | 8-43693 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 227 | |
i. Full name | Sammons Retirement Solutions, Inc. |
ii. LEI, if any, or provide and describe other identifying number | N/A |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 228 | |
i. Full name | BD4RIA, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-70022 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 229 | |
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 | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 230 | |
i. Full name | GLP Investment Services |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 231 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 232 | |
i. Full name | The Oak Ridge Financial Services Group, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-50082 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 233 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 234 | |
i. Full name | TIAA-CREF Individual & Institutional Services, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-44454 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 235 | |
i. Full name | MMC Securities Corp. |
ii. LEI, if any, or provide and describe other identifying number | 8-52349 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 236 | |
i. Full name | Keystone Capital 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 237 | |
i. Full name | Harvest Financial Corporation |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 238 | |
i. Full name | JHW Financial Services Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-45304 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 239 | |
i. Full name | NPB Financial Group, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-67113 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 240 | |
i. Full name | Piper Jaffray & Co. |
ii. LEI, if any, or provide and describe other identifying number | 8-15204 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 241 | |
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 | 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 242 | |
i. Full name | Peak Brokerage Services, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-68829 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 243 | |
i. Full name | Northern Capital Securities Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-49130 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 244 | |
i. Full name | OFG Financial Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-40770 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 245 | |
i. Full name | Princor Financial Services Corporation |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 246 | |
i. Full name | RIM Securities LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-36759 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 247 | |
i. Full name | VOYA Financial Advisors, 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 248 | |
i. Full name | Vanderbilt Securities, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-16712 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 249 | |
i. Full name | P. R. Herzig & Co. Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-22589 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 250 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 251 | |
i. Full name | Wayne Hummer Investments, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-00484 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 252 | |
i. Full name | Sentinel Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-53142 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 253 | |
i. Full name | Wheelhouse Securities Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-68105 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 254 | |
i. Full name | Sigma Financial Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-30466 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 255 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 256 | |
i. Full name | SWBC Investment Services, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-66764 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 257 | |
i. Full name | Charles Schwab Bank |
ii. LEI, if any, or provide and describe other identifying number | 549300INFJ8TYNZ1G568 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 258 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 259 | |
i. Full name | The Garbacz Group Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-42366 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 260 | |
i. Full name | The Tavenner Company |
ii. LEI, if any, or provide and describe other identifying number | 8-41206 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 261 | |
i. Full name | Vorpahl Wing Securities |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 262 | |
i. Full name | Digital Retirement Solutions, Inc. |
ii. LEI, if any, or provide and describe other identifying number | N/A |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 263 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 264 | |
i. Full name | Wells Fargo Securities, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-65876 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 265 | |
i. Full name | SunTrust 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 266 | |
i. Full name | Great-West Financial Retirement Plan Services, LLC |
ii. LEI, if any, or provide and describe other identifying number | N/A |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 267 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 268 | |
i. Full name | Bruderman Brothers, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-51974 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 269 | |
i. Full name | Supreme Alliance, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-51046 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 270 | |
i. Full name | ADCAP Securities |
ii. LEI, if any, or provide and describe other identifying number | 8-51285 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 271 | |
i. Full name | Access Financial Group, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-46065 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 272 | |
i. Full name | Arive Capital Markets |
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 | 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 273 | |
i. Full name | Ameriprise Financial Services, Inc. |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 274 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 275 | |
i. Full name | Arkadios Capital |
ii. LEI, if any, or provide and describe other identifying number | 8-69729 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 276 | |
i. Full name | Citizens Bank |
ii. LEI, if any, or provide and describe other identifying number | DRMSV1Q0EKMEXLAU1P80 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 277 | |
i. Full name | BMO Harris Bank |
ii. LEI, if any, or provide and describe other identifying number | 3Y4U8VZURTYWI1W2K376 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 278 | |
i. Full name | Bill Few Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-49625 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 279 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 280 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 281 | |
i. Full name | Alerus Securities |
ii. LEI, if any, or provide and describe other identifying number | 8-47152 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 282 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 283 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 284 | |
i. Full name | Callaway Financial Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-52474 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 285 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 286 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 287 | |
i. Full name | BC Securities, Inc. (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 | 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 288 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 289 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 290 | |
i. Full name | Cary Street Partners LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-66085 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 291 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 292 | |
i. Full name | DWS Investments Distributors, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-47765 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 293 | |
i. Full name | Commerce Brokerage Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-35096 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 294 | |
i. Full name | E. E. Powell & Company Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-01893 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 295 | |
i. Full name | CoreCap Investments, Inc. |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 296 | |
i. Full name | Corinthian Partners, L.L.C. |
ii. LEI, if any, or provide and describe other identifying number | 8-48461 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 297 | |
i. Full name | CRI Securities, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-39877 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 298 | |
i. Full name | Calton & Associates, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-38635 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 299 | |
i. Full name | Bristol Financial Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-67140 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 300 | |
i. Full name | Capital Financial Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-25203 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 301 | |
i. Full name | Crews & Associates, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-24075 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 302 | |
i. Full name | Bolton Securities Corp. |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 303 | |
i. Full name | Crescent Securities Group |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 304 | |
i. Full name | Credit Suisse Securities (USA) LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-00422 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 305 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 306 | |
i. Full name | Broker Dealer Financial Services Corp. |
ii. LEI, if any, or provide and describe other identifying number | 8-24220 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 307 | |
i. Full name | CFT Securities, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-51345 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 308 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 309 | |
i. Full name | DesPain Financial Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-37056 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 310 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 311 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 312 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 313 | |
i. Full name | Edwin C. Blitz Investments, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-22741 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 314 | |
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 | 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 315 | |
i. Full name | D.M. Kelly & Company |
ii. LEI, if any, or provide and describe other identifying number | 8-48398 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 316 | |
i. Full name | E*Trade Savings Bank |
ii. LEI, if any, or provide and describe other identifying number | 549300DXPO50FJ75QA85 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 317 | |
i. Full name | Freimark Blair & Company, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-28646 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 318 | |
i. Full name | FCG Advisors, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-49104 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 319 | |
i. Full name | Excel Securities & Associates, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-34261 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 320 | |
i. Full name | Hancock Bank Corporation |
ii. LEI, if any, or provide and describe other identifying number | 549300GRNBWY8HIICT41 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 321 | |
i. Full name | Federated Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-15644 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 322 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 323 | |
i. Full name | Geoffrey Richards Securities Corp. |
ii. LEI, if any, or provide and describe other identifying number | 8-65251 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 324 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 325 | |
i. Full name | First Allied Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-46167 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 326 | |
i. Full name | Hancock Investment Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-49106 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 327 | |
i. Full name | GRF Capital Investors, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-41494 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 328 | |
i. Full name | City National Bank |
ii. LEI, if any, or provide and describe other identifying number | 593C3GZG957YOJPS2Z63 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 329 | |
i. Full name | Folger Nolan Fleming Douglas Incorporated |
ii. LEI, if any, or provide and describe other identifying number | 8-03335 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 330 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 331 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 332 | |
i. Full name | First Western Advisors |
ii. LEI, if any, or provide and describe other identifying number | 8-28729 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 333 | |
i. Full name | Hazlett, Burt & Watson, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-17737 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 334 | |
i. Full name | H. C. Denison Co. |
ii. LEI, if any, or provide and describe other identifying number | 8-00044 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 335 | |
i. Full name | FolioFN 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 336 | |
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 | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 337 | |
i. Full name | IDB Capital Corp. |
ii. LEI, if any, or provide and describe other identifying number | 8-53000 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 338 | |
i. Full name | Hilltop Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-45123 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 339 | |
i. Full name | Avalon Investment & Securities Group, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-17078 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 340 | |
i. Full name | Investacorp, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-22598 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 341 | |
i. Full name | Innovation Partners LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-67812 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 342 | |
i. Full name | Highlander Capital Group, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-37169 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 343 | |
i. Full name | JJB Hilliard WL Lyons |
ii. LEI, if any, or provide and describe other identifying number | 8-33133 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 344 | |
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 | |
iv. Foreign country, if applicable | UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND |
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 345 | |
i. Full name | Investment Planners, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-35642 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 346 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 347 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 348 | |
i. Full name | LPL Financial LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-17668 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 349 | |
i. Full name | LaSalle St. Securities, L.L.C. |
ii. LEI, if any, or provide and describe other identifying number | 8-18860 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 350 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 351 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 352 | |
i. Full name | Inverness Securities, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-66278 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 353 | |
i. Full name | Horace Mann Life Insurance Co. |
ii. LEI, if any, or provide and describe other identifying number | 5493000HR2JKKNH2FL09 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 354 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 355 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 356 | |
i. Full name | MBSC Securities Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-13801 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 357 | |
i. Full name | Landolt Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-43645 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 358 | |
i. Full name | Loring Ward Securities Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-51381 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 359 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 360 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 361 | |
i. Full name | Lexington Investment Company, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-43085 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 362 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 363 | |
i. Full name | 1st Global Capital Corp. |
ii. LEI, if any, or provide and describe other identifying number | 8-44870 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 364 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 365 | |
i. Full name | Madison Avenue Securities, Inc. |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 366 | |
i. Full name | Mid-Atlantic Clearing & Settlement Corp. |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 367 | |
i. Full name | Maxim Group LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-65337 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 368 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 369 | |
i. Full name | Northeast Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-42227 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 370 | |
i. Full name | Neuberger Berman LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-01068 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 371 | |
i. Full name | National Financial Services, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-26740 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 372 | |
i. Full name | NBC Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-35870 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 373 | |
i. Full name | Nationwide Planning Associates Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-45310 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 374 | |
i. Full name | M&T Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-35185 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 375 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 376 | |
i. Full name | M. S. Howells & Co. |
ii. LEI, if any, or provide and describe other identifying number | 8-52558 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 377 | |
i. Full name | American Enterprise Investment Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-42582 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 378 | |
i. Full name | American Independent Securities Group, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-66905 |
Description of other identifying number | SEC File Number |
iii. State, if applicable | IDAHO |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 379 | |
i. Full name | Means Investment Co., Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-27458 |
Description of other identifying number | SEC File Number |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 380 | |
i. Full name | NYLife Securities LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-15517 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 381 | |
i. Full name | Northland Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-48994 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 382 | |
i. Full name | American Capital Partners, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-65165 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 383 | |
i. Full name | American Century Investment Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-35220 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 384 | |
i. Full name | Oberweis Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-49679 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 385 | |
i. Full name | Pacific Financial Associates, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-40712 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 386 | |
i. Full name | Quincy Cass Associates, Incorporated |
ii. LEI, if any, or provide and describe other identifying number | 8-05743 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 387 | |
i. Full name | Northwest Investment Advisors, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-65282 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 388 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 389 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 390 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 391 | |
i. Full name | Raymond James & Associates, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-10999 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 392 | |
i. Full name | Place Trade Financial, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-65915 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 393 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 394 | |
i. Full name | PFS Investments Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-26486 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 395 | |
i. Full name | Centennial Securities Company, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-23406 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 396 | |
i. Full name | Register Financial Associates, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-45012 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 397 | |
i. Full name | ACP Securities, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-67185 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 398 | |
i. Full name | BestVest Investments, Ltd. |
ii. LEI, if any, or provide and describe other identifying number | 8-49007 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 399 | |
i. Full name | Queens Road Securities, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-52737 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 400 | |
i. Full name | PWA Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-67700 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 401 | |
i. Full name | Pruco Securities, LLC. |
ii. LEI, if any, or provide and describe other identifying number | 8-16402 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 402 | |
i. Full name | American Portfolios Financial Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-37085 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 403 | |
i. Full name | R.M. Stark & Co., Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-22543 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 404 | |
i. Full name | Bernard Herold & Co., Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-17005 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 405 | |
i. Full name | Rehmann Financial Network |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 406 | |
i. Full name | Sage, Rutty & Co., 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 407 | |
i. Full name | Securities Service Network, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-28980 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 408 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 409 | |
i. Full name | RF Lafferty & Co |
ii. LEI, if any, or provide and describe other identifying number | 8-25581 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 410 | |
i. Full name | Reliance Worldwide Investments, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-67575 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 411 | |
i. Full name | Ross, Sinclaire & Associates, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-41740 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 412 | |
i. Full name | Rogan & Associates, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-49995 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 413 | |
i. Full name | C. R. Davis & Company |
ii. LEI, if any, or provide and describe other identifying number | 8-859 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 414 | |
i. Full name | Sabadell Securities USA, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-67975 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 415 | |
i. Full name | Rothschild Investment Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-16429 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 416 | |
i. Full name | Cadaret, Grant & Co., Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-27844 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 417 | |
i. Full name | Simmons First Investment Group, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-51795 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 418 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 419 | |
i. Full name | Sanders Morris Harris Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-38325 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 420 | |
i. Full name | Cascade Investment Group, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-46943 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 421 | |
i. Full name | Century Securities Associates, Inc. |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 422 | |
i. Full name | CBIZ Financial Solutions, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-34205 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 423 | |
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 | PUERTO RICO |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 424 | |
i. Full name | Slavic Investment Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-40024 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 425 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 426 | |
i. Full name | Stifel, Nicolaus & Company, Incorporated |
ii. LEI, if any, or provide and describe other identifying number | 8-01447 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 427 | |
i. Full name | Securities Research, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-23699 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 428 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 429 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 430 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 431 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 432 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 433 | |
i. Full name | Securian Financial Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-31955 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 434 | |
i. Full name | TD Ameritrade, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-23395 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 435 | |
i. Full name | Essex Financial Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-66015 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 436 | |
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 | 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 437 | |
i. Full name | SG Americas Securities, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-66125 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 438 | |
i. Full name | The Huntington Investment Company |
ii. LEI, if any, or provide and describe other identifying number | 8-34867 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 439 | |
i. Full name | Etico Partners, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-65500 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 440 | |
i. Full name | TCM Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-50313 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 441 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 442 | |
i. Full name | Superior Financial Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-52618 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 443 | |
i. Full name | TradeStation Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-48711 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 444 | |
i. Full name | Davenport & Company LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-17103 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 445 | |
i. Full name | Detwiler Fenton & Co. |
ii. LEI, if any, or provide and describe other identifying number | 8-16324 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 446 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 447 | |
i. Full name | TrustCore Investments, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-32152 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 448 | |
i. Full name | TD Ameritrade Clearing, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-16335 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 449 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 450 | |
i. Full name | Dorsey & Company, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-07541 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 451 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 452 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 453 | |
i. Full name | Fidelity Brokerage Services LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-23292 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 454 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 455 | |
i. Full name | Titleist Asset Management, Ltd. |
ii. LEI, if any, or provide and describe other identifying number | 8-65859 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 456 | |
i. Full name | Univest Investments, Inc. |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 457 | |
i. Full name | Feltl & Company |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 458 | |
i. Full name | The O.N. Equity Sales Company |
ii. LEI, if any, or provide and describe other identifying number | 8-14161 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 459 | |
i. Full name | U.S. Bancorp Investments, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-35359 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 460 | |
i. Full name | David Lerner Associates, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-20746 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 461 | |
i. Full name | Fidelity Investments Life |
ii. LEI, if any, or provide and describe other identifying number | 54930024AKTQGTIV1P93 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 462 | |
i. Full name | The Capital Group Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-52512 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 463 | |
i. Full name | Thompson Davis & Co., Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-49386 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 464 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 465 | |
i. Full name | Vision Financial Markets LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-67447 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 466 | |
i. Full name | Western Growers Financial Services, Inc. |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 467 | |
i. Full name | USCA Securities LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-52285 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 468 | |
i. Full name | ValMark Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-45463 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 469 | |
i. Full name | Visun Securities Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-31907 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 470 | |
i. Full name | Wescom Financial Services, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-66189 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 471 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 472 | |
i. Full name | First Republic Securities Company, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-52973 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 473 | |
i. Full name | First Heartland Capital, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-46008 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 474 | |
i. Full name | Voya Financial Partners, LLC |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 475 | |
i. Full name | TD Ameritrade Trust Company |
ii. LEI, if any, or provide and describe other identifying number | 028-15163 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 476 | |
i. Full name | Winslow, Evans & Crocker, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-44347 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 477 | |
i. Full name | JPMorgan Chase Bank, N.A. |
ii. LEI, if any, or provide and describe other identifying number | 7H6GLYDRUGQFU57RNE97 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 478 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 479 | |
i. Full name | Wellington Shields & Co., LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-68098 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 480 | |
i. Full name | Vanguard Marketing Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-21570 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 481 | |
i. Full name | Principal Life Insurance Company |
ii. LEI, if any, or provide and describe other identifying number | SDCMU2LVKGV2AF1KWP64 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 482 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 483 | |
i. Full name | Garden State Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-25790 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 484 | |
i. Full name | First State Financial Management, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-34201 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 485 | |
i. Full name | Weston Securities Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-32664 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 486 | |
i. Full name | Insigneo Securities, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-44166 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 487 | |
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 | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 488 | |
i. Full name | FTB 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 489 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 490 | |
i. Full name | Gold Coast Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-53148 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 491 | |
i. Full name | World Equity Group, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-44088 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 492 | |
i. Full name | Zions Investment |
ii. LEI, if any, or provide and describe other identifying number | 8-35721 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 493 | |
i. Full name | Guardian Insurance & Annuity Company, Inc., The |
ii. LEI, if any, or provide and describe other identifying number | TGIU5N0SIMULU6I57R64 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 494 | |
i. Full name | Nationwide Financial Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 5493001H7AZNDS6BKJ36 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 495 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 496 | |
i. Full name | Conduent HR Services LLC |
ii. LEI, if any, or provide and describe other identifying number | 084-06035 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 497 | |
i. Full name | Newport Retirement Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | N/A |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 498 | |
i. Full name | Foresters Equity Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-36703 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 499 | |
i. Full name | Hantz Financial Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-51291 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 500 | |
i. Full name | GWFS Equities, 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 501 | |
i. Full name | American United Life Insurance Company |
ii. LEI, if any, or provide and describe other identifying number | 549300T82H2DYU80LV98 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 502 | |
i. Full name | Calamar Financial Group |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 503 | |
i. Full name | Chalice Capital Partners, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-69967 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 504 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 505 | |
i. Full name | Healthcare Community Securities Corporation |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 506 | |
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 | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 507 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 508 | |
i. Full name | Mercer HR Services, LLC |
ii. LEI, if any, or provide and describe other identifying number | N/A |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 509 | |
i. Full name | Aufhaser Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-48786 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 510 | |
i. Full name | MSEC, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-68627 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 511 | |
i. Full name | XP Securities, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-68817 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 512 | |
i. Full name | Benefit Trust Company |
ii. LEI, if any, or provide and describe other identifying number | N/A |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 513 | |
i. Full name | HSBC Securities (USA), Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-41562 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 514 | |
i. Full name | Interactive Brokers LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-47257 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 515 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 516 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 517 | |
i. Full name | J.D. Seibert & Company, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-23604 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 518 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 519 | |
i. Full name | Huntleigh Securities Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-21893 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 520 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 521 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 522 | |
i. Full name | IFP Securities |
ii. LEI, if any, or provide and describe other identifying number | 8-70150 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 523 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 524 | |
i. Full name | Kovack Securities Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-50847 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 525 | |
i. Full name | Liberty Partners Financial Services, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-66335 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 526 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 527 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 528 | |
i. Full name | J.P. Morgan Securities LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-35008 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 529 | |
i. Full name | Mercantil Commercebank Investment Services |
ii. LEI, if any, or provide and describe other identifying number | 8-53612 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 530 | |
i. Full name | MHA Financial Corp. |
ii. LEI, if any, or provide and describe other identifying number | 8-21836 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 531 | |
i. Full name | M. Griffith Investment Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-02259 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 532 | |
i. Full name | Mid Atlantic Capital Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-27663 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 533 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 534 | |
i. Full name | Lincoln Investment Planning, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-14354 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 535 | |
i. Full name | Nicol Investors Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-65566 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 536 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 537 | |
i. Full name | North Ridge Securities Corp. |
ii. LEI, if any, or provide and describe other identifying number | 8-42879 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 538 | |
i. Full name | Northeastern Financial Group, Incorporated |
ii. LEI, if any, or provide and describe other identifying number | 8-33132 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 539 | |
i. Full name | Omni Financial Securities |
ii. LEI, if any, or provide and describe other identifying number | 8-44034 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 540 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 541 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 542 | |
i. Full name | Raymond James Financial Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-17983 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 543 | |
i. Full name | RJJ Pasadena Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-25324 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 544 | |
i. Full name | S F Sentry Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-43101 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 545 | |
i. Full name | Oriental Financial Services Corp. |
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 | PUERTO RICO |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 546 | |
i. Full name | Philip J. Greenblatt Securities Ltd |
ii. LEI, if any, or provide and describe other identifying number | 8-30725 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 547 | |
i. Full name | PNC Bank, N.A. |
ii. LEI, if any, or provide and describe other identifying number | AD6GFRVSDT01YPT1CS68 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 548 | |
i. Full name | Robert W. Baird & Co. Incorporated |
ii. LEI, if any, or provide and describe other identifying number | 8-00497 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 549 | |
i. Full name | S.A. Stone Wealth Management |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 550 | |
i. Full name | SEI Private Trust Company |
ii. LEI, if any, or provide and describe other identifying number | 028-10625 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 551 | |
i. Full name | Saxony Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-53490 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 552 | |
i. Full name | Schlitt Investor Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-34202 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 553 | |
i. Full name | SECU Brokerage Services |
ii. LEI, if any, or provide and describe other identifying number | 8-37927 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 554 | |
i. Full name | SecureVest Financial Group |
ii. LEI, if any, or provide and describe other identifying number | 8-26030 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 555 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 556 | |
i. Full name | Signator Investors, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-13995 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 557 | |
i. Full name | Stephen A. Kohn & Associates, Ltd. |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 558 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 559 | |
i. Full name | Summit Equities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-27556 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 560 | |
i. Full name | SunTrust Bank |
ii. LEI, if any, or provide and describe other identifying number | IYDOJBGJWY9T8XKCSX06 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 561 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 562 | |
i. Full name | StockCross Financial Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-17758 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 563 | |
i. Full name | Thoroughbred Financial Services, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-51944 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 564 | |
i. Full name | TransAm 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 | 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 565 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 566 | |
i. Full name | Tradition Asiel Securities Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-43559 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 567 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 568 | |
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 | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 569 | |
i. Full name | VectorGlobal WMG |
ii. LEI, if any, or provide and describe other identifying number | 8-45715 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 570 | |
i. Full name | Uhlmann Price Securities, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-50041 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 571 | |
i. Full name | UMB Financial Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-34999 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 572 | |
i. Full name | Vaughan & Co Securities, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-36916 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 573 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 574 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 575 | |
i. Full name | Waddell & Reed, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-27030 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 576 | |
i. Full name | Wall Street Access |
ii. LEI, if any, or provide and describe other identifying number | 8-25936 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 577 | |
i. Full name | USAA Investment Management Company |
ii. LEI, if any, or provide and describe other identifying number | 8-41241 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 578 | |
i. Full name | Wells Fargo Clearing Services, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-37180 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 579 | |
i. Full name | Whitney National Bank |
ii. LEI, if any, or provide and describe other identifying number | NSGZD26XPW2CUM2JKU70 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 580 | |
i. Full name | Westport Resources Investment Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-40904 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 581 | |
i. Full name | William Blair & Company L.L.C. |
ii. LEI, if any, or provide and describe other identifying number | 8-02698 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 582 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 583 | |
i. Full name | John Hancock Trust Company |
ii. LEI, if any, or provide and describe other identifying number | 549300W205WZCFZS6R51 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 584 | |
i. Full name | T. Rowe Price Retirement Plan Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 084-06219 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 585 | |
i. Full name | Vanguard Group, Inc., The |
ii. LEI, if any, or provide and describe other identifying number | 5493002789CY3L0CJP65 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 586 | |
i. Full name | Saturna Trust Company |
ii. LEI, if any, or provide and describe other identifying number | N/A |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 587 | |
i. Full name | Concord Wealth Brokerage |
ii. LEI, if any, or provide and describe other identifying number | 8-41511 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 588 | |
i. Full name | UBATCO & Co. |
ii. LEI, if any, or provide and describe other identifying number | N/A |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 589 | |
i. Full name | Fidelity Investments Institutional Operations Company, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-35097 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 590 | |
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 | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 591 | |
i. Full name | First Mercantile Trust Company |
ii. LEI, if any, or provide and describe other identifying number | 028-10498 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 592 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 593 | |
i. Full name | BTG Pactual US Capital, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-68148 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 594 | |
i. Full name | BOSC, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-35381 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 595 | |
i. Full name | Alight Financial Solutions LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-47344 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 596 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 597 | |
i. Full name | ABD Retirement Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-69271 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 598 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 599 | |
i. Full name | Allegiance Capital, L.L.C. |
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 | 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 600 | |
i. Full name | Allegis Investment Services, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-69318 |
Description of other identifying number | SEC File Number |
iii. State, if applicable | IDAHO |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 601 | |
i. Full name | Allianz Life Financial Services, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-13630 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 602 | |
i. Full name | American Municipal Securities, 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 603 | |
i. Full name | Advisory Group Equity 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 604 | |
i. Full name | Allen & Company of Florida, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-09877 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 605 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 606 | |
i. Full name | American Financial Associates, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-44065 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 607 | |
i. Full name | Andbanc Brokerage, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-68759 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 608 | |
i. Full name | Ameritas Investment Corp. |
ii. LEI, if any, or provide and describe other identifying number | 8-31296 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 609 | |
i. Full name | Ceros Financial Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-47955 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 610 | |
i. Full name | AxA 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 611 | |
i. Full name | Ascensus Broker Dealer Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-47312 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 612 | |
i. Full name | ARCA Capital Investments, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-53110 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 613 | |
i. Full name | Avisen Securities, 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 614 | |
i. Full name | Bankers Life Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-69562 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 615 | |
i. Full name | American Financial Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-53205 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 616 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 617 | |
i. Full name | Cetera Investment Services, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-31826 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 618 | |
i. Full name | 1st Discount Brokerage, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-48557 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 619 | |
i. Full name | Bolton Global Capital |
ii. LEI, if any, or provide and describe other identifying number | 8-33222 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 620 | |
i. Full name | Avondale Partners, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-51550 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 621 | |
i. Full name | Blakeslee and 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 622 | |
i. Full name | Bley Investments 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 623 | |
i. Full name | Broadridge Business Process Outsourcing, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-53412 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 624 | |
i. Full name | BPU Investment Management, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-34979 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 625 | |
i. Full name | Brazos Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-39119 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 626 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 627 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 628 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 629 | |
i. Full name | BNP Paribas Securities Corp |
ii. LEI, if any, or provide and describe other identifying number | 8-40490 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 630 | |
i. Full name | BTS Securities Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-26818 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 631 | |
i. Full name | Cantella & Co., Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-23904 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 632 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 633 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 634 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 635 | |
i. Full name | Carter, Terry & Company, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-33797 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 636 | |
i. Full name | Cetera Advisors LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-26892 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 637 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 638 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 639 | |
i. Full name | Client One 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 640 | |
i. Full name | Coastal Equities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-40822 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 641 | |
i. Full name | DFPG Investments, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-68730 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 642 | |
i. Full name | Coker & Palmer, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-44129 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 643 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 644 | |
i. Full name | Coldstream Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-51549 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 645 | |
i. Full name | Commonwealth Equity Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-24040 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 646 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 647 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 648 | |
i. Full name | Consolidated Financial Investments, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-37004 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 649 | |
i. Full name | Cuso Financial Services, L.P. |
ii. LEI, if any, or provide and describe other identifying number | 8-49711 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 650 | |
i. Full name | Edward D. Jones & Co., L.P. |
ii. LEI, if any, or provide and describe other identifying number | 8-00759 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 651 | |
i. Full name | Dominick & Dominick LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-21076 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 652 | |
i. Full name | ACA/Prudent Investors Planning Corporation |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 653 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 654 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 655 | |
i. Full name | Amegy Investments, Inc. (Zions) |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 656 | |
i. Full name | Actinver Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-49311 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 657 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 658 | |
i. Full name | Access Investments, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-49750 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 659 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 660 | |
i. Full name | Lucia Securities, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-47643 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 661 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 662 | |
i. Full name | E-W Investments, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-35259 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 663 | |
i. Full name | Gardner Financial Services, 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 664 | |
i. Full name | Exeter Trust Company |
ii. LEI, if any, or provide and describe other identifying number | 028-04279 |
Description of other identifying number | SEC File Number |
iii. State, if applicable | NEW HAMPSHIRE |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 665 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 666 | |
i. Full name | G.L.S. & Associates, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-51808 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 667 | |
i. Full name | First Bankers' Banc Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-31584 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 668 | |
i. Full name | Fifth Third Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-02428 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 669 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 670 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 671 | |
i. Full name | Finance 500, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-28302 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 672 | |
i. Full name | H.D. Vest Investment Services |
ii. LEI, if any, or provide and describe other identifying number | 8-29533 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 673 | |
i. Full name | E*Trade Securities |
ii. LEI, if any, or provide and describe other identifying number | 8-44112 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 674 | |
i. Full name | First Financial Securities of America, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-29565 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 675 | |
i. Full name | General Securities Corp. |
ii. LEI, if any, or provide and describe other identifying number | 8-31654 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 676 | |
i. Full name | First Command Financial Planning, 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 677 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 678 | |
i. Full name | Financial Planning Consultants, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-25384 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 679 | |
i. Full name | Glen Eagle Advisors LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-65678 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 680 | |
i. Full name | Dinosaur Securities, L.L.C. |
ii. LEI, if any, or provide and describe other identifying number | 8-52908 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 681 | |
i. Full name | EK Riley Investments, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-65369 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 682 | |
i. Full name | Gerwin Group, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-40282 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 683 | |
i. Full name | Hanson McClain Securities |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 684 | |
i. Full name | GWN Securities Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-66185 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 685 | |
i. Full name | FMSBonds, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-23280 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 686 | |
i. Full name | Eastern Point Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-39398 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 687 | |
i. Full name | Halliday Financial, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-45529 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 688 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 689 | |
i. Full name | Infinex Investments, 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 690 | |
i. Full name | Forest Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-33568 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 691 | |
i. Full name | Hefren-Tillotson, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-10646 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 692 | |
i. Full name | Genworth Life & Annuity Insurance Company |
ii. LEI, if any, or provide and describe other identifying number | TAI340D9BWT9R77O0P03 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 693 | |
i. Full name | Kalos Capital, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-50630 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 694 | |
i. Full name | Gladowsky Capital Management Corp. |
ii. LEI, if any, or provide and describe other identifying number | 8-51017 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 695 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 696 | |
i. Full name | G.F. Investment Services, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-66659 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 697 | |
i. Full name | L.S.Y., Inc. |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 698 | |
i. Full name | First Southern, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-69733 |
Description of other identifying number | SEC File Number |
iii. State, if applicable | PUERTO RICO |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 699 | |
i. Full name | Institutional Securities Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-38158 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 700 | |
i. Full name | Jefferies, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-15074 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 701 | |
i. Full name | KCD Financial, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-66005 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 702 | |
i. Full name | 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 703 | |
i. Full name | Global Brokerage Services, Inc. |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 704 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 705 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 706 | |
i. Full name | ICMA-RC Services, Inc. |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 707 | |
i. Full name | Jack V. Butterfield Investment Company |
ii. LEI, if any, or provide and describe other identifying number | 8-12454 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 708 | |
i. Full name | Intercontinental Asset Management Group, Ltd. |
ii. LEI, if any, or provide and describe other identifying number | 8-39706 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 709 | |
i. Full name | Itau International Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-67674 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 710 | |
i. Full name | Liberty Group, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-52994 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 711 | |
i. Full name | ING Financial Markets LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-43978 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 712 | |
i. Full name | InvestShares (Legal name: IMA Securities LLC) |
ii. LEI, if any, or provide and describe other identifying number | 8-68365 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 713 | |
i. Full name | Deutsche Bank Securities Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-17822 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 714 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 715 | |
i. Full name | Capital One Investing LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-51160 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 716 | |
i. Full name | Investment Architects, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-35724 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 717 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 718 | |
i. Full name | Loria Financial Group, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-52128 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 719 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 720 | |
i. Full name | Key Investment Services LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-66999 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 721 | |
i. Full name | Integral Financial LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-65284 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 722 | |
i. Full name | Merrill Lynch, Pierce, Fenner & Smith Incorporated |
ii. LEI, if any, or provide and describe other identifying number | 8-07221 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 723 | |
i. Full name | KMS Financial Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-15433 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 724 | |
i. Full name | K. W. Chambers & CO. |
ii. LEI, if any, or provide and describe other identifying number | 8-10533 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 725 | |
i. Full name | LaBrunerie Financial Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-47830 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 726 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 727 | |
i. Full name | Nations Financial Group, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-50588 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 728 | |
i. Full name | Nestlerode & Loy, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-12629 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 729 | |
i. Full name | Moors & Cabot, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-23060 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 730 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 731 | |
i. Full name | Ladenburg Thalman & Co. Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-17230 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 732 | |
i. Full name | Leigh Baldwin & Co., LLC |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 733 | |
i. Full name | Morgan Stanley & Co. LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-15869 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 734 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 735 | |
i. Full name | Old National Trust Company |
ii. LEI, if any, or provide and describe other identifying number | 028-00344 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 736 | |
i. Full name | Pershing, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-17574 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 737 | |
i. Full name | Penates Group, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-50594 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 738 | |
i. Full name | Patapsco Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-43485 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 739 | |
i. Full name | Planned Financial Programs, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-05727 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 740 | |
i. Full name | International Research Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-37954 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 741 | |
i. Full name | Pyramid Funds Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-12769 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 742 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 743 | |
i. Full name | Planners Financial Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-18027 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 744 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 745 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 746 | |
i. Full name | Mutual Trust Co. of America Securities |
ii. LEI, if any, or provide and describe other identifying number | 8-25547 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 747 | |
i. Full name | Mesirow Financial, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-28816 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 748 | |
i. Full name | Investment Placement Group |
ii. LEI, if any, or provide and describe other identifying number | 8-30700 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 749 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 750 | |
i. Full name | Proequities, 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 751 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 752 | |
i. Full name | Quest Capital Strategies, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-34532 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 753 | |
i. Full name | PNC Capital Markets LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-32493 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 754 | |
i. Full name | PTS 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 755 | |
i. Full name | Robinson & Robinson, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-17109 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 756 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 757 | |
i. Full name | Benjamin F. Edwards & Company, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-68023 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 758 | |
i. Full name | SDDCO Brokerage Advisors, 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 759 | |
i. Full name | MV Securities Group, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-47827 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 760 | |
i. Full name | First Financial Equity Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-34082 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 761 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 762 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 763 | |
i. Full name | Oppenheimer & Co. Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-04077 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 764 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 765 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 766 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 767 | |
i. Full name | Mutual Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-28580 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 768 | |
i. Full name | Questar Capital Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-50174 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 769 | |
i. Full name | Royal Alliance Associates, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-40218 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 770 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 771 | |
i. Full name | Leumi Investment Services Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-52993 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 772 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 773 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 774 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 775 | |
i. Full name | Saperston Asset Management, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-50658 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 776 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 777 | |
i. Full name | Standard Insurance Company |
ii. LEI, if any, or provide and describe other identifying number | 549300KVA8DBYKHPXO21 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 778 | |
i. Full name | St. Bernard Financial Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-47566 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 779 | |
i. Full name | Stephens Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-01927 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 780 | |
i. Full name | Signature Securities Group Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-52697 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 781 | |
i. Full name | M Holdings Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-50214 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 782 | |
i. Full name | Snowden Account Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-68188 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 783 | |
i. Full name | Summit Brokerage Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-46310 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 784 | |
i. Full name | Sisung Securities Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-42121 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 785 | |
i. Full name | Stonnington Group, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-66919 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 786 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 787 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 788 | |
i. Full name | Sterling Monroe Securities, 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 789 | |
i. Full name | T. Rowe Price Investment Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-25130 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 790 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 791 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 792 | |
i. Full name | Lincoln Financial Distributors, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-13431 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 793 | |
i. Full name | J.A. Glynn & Co. |
ii. LEI, if any, or provide and describe other identifying number | 8-39465 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 794 | |
i. Full name | The Investment Center, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-35826 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 795 | |
i. Full name | The Jeffrey Matthews Financial Group, L.L.C. |
ii. LEI, if any, or provide and describe other identifying number | 8-49352 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 796 | |
i. Full name | Thurston, Springer, Miller, Herd & Titak, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-25452 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 797 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 798 | |
i. Full name | UBS Financial Services Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-16267 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 799 | |
i. Full name | Vestor Capital Securities |
ii. LEI, if any, or provide and describe other identifying number | 8-32743 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 800 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 801 | |
i. Full name | Watermark Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-43902 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 802 | |
i. Full name | ViewTrade Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-51605 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 803 | |
i. Full name | Triad Advisors, Inc. |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 804 | |
i. Full name | Whitehall-Parker Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-27688 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 805 | |
i. Full name | TimeCapital Securities Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-18248 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 806 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 807 | |
i. Full name | Woodstock Financial Group, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-48080 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 808 | |
i. Full name | United Planners' Financial Services of America A Limited Partner |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 809 | |
i. Full name | Nelson Ivest Brokerage Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-26448 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 810 | |
i. Full name | Primerica Shareholder Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 084-01499 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 811 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 812 | |
i. Full name | Western International Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-48572 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 813 | |
i. Full name | VOYA Investments Distributors, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-48020 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 814 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 815 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 816 | |
i. Full name | Wunderlich Securities, 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 817 | |
i. Full name | Ascensus, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 549300K5MHNFPEU2RK82 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 818 | |
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 | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 819 | |
i. Full name | Prudential Insurance Company of America |
ii. LEI, if any, or provide and describe other identifying number | Y574KRZ6V5A7UBU45C31 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 820 | |
i. Full name | State Farm VP Management Corp |
ii. LEI, if any, or provide and describe other identifying number | 8-50128 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 821 | |
i. Full name | Teachers Insurance and Annuity Association of America |
ii. LEI, if any, or provide and describe other identifying number | O06YD7BJ4EPYNABVFN69 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 822 | |
i. Full name | R. Seelaus & Co., Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-31475 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 823 | |
i. Full name | Nest Investments BD, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-70117 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 824 | |
i. Full name | Riversource Distributors, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-67196 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 825 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 826 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 827 | |
i. Full name | RBC Capital Markets, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-45411 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 828 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 829 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 830 | |
i. Full name | Morris Group, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-28916 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 831 | |
i. Full name | Wiley Bros.-Aintree Capital, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-03774 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 832 | |
i. Full name | Wood (Arthur W.) Company, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-03368 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 833 | |
i. Full name | John Hancock Life Insurance Company |
ii. LEI, if any, or provide and describe other identifying number | QQ0OZ8J9C4B5QT1XDG31 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 834 | |
i. Full name | Trade-PMR 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 835 | |
i. Full name | Treasure Financial Corp. |
ii. LEI, if any, or provide and describe other identifying number | 8-48165 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 836 | |
i. Full name | International Financial Solutions, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-49020 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 837 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 838 | |
i. Full name | Voya Institutional Plan Services, LLC |
ii. LEI, if any, or provide and describe other identifying number | N/A |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
b. Has a shareholder servicing agent been hired or terminated during the reporting period? | ![]() ![]() |
Item C.14. Administrators.
a. Provide the following information about each administrator of the Fund: |
Administrators Record: 1 | |
i. Full name | JPMorgan Chase Bank, N.A. |
ii. LEI, if any, or other identifying number | 7H6GLXDRUGQFU57RNE97 |
Description of other identifying number | |
iii. State, if applicable | NEW YORK |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the administrator an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the administrator a sub-administrator? | ![]() ![]() |
Administrators Record: 2 | |
i. Full name | BlackRock Advisors, LLC |
ii. LEI, if any, or other identifying number | 5493001LN9MRM6A35J74 |
Description of other identifying number | |
iii. State, if applicable | DELAWARE |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the administrator an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the administrator a sub-administrator? | ![]() ![]() |
b.Has a third-party administrator been hired or terminated during the reporting period? | ![]() ![]() |
Item C.15. Affiliated broker-dealers.
Provide the following information about each affiliated broker-dealer: |
Broker Dealers Record: 1 | |
a. Full name | BlackRock Execution Services |
b. SEC file number | 8-48719 |
c. CRD number | 000039438 |
d. LEI, if any | 549300HFCRQ0NT5KY652 |
e. State, if applicable | NEW YORK |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0 |
Broker Dealers Record: 2 | |
a. Full name | BlackRock Investments, LLC |
b. SEC file number | 8-48436 |
c. CRD number | 000038642 |
d. LEI, if any | N/A |
e. State, if applicable | NEW YORK |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0 |
Item C.16. Brokers.
Instructions to Item C.16 and Item C.17. To help Registrants distinguish between agency and principal transactions, and to promote consistent reporting of the information required by these items, the following criteria should be used: 1. If a security is purchased or sold in a transaction for which the confirmation specifies the amount of the commission to be paid by the Registrant, the transaction should be considered an agency transaction and included in determining the answers to Item C.16. 2. If a security is purchased or sold in a transaction for which the confirmation specifies only the net amount to be paid or received by the Registrant and such net amount is equal to the market value of the security at the time of the transaction, the transaction should be considered a principal transaction and included in determining the amounts in Item C.17. 3. If a security is purchased by the Registrant in an underwritten offering, the acquisition should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the underwriters are receiving from the issuer. 4. If a security is sold by the Registrant in a tender offer, the sale should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the offeror is paying to soliciting brokers or dealers. 5. If a security is purchased directly from the issuer (such as a bank CD), the purchase should be considered a principal transaction and included in answering Item C.17. 6. The value of called or maturing securities should not be counted in either agency or principal transactions and should not be included in determining the amounts shown in Item C.16 and Item C.17. This means that the acquisition of a security may be included, but it is possible that its disposition may not be included. Disposition of a repurchase agreement at its expiration date should not be included. 7. The purchase or sales of securities in transactions not described in paragraphs (1) through (6) above should be evaluated by the Fund based upon the guidelines established in those paragraphs and classified accordingly. The agents considered in Item C.16 may be persons or companies not registered under the Exchange Act as securities brokers. The persons or companies from whom the investment company purchased or to whom it sold portfolio instruments on a principal basis may be persons or entities not registered under the Exchange Act as securities dealers. |
a. For each of the ten brokers that received the largest dollar amount of brokerage commissions (excluding dealer concessions in underwritings) by virtue of direct or indirect participation in the Fund’s portfolio transactions, provide the information below: |
i. Full name of broker | |
ii. SEC file number | |
iii. CRD number | |
iv. LEI, if any | |
v. State, if applicable | |
vi. Foreign country, if applicable | |
vii. Gross commissions paid by the Fund for the reporting period |
b. Aggregate brokerage commissions paid by Fund during the reporting period: | 0 |
Item C.17. Principal transactions.
a. For each of the ten entities acting as principals with which the Fund did the largest dollar amount of principal transactions (include all short-term obligations, and U.S. government and tax-free securities) in both the secondary market and in underwritten offerings, provide the information below: |
Principal Transactions Record: 1 | |
i. Full name of dealer | Citigroup Global Markets, Inc. |
ii. SEC file number | 8-08177 |
iii. CRD number | 000007059 |
iv. LEI, if any | MBNUM2BPBDO7JBLYG310 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 88498530 |
Principal Transactions Record: 2 | |
i. Full name of dealer | BofA Securities, Inc. |
ii. SEC file number | 8-69787 |
iii. CRD number | 000283942 |
iv. LEI, if any | 549300HN4UKV1E2R3U73 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 47130000 |
Principal Transactions Record: 3 | |
i. Full name of dealer | Barclays Capital, Inc. |
ii. SEC file number | 8-41342 |
iii. CRD number | 000019714 |
iv. LEI, if any | AC28XWWI3WIBK2824319 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 69085000 |
Principal Transactions Record: 4 | |
i. Full name of dealer | Wells Fargo Securities LLC |
ii. SEC file number | 8-65876 |
iii. CRD number | 000126292 |
iv. LEI, if any | VYVVCKR63DVZZN70PB21 |
v. State, if applicable | NORTH CAROLINA |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 402917470 |
Principal Transactions Record: 5 | |
i. Full name of dealer | Morgan Stanley & Co., Inc. |
ii. SEC file number | 8-15869 |
iii. CRD number | 000008209 |
iv. LEI, if any | 9R7GPTSO7KV3UQJZQ078 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 59022890 |
Principal Transactions Record: 6 | |
i. Full name of dealer | RBC Capital Markets, LLC |
ii. SEC file number | 8-45411 |
iii. CRD number | 000031194 |
iv. LEI, if any | 549300LCO2FLSSVFFR64 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 32665000 |
Principal Transactions Record: 7 | |
i. Full name of dealer | National Financial Services LLC |
ii. SEC file number | 8-26740 |
iii. CRD number | 000013041 |
iv. LEI, if any | 549300JRHF1MHHWUAW04 |
v. State, if applicable | TEXAS |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 80584253.939999983 |
Principal Transactions Record: 8 | |
i. Full name of dealer | BNY Mellon Capital Markets, LLC |
ii. SEC file number | 8-35255 |
iii. CRD number | 000017454 |
iv. LEI, if any | VJW2DOOHGDT6PR0ZRO63 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 35814737.5 |
Principal Transactions Record: 9 | |
i. Full name of dealer | J.P. Morgan Securities LLC |
ii. SEC file number | 8-35008 |
iii. CRD number | 000000079 |
iv. LEI, if any | ZBUT11V806EZRVTWT807 |
v. State, if applicable | OHIO |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 352064180 |
Principal Transactions Record: 10 | |
i. Full name of dealer | Goldman Sachs & Co. LLC |
ii. SEC file number | 8-12900 |
iii. CRD number | 000000361 |
iv. LEI, if any | FOR8UP27PHTHYVLBNG30 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 21665000 |
b. Aggregate value of principal purchase/sale transactions of Fund during the reporting period: | 1224221541.44 |
Item C.18. Payments for brokerage and research.
During the reporting period, did the Fund pay commissions to broker-dealers for "brokerage and research services" within the meaning of section 28(e) of the Exchange Act (15 U.S.C. 78bb)? | ![]() ![]() |
Item C.19. Average net assets.
a. Provide the Fund's (other than a money market fund's) monthly average net assets during the reporting period | |
b. Provide the money market fund's daily average net assets during the reporting period | 237749135.91 |
Item C.20. Lines of credit, interfund lending and interfund borrowing.
a. Does the Fund have available a line of credit? | ![]() ![]() |
b. Did the Fund engage in interfund lending? | ![]() ![]() |
c.Did the Fund engage in interfund borrowing? | ![]() ![]() |
Management Investment Record: 9 |
Item C.1. Background information.
a. Full Name of the Fund | Treasury Trust Fund |
b. Series identication number, if any | S000001478 |
c. LEI | 549300U5PI8CHFJM7202 |
d. Is this the first filing on this form by the Fund? | ![]() ![]() |
Item C.2. Classes of open-end management investment companies.
a. How many Classes of shares of the Fund (if any) are authorized? | 9 |
b. How many new Classes of shares of the Fund were added during the reporting period? | 0 |
c. How many Classes of shares of the Fund were terminated during the reporting period? | 0 |
d. For each Class with shares outstanding, provide the information requested below: | |
Shares Outstanding Record: 1 | |
i. Full name of Class | Administration |
ii. Class identification number, if any | C000003956 |
iii. Ticker symbol, if any | BITXX |
Shares Outstanding Record: 2 | |
i. Full name of Class | Cash Reserve |
ii. Class identification number, if any | C000003953 |
iii. Ticker symbol, if any | BTFXX |
Shares Outstanding Record: 3 | |
i. Full name of Class | Select |
ii. Class identification number, if any | C000060559 |
iii. Ticker symbol, if any | TSLXX |
Shares Outstanding Record: 4 | |
i. Full name of Class | Cash Management |
ii. Class identification number, if any | C000003957 |
iii. Ticker symbol, if any | BTCXX |
Shares Outstanding Record: 5 | |
i. Full name of Class | Institutional |
ii. Class identification number, if any | C000003954 |
iii. Ticker symbol, if any | TTTXX |
Shares Outstanding Record: 6 | |
i. Full name of Class | Premier |
ii. Class identification number, if any | C000003951 |
iii. Ticker symbol, if any | TPTXX |
Shares Outstanding Record: 7 | |
i. Full name of Class | Dollar |
ii. Class identification number, if any | C000003955 |
iii. Ticker symbol, if any | TTDXX |
Item C.3. Type of fund.
Instructions. 1. "Fund of Funds" means a fund that acquires securities issued by any other investment company in excess of the amounts permitted under paragraph (A) of section 12(d)(1) of the Act (15 U.S.C. 80a-12(d)(1)(A)), but, for purposes of this Item, does not include a fund that acquires securities issued by another company solely in reliance on rule 12d1-1 under the Act (CFR 270.12d1-1). 2. "Index Fund" means an investment company, including an Exchange-Traded Fund, that seeks to track the performance of a specified index. 3. "Interval Fund" means a closed-end management investment company that makes periodic repurchases of its shares pursuant to rule 23c-3 under the Act (17 CFR 270.23c-3). 4. "Master-Feeder Fund" means a two-tiered arrangement in which one or more funds (each a feeder fund) holds shares of a single Fund (the master fund) in accordance with section 12(d)(1)(E) of the Act (15 U.S.C. 80a-12(d)(1)(E)) or pursuant to exemptive relief granted by the Commission. 5. "Target Date Fund" means an investment company that has an investment objective or strategy of providing varying degrees of long-term appreciation and capital preservation through a mix of equity and fixed income exposures that changes over time based on an investor's age, target retirement date, or life expectancy. |
Indicate if the Fund is any one of the types listed below. Check all that apply. |
a. Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund i. ![]() ii. ![]() b. ![]() c. ![]() d. ![]() e. ![]() f. ![]() g. ![]() h. ![]() i. ![]() ![]() |
Item C.4. Diversification.
Does the Fund seek to operate as a “non-diversified company” as such term is defined in section 5(b)(2) of the Act (15 U.S.C. 80a- 5(b) (2))? | ![]() ![]() |
Item C.5. Investments in certain foreign corporations.
Instruction. "Controlled foreign corporation" has the meaning provided in section 957 of the Internal Revenue Code [26 U.S.C. 957]. |
a. Does the fund invest in a controlled foreign corporation for the purpose of investing in certain types of instruments such as, but not limited to, commodities? | ![]() ![]() |
Item C.6. Securities lending.
Instruction. For purposes of this Item, other adverse impacts would include, for example, (1) a loss to the Fund if collateral and indemnification were not sufficient to replace the loaned securities or their value, (2) the Fund's ineligibility to vote shares in a proxy, or (3) the Fund's ineligibility to receive a direct distribution from the issuer. |
a. Is the Fund authorized to engage in securities lending transactions? | ![]() ![]() |
b. Did the Fund lend any of its securities during the reporting period? | ![]() ![]() |
c. Provide the information requested below about each securities lending agent, if any, retained by the Fund: |
Securities Lending Record: 1 | |
i. Full name of securities lending agent | BlackRock Investment Management, LLC |
ii. LEI, if any | 5493006MRTEZZ4S4CQ20 |
iii. Is the securities lending agent an affiliated person, or an affiliated person of an affiliated person, of the Fund? | ![]() ![]() |
iv. Does the securities lending agent or any other entity indemnify the fund against borrower default on loans administered by this agent? | ![]() ![]() |
v. If the entity providing the indemnification is not the securities lending agent, provide the following information: |
Idemnity Providers Record: 1 |
1. Name of person providing indemnification | N/A |
2. LEI, if any, of person providing indemnification | N/A |
vi. Did the Fund exercise its indemnification rights during the reporting period? | ![]() ![]() |
d. If a person providing cash collateral management services to the Fund in connection with the Fund's securities lending activities does not also serve as securities lending agent, provide the following information about each cash collateral manager: |
i. Full name of cash collateral manager: | |
ii. LEI, if any: | |
iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund? | ![]() ![]() |
iv. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of the Fund? | ![]() ![]() |
e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply): | ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
If other, describe: | Rebates paid to borrowers |
f. Provide the monthly average of the value of portfolio securities on loan during the reporting period | N/A |
g. Provide the net income from securities lending activities | N/A |
Item C.7. Reliance on certain rules.
Did the Fund rely on any of the following rules under the Act during the reporting period? (check all that apply) | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Item C.8. Expense limitations.
Instruction. Provide information concerning any direct or indirect limitations, waivers or reductions, on the level of expenses incurred by the fund during the reporting period. A limitation, for example, may be applied indirectly (such as when an adviser agrees to accept a reduced fee pursuant to a voluntary fee waiver) or it may apply only for a temporary period such as for a new fund in its start-up phase. |
a. Did the Fund have an expense limitation arrangement in place during the reporting period? | ![]() ![]() |
b. Were any expenses of the Fund reduced or waived pursuant to an expense limitation arrangement during the reporting period? | ![]() ![]() |
c. Are the fees waived subject to recoupment? | ![]() ![]() |
d. Were any expenses previously waived recouped during the period? | ![]() ![]() |
Item C.9. Investment advisers.
a. Provide the following information about each investment adviser (other than a sub-adviser) of the Fund: |
Investment Advisers Record: 1 | |
i. Full name | BlackRock Advisors, LLC |
ii. SEC file number ( e.g., 801- ) | 801-47710 |
iii.CRD number | 000106614 |
iv. LEI, if any | 5493001LN9MRM6A35J74 |
v. State, if applicable | DELAWARE |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Was the investment adviser hired during the reporting period? | ![]() ![]() |
b. If an investment adviser (other than a sub- adviser) to the Fund was terminated during the reporting period, provide the following with respect to each investment adviser: |
i. Full name | |
ii. SEC file number ( e.g., 801- ) | |
iii. CRD number | |
iv. LEI, if any | |
v. State, if applicable | |
vi. Foreign country, if applicable | |
vii. Termination date |
c. For each sub-adviser to the Fund, provide the information requested: |
i. Full name | |
ii. SEC file number ( e.g., 801- ), if applicable | |
iii. CRD number | |
iv. LEI, if any | |
v. State, if applicable | |
vi. Foreign country, if applicable | |
vii. Is the sub-adviser an affiliated person of the Fund's investment adviser(s)? | ![]() ![]() |
viii. Was the sub-adviser hired during the reporting period? | ![]() ![]() |
d. If a sub-adviser was terminated during the reporting period, provide the following with respect to such sub-adviser: |
i. Full name | |
ii. SEC file number ( e.g., 801- ) | |
iii. CRD number | |
iv. LEI, if any | |
v. State, if applicable | |
vi. Foreign country, if applicable | |
vii. Termination date |
Item C.10. Transfer agents.
a. Provide the following information about each person providing transfer agency services to the Fund: |
Transfer Agents Record: 1 | |
i. Full name | BNY Mellon Investment Servicing (US) Inc. |
ii.SEC file number ( e.g., 84- or 85- ) | 84-01761 |
iii. LEI, if any | 549300CFZQLI9QMJ1Z03 |
iv. State, if applicable | DELAWARE |
v. Foreign country, if applicable | UNITED STATES OF AMERICA |
vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vii. Is the transfer agent a sub-transfer agent? | ![]() ![]() |
b. Has a transfer agent been hired or terminated during the reporting period? | ![]() ![]() |
Item C.11. Pricing services.
a. Provide the following information about each person that provided pricing services to the Fund during the reporting period: |
Pricing Services Record: 1 | |
i. Full name | ICE Data Pricing & Reference Data, LLC |
ii. LEI, if any, or provide and describe other identifying number | 5493000NQ9LYLDBCTL34 |
Description of other identifying number | |
iii. State, if applicable | NEW YORK |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
b. Was a pricing service hired or terminated during the reporting period? | ![]() ![]() |
Item C.12. Custodians.
a. Provide the following information about each person that provided custodial services to the Fund during the reporting period: |
Custodians Record: 1 | |
i. Full name | JPMorgan Chase Bank, N.A. |
ii. LEI, if any | 7H6GLXDRUGQFU57RNE97 |
iii. State, if applicable | NEW YORK |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 2 | |
i. Full name | The Bank of New York Mellon |
ii. LEI, if any | HPFHU0OQ28E4N0NFVK49 |
iii. State, if applicable | NEW YORK |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
b. Has a custodian been hired or terminated during the reporting period?* | ![]() ![]() |
Item C.13. Shareholder servicing agents.
a. Provide the following information about each shareholder servicing agent of the Fund: |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 2 | |
i. Full name | BCG Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-12680 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 3 | |
i. Full name | Bristol Financial Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-67140 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 4 | |
i. Full name | Benchmark Investments, Inc. |
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 | 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 5 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 6 | |
i. Full name | Carter, Terry & Company, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-33797 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 7 | |
i. Full name | E. E. Powell & Company Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-01893 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 8 | |
i. Full name | EK Riley Investments, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-65369 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 9 | |
i. Full name | Essex Financial Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-66015 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 10 | |
i. Full name | First Allied Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-46167 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 11 | |
i. Full name | Hazlett, Burt & Watson, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-17737 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 12 | |
i. Full name | Folger Nolan Fleming Douglas Incorporated |
ii. LEI, if any, or provide and describe other identifying number | 8-03335 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 13 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 14 | |
i. Full name | GWN Securities Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-66185 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 15 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 16 | |
i. Full name | Kovitz Securities, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-66267 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 17 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 18 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 19 | |
i. Full name | Larson Financial Securities, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-68456 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 20 | |
i. Full name | Leumi Investment Services Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-52993 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 21 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 22 | |
i. Full name | M. Griffith Investment Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-02259 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 23 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 24 | |
i. Full name | Means Investment Co., Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-27458 |
Description of other identifying number | SEC File Number |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 25 | |
i. Full name | International Assets Advisory, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-27736 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 26 | |
i. Full name | Mesirow Financial, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-28816 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 27 | |
i. Full name | Northeastern Financial Group, Incorporated |
ii. LEI, if any, or provide and describe other identifying number | 8-33132 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 28 | |
i. Full name | Ohanesian / Lecours, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-40729 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 29 | |
i. Full name | Morris Group, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-28916 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 30 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 31 | |
i. Full name | Queens Road Securities, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-52737 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 32 | |
i. Full name | PNC Capital Markets LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-32493 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 33 | |
i. Full name | Robert W. Baird & Co. Incorporated |
ii. LEI, if any, or provide and describe other identifying number | 8-00497 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 34 | |
i. Full name | PTS 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 35 | |
i. Full name | R.M. Stark & Co., Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-22543 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 36 | |
i. Full name | TimeCapital Securities Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-18248 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 37 | |
i. Full name | ValMark Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-45463 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 38 | |
i. Full name | U.S. Bancorp Investments, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-35359 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 39 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 40 | |
i. Full name | Vision Financial Markets LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-67447 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 41 | |
i. Full name | John Hancock Trust Company |
ii. LEI, if any, or provide and describe other identifying number | 549300W205WZCFZS6R51 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 42 | |
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 | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 43 | |
i. Full name | Conduent HR Services LLC |
ii. LEI, if any, or provide and describe other identifying number | 084-06035 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 44 | |
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 | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 45 | |
i. Full name | First Mercantile Trust Company |
ii. LEI, if any, or provide and describe other identifying number | 028-10498 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 46 | |
i. Full name | Digital Retirement Solutions, Inc. |
ii. LEI, if any, or provide and describe other identifying number | N/A |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 47 | |
i. Full name | Access Investments, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-49750 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 48 | |
i. Full name | Aufhaser Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-48786 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 49 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 50 | |
i. Full name | Avisen Securities, 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 51 | |
i. Full name | 1st Discount Brokerage, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-48557 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 52 | |
i. Full name | ACA/Prudent Investors Planning Corporation |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 53 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 54 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 55 | |
i. Full name | Allegis Investment Services, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-69318 |
Description of other identifying number | SEC File Number |
iii. State, if applicable | IDAHO |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 56 | |
i. Full name | BB&T Securities, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-67486 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 57 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 58 | |
i. Full name | American Independent Securities Group, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-66905 |
Description of other identifying number | SEC File Number |
iii. State, if applicable | IDAHO |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 59 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 60 | |
i. Full name | ARCA Capital Investments, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-53110 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 61 | |
i. Full name | Bolton Global Capital |
ii. LEI, if any, or provide and describe other identifying number | 8-33222 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 62 | |
i. Full name | ADCAP Securities |
ii. LEI, if any, or provide and describe other identifying number | 8-51285 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 63 | |
i. Full name | Caldwell Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-27639 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 64 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 65 | |
i. Full name | Avondale Partners, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-51550 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 66 | |
i. Full name | Axiom Capital Management, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-42638 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 67 | |
i. Full name | BMO Harris Financial Advisors, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-67064 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 68 | |
i. Full name | Bill Few Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-49625 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 69 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 70 | |
i. Full name | Broadridge Business Process Outsourcing, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-53412 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 71 | |
i. Full name | Buckman, Buckman & Reid, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-40413 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 72 | |
i. Full name | Cascade Financial Management, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-53730 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 73 | |
i. Full name | Crews & Associates, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-24075 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 74 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 75 | |
i. Full name | Cetera Investment Services, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-31826 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 76 | |
i. Full name | General Securities Corp. |
ii. LEI, if any, or provide and describe other identifying number | 8-31654 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 77 | |
i. Full name | Cetera Financial Specialists LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-27082 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 78 | |
i. Full name | Fiduciary Trust International |
ii. LEI, if any, or provide and describe other identifying number | N1YKEWO2IYPRS4742F57 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 79 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 80 | |
i. Full name | Conover Securities Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-35085 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 81 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 82 | |
i. Full name | Commonwealth Equity Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-24040 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 83 | |
i. Full name | Corinthian Partners, L.L.C. |
ii. LEI, if any, or provide and describe other identifying number | 8-48461 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 84 | |
i. Full name | Financial Services International Corp. |
ii. LEI, if any, or provide and describe other identifying number | 8-48032 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 85 | |
i. Full name | Feldstein Financial Group, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-53388 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 86 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 87 | |
i. Full name | Freimark Blair & Company, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-28646 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 88 | |
i. Full name | Fairport Capital, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-32162 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 89 | |
i. Full name | Fifth Third Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-02428 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 90 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 91 | |
i. Full name | First Manhattan Co. |
ii. LEI, if any, or provide and describe other identifying number | 8-10438 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 92 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 93 | |
i. Full name | GWFS Equities, 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 94 | |
i. Full name | Exeter Trust Company |
ii. LEI, if any, or provide and describe other identifying number | 028-04279 |
Description of other identifying number | SEC File Number |
iii. State, if applicable | NEW HAMPSHIRE |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 95 | |
i. Full name | Farmers Financial Solutions, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-52361 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 96 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 97 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 98 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 99 | |
i. Full name | Gerwin Group, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-40282 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 100 | |
i. Full name | Key Investment Services LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-66999 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 101 | |
i. Full name | Maplewood Investment Advisors, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-52221 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 102 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 103 | |
i. Full name | Monere Investments, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-52982 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 104 | |
i. Full name | Global Brokerage Services, Inc. |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 105 | |
i. Full name | Detalus Securities, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-52180 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 106 | |
i. Full name | Hantz Financial Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-51291 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 107 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 108 | |
i. Full name | Andbanc Brokerage, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-68759 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 109 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 110 | |
i. Full name | Alight Financial Solutions LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-47344 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 111 | |
i. Full name | Halliday Financial, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-45529 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 112 | |
i. Full name | Allen & Company of Florida, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-09877 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 113 | |
i. Full name | National Financial Services, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-26740 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 114 | |
i. Full name | Navy Federal Brokerage 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 115 | |
i. Full name | J.D. Seibert & Company, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-23604 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 116 | |
i. Full name | ING Financial Markets LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-43978 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 117 | |
i. Full name | BFT Financial Group, 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 118 | |
i. Full name | KCD Financial, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-66005 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 119 | |
i. Full name | LaBrunerie Financial Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-47830 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 120 | |
i. Full name | KMS Financial Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-15433 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 121 | |
i. Full name | HSBC Securities (USA), Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-41562 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 122 | |
i. Full name | C. R. Davis & Company |
ii. LEI, if any, or provide and describe other identifying number | 8-859 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 123 | |
i. Full name | ICMA-RC Services, Inc. |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 124 | |
i. Full name | Invex, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-44695 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 125 | |
i. Full name | Inverness Securities, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-66278 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 126 | |
i. Full name | BC Securities, Inc. (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 | 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 127 | |
i. Full name | Lockton Financial Advisors, 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 128 | |
i. Full name | Hefren-Tillotson, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-10646 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 129 | |
i. Full name | North Ridge Securities Corp. |
ii. LEI, if any, or provide and describe other identifying number | 8-42879 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 130 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 131 | |
i. Full name | Bolton Securities Corp. |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 132 | |
i. Full name | Keystone Capital 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 133 | |
i. Full name | Capital Financial Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-25203 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 134 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 135 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 136 | |
i. Full name | Lexington Investment Company, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-43085 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 137 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 138 | |
i. Full name | Keel Point Capital, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-22990 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 139 | |
i. Full name | Piper Jaffray & Co. |
ii. LEI, if any, or provide and describe other identifying number | 8-15204 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 140 | |
i. Full name | M Holdings Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-50214 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 141 | |
i. Full name | CoreCap Investments, Inc. |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 142 | |
i. Full name | Philip J. Greenblatt Securities Ltd |
ii. LEI, if any, or provide and describe other identifying number | 8-30725 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 143 | |
i. Full name | Legacy Asset Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-51871 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 144 | |
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 | 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 145 | |
i. Full name | Proequities, 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 146 | |
i. Full name | Pruco Securities, LLC. |
ii. LEI, if any, or provide and describe other identifying number | 8-16402 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 147 | |
i. Full name | Mercantil Commercebank Investment Services |
ii. LEI, if any, or provide and describe other identifying number | 8-53612 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 148 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 149 | |
i. Full name | Citizens Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-48744 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 150 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 151 | |
i. Full name | Middlegate Securities Ltd. |
ii. LEI, if any, or provide and describe other identifying number | 8-39031 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 152 | |
i. Full name | Mid Atlantic Capital Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-27663 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 153 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 154 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 155 | |
i. Full name | Northeast Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-42227 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 156 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 157 | |
i. Full name | MidWestern Securities Trading Company, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-52074 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 158 | |
i. Full name | First Honolulu Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-23919 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 159 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 160 | |
i. Full name | First State Financial Management, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-34201 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 161 | |
i. Full name | NBC Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-35870 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 162 | |
i. Full name | First Republic Securities Company, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-52973 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 163 | |
i. Full name | Oppenheimer & Co. Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-04077 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 164 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 165 | |
i. Full name | Empire Asset Management Company |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 166 | |
i. Full name | R. Seelaus & Co., Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-31475 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 167 | |
i. Full name | Northwest Investment Advisors, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-65282 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 168 | |
i. Full name | Raymond James Financial Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-17983 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 169 | |
i. Full name | Riversource Distributors, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-67196 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 170 | |
i. Full name | Regions Bank |
ii. LEI, if any, or provide and describe other identifying number | EQTWLK1G7ODGC2MGLV11 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 171 | |
i. Full name | Sage, Rutty & Co., 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 172 | |
i. Full name | FNBB Capital Markets, LLC |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 173 | |
i. Full name | RIM Securities LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-36759 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 174 | |
i. Full name | S F Sentry Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-43101 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 175 | |
i. Full name | Rehmann Financial Network |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 176 | |
i. Full name | Repex & Co., Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-26431 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 177 | |
i. Full name | Sanders Morris Harris Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-38325 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 178 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 179 | |
i. Full name | Quincy Cass Associates, Incorporated |
ii. LEI, if any, or provide and describe other identifying number | 8-05743 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 180 | |
i. Full name | Safra Securities LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-51935 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 181 | |
i. Full name | Infinex Investments, 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 182 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 183 | |
i. Full name | Rogan & Associates, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-49995 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 184 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 185 | |
i. Full name | Hornor, Townsend & Kent, Inc. |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 186 | |
i. Full name | Investment Planners, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-35642 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 187 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 188 | |
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 | 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 189 | |
i. Full name | Summit Equities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-27556 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 190 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 191 | |
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 | PUERTO RICO |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 192 | |
i. Full name | The Huntington Investment Company |
ii. LEI, if any, or provide and describe other identifying number | 8-34867 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 193 | |
i. Full name | Stonnington Group, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-66919 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 194 | |
i. Full name | Stephens Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-01927 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 195 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 196 | |
i. Full name | Thurston, Springer, Miller, Herd & Titak, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-25452 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 197 | |
i. Full name | Integral Financial LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-65284 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 198 | |
i. Full name | Securian Financial Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-31955 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 199 | |
i. Full name | Whitney National Bank |
ii. LEI, if any, or provide and describe other identifying number | NSGZD26XPW2CUM2JKU70 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 200 | |
i. Full name | StockCross Financial Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-17758 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 201 | |
i. Full name | JHW Financial Services Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-45304 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 202 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 203 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 204 | |
i. Full name | Landaas & Company |
ii. LEI, if any, or provide and describe other identifying number | 8-51826 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 205 | |
i. Full name | Hartford Life Insurance Company |
ii. LEI, if any, or provide and describe other identifying number | 8CE7JPU9IU72L3PPD756 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 206 | |
i. Full name | Newport Retirement Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | N/A |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 207 | |
i. Full name | Itau International Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-67674 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 208 | |
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 | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 209 | |
i. Full name | Fifth Third Bank |
ii. LEI, if any, or provide and describe other identifying number | QFROUN1UWUYU0DVIWD51 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 210 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 211 | |
i. Full name | Insigneo Securities, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-44166 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 212 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 213 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 214 | |
i. Full name | Signator Investors, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-13995 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 215 | |
i. Full name | SKA Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-53366 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 216 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 217 | |
i. Full name | Waddell & Reed, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-27030 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 218 | |
i. Full name | The GMS Group, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-23936 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 219 | |
i. Full name | Western International Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-48572 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 220 | |
i. Full name | UMB Financial Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-34999 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 221 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 222 | |
i. Full name | VectorGlobal WMG |
ii. LEI, if any, or provide and describe other identifying number | 8-45715 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 223 | |
i. Full name | World Equity Group, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-44088 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 224 | |
i. Full name | Wunderlich Securities, 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 225 | |
i. Full name | PFS Investments Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-26486 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 226 | |
i. Full name | Nationwide Planning Associates Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-45310 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 227 | |
i. Full name | Fidelity Investments Institutional Operations Company, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-35097 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 228 | |
i. Full name | Bruderman Brothers, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-51974 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 229 | |
i. Full name | The Tavenner Company |
ii. LEI, if any, or provide and describe other identifying number | 8-41206 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 230 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 231 | |
i. Full name | ViewTrade Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-51605 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 232 | |
i. Full name | Wellington Shields & Co., LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-68098 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 233 | |
i. Full name | Security Distributors, Inc. |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 234 | |
i. Full name | Shareholders Service Group, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-65778 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 235 | |
i. Full name | Charles Schwab Bank |
ii. LEI, if any, or provide and describe other identifying number | 549300INFJ8TYNZ1G568 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 236 | |
i. Full name | Quest Capital Strategies, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-34532 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 237 | |
i. Full name | T. Rowe Price Retirement Plan Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 084-06219 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 238 | |
i. Full name | Vorpahl Wing Securities |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 239 | |
i. Full name | Western Growers Financial Services, Inc. |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 240 | |
i. Full name | UBATCO & Co. |
ii. LEI, if any, or provide and describe other identifying number | N/A |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 241 | |
i. Full name | Westport Resources Investment Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-40904 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 242 | |
i. Full name | Wood (Arthur W.) Company, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-03368 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 243 | |
i. Full name | Vanguard Group, Inc., The |
ii. LEI, if any, or provide and describe other identifying number | 5493002789CY3L0CJP65 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 244 | |
i. Full name | Ascensus, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 549300K5MHNFPEU2RK82 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 245 | |
i. Full name | XP Securities, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-68817 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 246 | |
i. Full name | ACP Securities, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-67185 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 247 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 248 | |
i. Full name | Actinver Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-49311 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 249 | |
i. Full name | American Portfolios Financial Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-37085 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 250 | |
i. Full name | BAC Florida Investments |
ii. LEI, if any, or provide and describe other identifying number | 8-37483 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 251 | |
i. Full name | Ascensus Broker Dealer Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-47312 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 252 | |
i. Full name | Blakeslee and 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 253 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 254 | |
i. Full name | Country Club Financial Services, 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 255 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 256 | |
i. Full name | Alerus Securities |
ii. LEI, if any, or provide and describe other identifying number | 8-47152 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 257 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 258 | |
i. Full name | Arkadios Capital |
ii. LEI, if any, or provide and describe other identifying number | 8-69729 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 259 | |
i. Full name | Barclays Capital Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-41342 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 260 | |
i. Full name | Broker Dealer Financial Services Corp. |
ii. LEI, if any, or provide and describe other identifying number | 8-24220 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 261 | |
i. Full name | Brazos Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-39119 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 262 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 263 | |
i. Full name | Coldstream Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-51549 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 264 | |
i. Full name | Cutter & Company Brokerage, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-39590 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 265 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 266 | |
i. Full name | CRI Securities, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-39877 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 267 | |
i. Full name | DFPG Investments, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-68730 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 268 | |
i. Full name | Cuso Financial Services, L.P. |
ii. LEI, if any, or provide and describe other identifying number | 8-49711 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 269 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 270 | |
i. Full name | DesPain Financial Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-37056 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 271 | |
i. Full name | Dinosaur Securities, L.L.C. |
ii. LEI, if any, or provide and describe other identifying number | 8-52908 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 272 | |
i. Full name | Fidelity Brokerage Services LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-23292 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 273 | |
i. Full name | Fieldpoint Private 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 274 | |
i. Full name | D.M. Kelly & Company |
ii. LEI, if any, or provide and describe other identifying number | 8-48398 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 275 | |
i. Full name | Detwiler Fenton & Co. |
ii. LEI, if any, or provide and describe other identifying number | 8-16324 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 276 | |
i. Full name | Gilbert, Doniger & Co., Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-22326 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 277 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 278 | |
i. Full name | Forest Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-33568 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 279 | |
i. Full name | First Command Financial Planning, 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 280 | |
i. Full name | H. Beck, Inc. |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 281 | |
i. Full name | H.D. Vest Investment Services |
ii. LEI, if any, or provide and describe other identifying number | 8-29533 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 282 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 283 | |
i. Full name | Herbert J. Sims & Co. Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-03315 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 284 | |
i. Full name | Feltl & Company |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 285 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 286 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 287 | |
i. Full name | Insight Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-16247 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 288 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 289 | |
i. Full name | DWS Investments Distributors, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-47765 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 290 | |
i. Full name | Financial Planning Consultants, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-25384 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 291 | |
i. Full name | First Financial Equity Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-34082 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 292 | |
i. Full name | E*Trade Securities |
ii. LEI, if any, or provide and describe other identifying number | 8-44112 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 293 | |
i. Full name | First Financial Securities of America, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-29565 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 294 | |
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 | 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 295 | |
i. Full name | Glen Eagle Advisors LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-65678 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 296 | |
i. Full name | Moors & Cabot, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-23060 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 297 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 298 | |
i. Full name | Neuberger Berman LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-01068 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 299 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 300 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 301 | |
i. Full name | Planned Investment Co., Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-15266 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 302 | |
i. Full name | Lieblong & Associates, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-49880 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 303 | |
i. Full name | Loring Ward Securities Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-51381 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 304 | |
i. Full name | Portfolio Resources Group, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-45380 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 305 | |
i. Full name | Lucia Securities, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-47643 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 306 | |
i. Full name | Maxim Group LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-65337 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 307 | |
i. Full name | Planners Financial Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-18027 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 308 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 309 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 310 | |
i. Full name | Mora WM Securities, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-68910 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 311 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 312 | |
i. Full name | NIA Securities, L.L.C. |
ii. LEI, if any, or provide and describe other identifying number | 8-50591 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 313 | |
i. Full name | Access Financial Group, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-46065 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 314 | |
i. Full name | Ameritas Investment Corp. |
ii. LEI, if any, or provide and describe other identifying number | 8-31296 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 315 | |
i. Full name | Rothschild Investment Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-16429 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 316 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 317 | |
i. Full name | Bernard Herold & Co., Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-17005 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 318 | |
i. Full name | LaSalle St. Securities, L.L.C. |
ii. LEI, if any, or provide and describe other identifying number | 8-18860 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 319 | |
i. Full name | Samuel A Ramirez & Co., Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-19014 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 320 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 321 | |
i. Full name | Pershing Advisor Solutions, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-47425 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 322 | |
i. Full name | Omni Financial Securities |
ii. LEI, if any, or provide and describe other identifying number | 8-44034 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 323 | |
i. Full name | Securities Research, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-23699 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 324 | |
i. Full name | RF Lafferty & Co |
ii. LEI, if any, or provide and describe other identifying number | 8-25581 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 325 | |
i. Full name | SecureVest Financial Group |
ii. LEI, if any, or provide and describe other identifying number | 8-26030 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 326 | |
i. Full name | Silber Bennett Financial, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-68795 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 327 | |
i. Full name | Rodgers Brothers, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-33475 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 328 | |
i. Full name | Rhodes Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-37689 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 329 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 330 | |
i. Full name | LPL Financial LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-17668 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 331 | |
i. Full name | Arete Wealth Management, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-50854 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 332 | |
i. Full name | Stannard Financial Services, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-50654 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 333 | |
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 | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 334 | |
i. Full name | Synovus Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-34709 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 335 | |
i. Full name | TCM Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-50313 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 336 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 337 | |
i. Full name | The Investment Center, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-35826 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 338 | |
i. Full name | BestVest Investments, Ltd. |
ii. LEI, if any, or provide and describe other identifying number | 8-49007 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 339 | |
i. Full name | Standard Insurance Company |
ii. LEI, if any, or provide and describe other identifying number | 549300KVA8DBYKHPXO21 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 340 | |
i. Full name | Tradition Asiel Securities Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-43559 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 341 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 342 | |
i. Full name | People's Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-29667 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 343 | |
i. Full name | TCFG Wealth Management, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-69089 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 344 | |
i. Full name | The Oak Ridge Financial Services Group, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-50082 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 345 | |
i. Full name | Titleist Asset Management, Ltd. |
ii. LEI, if any, or provide and describe other identifying number | 8-65859 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 346 | |
i. Full name | Callaway Financial Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-52474 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 347 | |
i. Full name | Sweney Cartwright & Company |
ii. LEI, if any, or provide and describe other identifying number | 8-03150 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 348 | |
i. Full name | Umpqua Investments, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-02915 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 349 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 350 | |
i. Full name | Stephen A. Kohn & Associates, Ltd. |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 351 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 352 | |
i. Full name | Ceros Financial Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-47955 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 353 | |
i. Full name | TrustCore Investments, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-32152 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 354 | |
i. Full name | Amegy Investments, Inc. (Zions) |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 355 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 356 | |
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 | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 357 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 358 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 359 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 360 | |
i. Full name | Cetera Advisors LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-26892 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 361 | |
i. Full name | CGIS Securities LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-68758 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 362 | |
i. Full name | Vestor Capital Securities |
ii. LEI, if any, or provide and describe other identifying number | 8-32743 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 363 | |
i. Full name | VOYA Financial Advisors, 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 364 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 365 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 366 | |
i. Full name | Wells Fargo Securities, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-65876 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 367 | |
i. Full name | Visun Securities Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-31907 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 368 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 369 | |
i. Full name | Wells Fargo Bank, N.A. |
ii. LEI, if any, or provide and describe other identifying number | KB1H1DSPRFMYMCUFXT09 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 370 | |
i. Full name | Deutsche Bank Securities Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-17822 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 371 | |
i. Full name | Allianz Life Financial Services, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-13630 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 372 | |
i. Full name | American Financial Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-53205 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 373 | |
i. Full name | Ameriprise Financial Services, Inc. |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 374 | |
i. Full name | Apex Clearing Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-23522 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 375 | |
i. Full name | Prudential Insurance Company of America |
ii. LEI, if any, or provide and describe other identifying number | Y574KRZ6V5A7UBU45C31 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 376 | |
i. Full name | BOSC, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-35381 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 377 | |
i. Full name | Allegiance Capital, L.L.C. |
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 | 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 378 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 379 | |
i. Full name | American Century Investment Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-35220 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 380 | |
i. Full name | Woodstock Financial Group, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-48080 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 381 | |
i. Full name | American Municipal Securities, 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 382 | |
i. Full name | AxA 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 383 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 384 | |
i. Full name | Coker & Palmer, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-44129 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 385 | |
i. Full name | Comprehensive Asset Management and Servicing, 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 386 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 387 | |
i. Full name | Fidelity Investments Life |
ii. LEI, if any, or provide and describe other identifying number | 54930024AKTQGTIV1P93 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 388 | |
i. Full name | Donegal Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-66137 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 389 | |
i. Full name | IFP Securities |
ii. LEI, if any, or provide and describe other identifying number | 8-70150 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 390 | |
i. Full name | Cantella & Co., Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-23904 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 391 | |
i. Full name | MerCap Securities |
ii. LEI, if any, or provide and describe other identifying number | 8-68810 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 392 | |
i. Full name | William C. Burnside & Company, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-21242 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 393 | |
i. Full name | BNP Paribas Securities Corp |
ii. LEI, if any, or provide and describe other identifying number | 8-40490 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 394 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 395 | |
i. Full name | BancWest Investment Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-44261 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 396 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 397 | |
i. Full name | Guardian Insurance & Annuity Company, Inc., The |
ii. LEI, if any, or provide and describe other identifying number | TGIU5N0SIMULU6I57R64 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 398 | |
i. Full name | Benefit Plans Administrative Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | N/A |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 399 | |
i. Full name | BTG Pactual US Capital, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-68148 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 400 | |
i. Full name | BMO Harris Bank |
ii. LEI, if any, or provide and describe other identifying number | 3Y4U8VZURTYWI1W2K376 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 401 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 402 | |
i. Full name | Boenning & Scattergood, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-15543 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 403 | |
i. Full name | Citigroup Global Markets Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-08177 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 404 | |
i. Full name | Benjamin F. Edwards & Company, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-68023 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 405 | |
i. Full name | Client One 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 406 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 407 | |
i. Full name | Calton & Associates, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-38635 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 408 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 409 | |
i. Full name | Capital One Investing LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-51160 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 410 | |
i. Full name | Cadaret, Grant & Co., Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-27844 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 411 | |
i. Full name | Crestone Securities |
ii. LEI, if any, or provide and describe other identifying number | 8-52463 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 412 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 413 | |
i. Full name | FCG Advisors, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-49104 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 414 | |
i. Full name | Etico Partners, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-65500 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 415 | |
i. Full name | Capital Institutional Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-22273 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 416 | |
i. Full name | CFT Securities, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-51345 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 417 | |
i. Full name | Charles Schwab & Co., Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-16514 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 418 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 419 | |
i. Full name | Edward D. Jones & Co., L.P. |
ii. LEI, if any, or provide and describe other identifying number | 8-00759 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 420 | |
i. Full name | Excel Securities & Associates, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-34261 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 421 | |
i. Full name | FMSBonds, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-23280 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 422 | |
i. Full name | G. W. & 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 423 | |
i. Full name | FSB Warner Financial, 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 424 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 425 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 426 | |
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 | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 427 | |
i. Full name | G.L.S. & Associates, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-51808 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 428 | |
i. Full name | Gold Coast Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-53148 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 429 | |
i. Full name | FolioFN 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 430 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 431 | |
i. Full name | Gladowsky Capital Management Corp. |
ii. LEI, if any, or provide and describe other identifying number | 8-51017 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 432 | |
i. Full name | Goldman Sachs & Co. LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-00129 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 433 | |
i. Full name | Fortune Financial Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-49727 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 434 | |
i. Full name | First Kentucky Securities Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-22224 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 435 | |
i. Full name | Investment Placement Group |
ii. LEI, if any, or provide and describe other identifying number | 8-30700 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 436 | |
i. Full name | First Western Advisors |
ii. LEI, if any, or provide and describe other identifying number | 8-28729 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 437 | |
i. Full name | Healthcare Community Securities Corporation |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 438 | |
i. Full name | CUNA Brokerage Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-30027 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 439 | |
i. Full name | D.H. Hill Securities LLP |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 440 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 441 | |
i. Full name | Finance 500, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-28302 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 442 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 443 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 444 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 445 | |
i. Full name | GRF Capital Investors, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-41494 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 446 | |
i. Full name | Harvest Financial Corporation |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 447 | |
i. Full name | Hancock Bank Corporation |
ii. LEI, if any, or provide and describe other identifying number | 549300GRNBWY8HIICT41 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 448 | |
i. Full name | International Research Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-37954 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 449 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 450 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 451 | |
i. Full name | Kercheville & Company, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-32795 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 452 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 453 | |
i. Full name | Marsco Investment Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-36754 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 454 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 455 | |
i. Full name | International Financial Solutions, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-49020 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 456 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 457 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 458 | |
i. Full name | MMC Securities Corp. |
ii. LEI, if any, or provide and describe other identifying number | 8-52349 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 459 | |
i. Full name | Loria Financial Group, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-52128 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 460 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 461 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 462 | |
i. Full name | NYLife Distributors LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-46655 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 463 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 464 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 465 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 466 | |
i. Full name | Oberweis Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-49679 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 467 | |
i. Full name | FTB 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 468 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 469 | |
i. Full name | H. C. Denison Co. |
ii. LEI, if any, or provide and describe other identifying number | 8-00044 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 470 | |
i. Full name | Herndon Plant Oakley, LTD |
ii. LEI, if any, or provide and describe other identifying number | 8-50912 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 471 | |
i. Full name | J.P. Morgan Securities LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-35008 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 472 | |
i. Full name | Hennion & Walsh, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-41988 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 473 | |
i. Full name | Family Investors Company |
ii. LEI, if any, or provide and describe other identifying number | 8-11190 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 474 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 475 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 476 | |
i. Full name | Place Trade Financial, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-65915 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 477 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 478 | |
i. Full name | Huntleigh Securities Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-21893 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 479 | |
i. Full name | P. R. Herzig & Co. Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-22589 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 480 | |
i. Full name | Lincoln Investment Planning, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-14354 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 481 | |
i. Full name | Interactive Brokers LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-47257 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 482 | |
i. Full name | Northern Trust Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-23689 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 483 | |
i. Full name | Liberty Group, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-52994 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 484 | |
i. Full name | Roberts & Ryan Investments Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-37469 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 485 | |
i. Full name | Robinson & Robinson, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-17109 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 486 | |
i. Full name | North South Capital, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-67979 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 487 | |
i. Full name | Monex Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-44874 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 488 | |
i. Full name | Nationwide Securities, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-12500 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 489 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 490 | |
i. Full name | Morgan Stanley Smith Barney LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-68191 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 491 | |
i. Full name | Kalos Capital, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-50630 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 492 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 493 | |
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 | |
iv. Foreign country, if applicable | UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND |
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 494 | |
i. Full name | Patapsco Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-43485 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 495 | |
i. Full name | Petersen Investments, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-48306 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 496 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 497 | |
i. Full name | Pershing, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-17574 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 498 | |
i. Full name | Key West Investments, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-68166 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 499 | |
i. Full name | Sentinel Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-53142 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 500 | |
i. Full name | Liberty Capital Investment Corporation |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 501 | |
i. Full name | SEI Private Trust Company |
ii. LEI, if any, or provide and describe other identifying number | 028-10625 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 502 | |
i. Full name | Podesta & Co. |
ii. LEI, if any, or provide and describe other identifying number | 8-28860 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 503 | |
i. Full name | M. S. Howells & Co. |
ii. LEI, if any, or provide and describe other identifying number | 8-52558 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 504 | |
i. Full name | PWA Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-67700 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 505 | |
i. Full name | Saperston Asset Management, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-50658 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 506 | |
i. Full name | Meridien Financial Group, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-26090 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 507 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 508 | |
i. Full name | Sisung Securities Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-42121 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 509 | |
i. Full name | Regulus Advisors, 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 510 | |
i. Full name | Reliance Trust Company |
ii. LEI, if any, or provide and describe other identifying number | 549300NV8FSQRNOUQO50 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 511 | |
i. Full name | St. Bernard Financial Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-47566 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 512 | |
i. Full name | Pyramid Funds Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-12769 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 513 | |
i. Full name | Southeast Investments, N.C., Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-50127 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 514 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 515 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 516 | |
i. Full name | Mid-Atlantic Clearing & Settlement Corp. |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 517 | |
i. Full name | Saxony Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-53490 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 518 | |
i. Full name | Nelson Ivest Brokerage Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-26448 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 519 | |
i. Full name | Mid-Atlantic Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-36997 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 520 | |
i. Full name | Paradigm Equities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-45593 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 521 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 522 | |
i. Full name | SG Americas Securities, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-66125 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 523 | |
i. Full name | Oriental Financial Services Corp. |
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 | PUERTO RICO |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 524 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 525 | |
i. Full name | Pension Dynamics Securities Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-52535 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 526 | |
i. Full name | Nestlerode & Loy, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-12629 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 527 | |
i. Full name | Summit Brokerage Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-46310 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 528 | |
i. Full name | SWBC Investment Services, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-66764 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 529 | |
i. Full name | Treasure Financial Corp. |
ii. LEI, if any, or provide and describe other identifying number | 8-48165 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 530 | |
i. Full name | TradeStation Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-48711 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 531 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 532 | |
i. Full name | Stifel, Nicolaus & Company, Incorporated |
ii. LEI, if any, or provide and describe other identifying number | 8-01447 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 533 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 534 | |
i. Full name | UBS Financial Services Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-16267 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 535 | |
i. Full name | TRG Advisors, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-50449 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 536 | |
i. Full name | Purshe Kaplan Sterling Investments |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 537 | |
i. Full name | Questar Capital Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-50174 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 538 | |
i. Full name | TD Ameritrade Clearing, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-16335 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 539 | |
i. Full name | The Capital Group Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-52512 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 540 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 541 | |
i. Full name | VBC Securities, LLC |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 542 | |
i. Full name | Transamerica Financial Advisors, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-33429 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 543 | |
i. Full name | TransAm 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 | 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 544 | |
i. Full name | Univest Investments, Inc. |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 545 | |
i. Full name | USAA Investment Management Company |
ii. LEI, if any, or provide and describe other identifying number | 8-41241 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 546 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 547 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 548 | |
i. Full name | USCA Securities LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-52285 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 549 | |
i. Full name | Wiley Bros.-Aintree Capital, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-03774 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 550 | |
i. Full name | Wayne Hummer Investments, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-00484 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 551 | |
i. Full name | Wheelhouse Securities Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-68105 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 552 | |
i. Full name | Schlitt Investor Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-34202 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 553 | |
i. Full name | Uhlmann Price Securities, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-50041 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 554 | |
i. Full name | S.A. Stone Wealth Management |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 555 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 556 | |
i. Full name | Wells Fargo Clearing Services, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-37180 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 557 | |
i. Full name | Supreme Alliance, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-51046 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 558 | |
i. Full name | Wescom Financial Services, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-66189 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 559 | |
i. Full name | William Blair & Company L.L.C. |
ii. LEI, if any, or provide and describe other identifying number | 8-02698 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 560 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 561 | |
i. Full name | Trade-PMR 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 562 | |
i. Full name | Great-West Financial Retirement Plan Services, LLC |
ii. LEI, if any, or provide and describe other identifying number | N/A |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 563 | |
i. Full name | Mercer HR Services, LLC |
ii. LEI, if any, or provide and describe other identifying number | N/A |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 564 | |
i. Full name | Sterling Monroe Securities, 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 565 | |
i. Full name | State Farm VP Management Corp |
ii. LEI, if any, or provide and describe other identifying number | 8-50128 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 566 | |
i. Full name | Triad Advisors, Inc. |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 567 | |
i. Full name | Calamar Financial Group |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 568 | |
i. Full name | GLP Investment Services |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 569 | |
i. Full name | WedBush Securities Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-12987 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 570 | |
i. Full name | Sammons Retirement Solutions, Inc. |
ii. LEI, if any, or provide and describe other identifying number | N/A |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 571 | |
i. Full name | Vanderbilt Securities, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-16712 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 572 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 573 | |
i. Full name | World Choice Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-45235 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 574 | |
i. Full name | Woodlands Securities Corporation |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 575 | |
i. Full name | Hartford Funds Management Company, LLC |
ii. LEI, if any, or provide and describe other identifying number | 801-77209 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 576 | |
i. Full name | Voya Retirement Insurance and Annuity Company |
ii. LEI, if any, or provide and describe other identifying number | OK3MKCDYPD4NN6QDGK18 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 577 | |
i. Full name | Primerica Shareholder Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 084-01499 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 578 | |
i. Full name | Saturna Trust Company |
ii. LEI, if any, or provide and describe other identifying number | N/A |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 579 | |
i. Full name | John Hancock Life Insurance Company |
ii. LEI, if any, or provide and describe other identifying number | QQ0OZ8J9C4B5QT1XDG31 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 580 | |
i. Full name | American Wealth Management |
ii. LEI, if any, or provide and describe other identifying number | 8-41807 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 581 | |
i. Full name | Principal Life Insurance Company |
ii. LEI, if any, or provide and describe other identifying number | SDCMU2LVKGV2AF1KWP64 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 582 | |
i. Full name | ABD Retirement Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-69271 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 583 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 584 | |
i. Full name | 1st Global Capital Corp. |
ii. LEI, if any, or provide and describe other identifying number | 8-44870 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 585 | |
i. Full name | Alight Solutions LLC |
ii. LEI, if any, or provide and describe other identifying number | 084-01996 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 586 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 587 | |
i. Full name | American Enterprise Investment Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-42582 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 588 | |
i. Full name | American Capital Partners, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-65165 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 589 | |
i. Full name | Aon Benfield Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-14953 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 590 | |
i. Full name | Avalon Investment & Securities Group, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-17078 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 591 | |
i. Full name | Arive Capital Markets |
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 | 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 592 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 593 | |
i. Full name | American Financial Associates, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-44065 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 594 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 595 | |
i. Full name | Advisory Group Equity 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 596 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 597 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 598 | |
i. Full name | Arvest Investments, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-49677 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 599 | |
i. Full name | BBVA Securities Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-42857 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 600 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 601 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 602 | |
i. Full name | BTS Securities Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-26818 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 603 | |
i. Full name | B.C. Ziegler & Company |
ii. LEI, if any, or provide and describe other identifying number | 8-00094 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 604 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 605 | |
i. Full name | Bley Investments 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 606 | |
i. Full name | Bankers Life Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-69562 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 607 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 608 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 609 | |
i. Full name | BPU Investment Management, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-34979 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 610 | |
i. Full name | Capitol Securities Management, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-30353 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 611 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 612 | |
i. Full name | Bodell Overcash Anderson & Co., Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-15775 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 613 | |
i. Full name | Cambridge Investment Research, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-48740 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 614 | |
i. Full name | Comerica Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-35001 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 615 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 616 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 617 | |
i. Full name | Carty & Company, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-19082 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 618 | |
i. Full name | Coburn & Meredith, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-02474 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 619 | |
i. Full name | Cascade Investment Group, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-46943 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 620 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 621 | |
i. Full name | Consolidated Financial Investments, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-37004 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 622 | |
i. Full name | Centaurus Financial, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-45185 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 623 | |
i. Full name | Centennial Securities Company, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-23406 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 624 | |
i. Full name | Crescent Securities Group |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 625 | |
i. Full name | Citizens Bank |
ii. LEI, if any, or provide and describe other identifying number | DRMSV1Q0EKMEXLAU1P80 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 626 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 627 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 628 | |
i. Full name | CIBC World Markets Corp. |
ii. LEI, if any, or provide and describe other identifying number | 8-18333 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 629 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 630 | |
i. Full name | Century Securities Associates, Inc. |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 631 | |
i. Full name | Coastal Equities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-40822 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 632 | |
i. Full name | Credit Suisse Securities (USA) LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-00422 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 633 | |
i. Full name | Davenport & Company LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-17103 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 634 | |
i. Full name | Arque Capital, Ltd. |
ii. LEI, if any, or provide and describe other identifying number | 8-65390 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 635 | |
i. Full name | Duncan-Williams, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-18971 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 636 | |
i. Full name | Berthel, Fisher & Company Financial Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-29426 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 637 | |
i. Full name | David Lerner Associates, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-20746 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 638 | |
i. Full name | D.A. Davidson & Co. |
ii. LEI, if any, or provide and describe other identifying number | 8-02399 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 639 | |
i. Full name | CBIZ Financial Solutions, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-34205 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 640 | |
i. Full name | Dominick & Dominick LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-21076 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 641 | |
i. Full name | Eastern Point Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-39398 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 642 | |
i. Full name | Commerce Brokerage Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-35096 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 643 | |
i. Full name | Edwin C. Blitz Investments, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-22741 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 644 | |
i. Full name | Dougherty & Company LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-21937 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 645 | |
i. Full name | Federated Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-15644 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 646 | |
i. Full name | E*Trade Savings Bank |
ii. LEI, if any, or provide and describe other identifying number | 549300DXPO50FJ75QA85 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 647 | |
i. Full name | Dorsey & Company, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-07541 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 648 | |
i. Full name | Cary Street Partners LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-66085 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 649 | |
i. Full name | First Bankers' Banc Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-31584 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 650 | |
i. Full name | Essex Securities LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-51472 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 651 | |
i. Full name | Financial Northeastern Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-34883 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 652 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 653 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 654 | |
i. Full name | Foresters Equity Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-36703 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 655 | |
i. Full name | First Heartland Capital, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-46008 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 656 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 657 | |
i. Full name | First Southern, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-69733 |
Description of other identifying number | SEC File Number |
iii. State, if applicable | PUERTO RICO |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 658 | |
i. Full name | Gardner Financial Services, 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 659 | |
i. Full name | G.F. Investment Services, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-66659 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 660 | |
i. Full name | Foresters Financial Services |
ii. LEI, if any, or provide and describe other identifying number | 8-13891 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 661 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 662 | |
i. Full name | E-W Investments, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-35259 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 663 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 664 | |
i. Full name | Garden State Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-25790 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 665 | |
i. Full name | City National Bank |
ii. LEI, if any, or provide and describe other identifying number | 593C3GZG957YOJPS2Z63 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 666 | |
i. Full name | Hancock Investment Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-49106 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 667 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 668 | |
i. Full name | Geoffrey Richards Securities Corp. |
ii. LEI, if any, or provide and describe other identifying number | 8-65251 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 669 | |
i. Full name | Genworth Life & Annuity Insurance Company |
ii. LEI, if any, or provide and describe other identifying number | TAI340D9BWT9R77O0P03 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 670 | |
i. Full name | David A. Noyes & Company |
ii. LEI, if any, or provide and describe other identifying number | 8-22752 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 671 | |
i. Full name | Great Pacific Securities |
ii. LEI, if any, or provide and describe other identifying number | 8-44398 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 672 | |
i. Full name | Hunter Associates, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-44779 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 673 | |
i. Full name | IDB Capital Corp. |
ii. LEI, if any, or provide and describe other identifying number | 8-53000 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 674 | |
i. Full name | Hanson McClain Securities |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 675 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 676 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 677 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 678 | |
i. Full name | Horace Mann Life Insurance Co. |
ii. LEI, if any, or provide and describe other identifying number | 5493000HR2JKKNH2FL09 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 679 | |
i. Full name | Innovation Partners LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-67812 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 680 | |
i. Full name | InvestShares (Legal name: IMA Securities LLC) |
ii. LEI, if any, or provide and describe other identifying number | 8-68365 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 681 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 682 | |
i. Full name | Hilltop Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-45123 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 683 | |
i. Full name | Hightower Securities, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-53560 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 684 | |
i. Full name | Independent Financial Group, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-22870 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 685 | |
i. Full name | J.A. Glynn & Co. |
ii. LEI, if any, or provide and describe other identifying number | 8-39465 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 686 | |
i. Full name | Jefferies, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-15074 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 687 | |
i. Full name | Institutional Securities Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-38158 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 688 | |
i. Full name | JJB Hilliard WL Lyons |
ii. LEI, if any, or provide and describe other identifying number | 8-33133 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 689 | |
i. Full name | Joseph Gunnar & Co. LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-41386 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 690 | |
i. Full name | Investment Professionals, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-44786 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 691 | |
i. Full name | K. W. Chambers & CO. |
ii. LEI, if any, or provide and describe other identifying number | 8-10533 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 692 | |
i. Full name | Jack V. Butterfield Investment Company |
ii. LEI, if any, or provide and describe other identifying number | 8-12454 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 693 | |
i. Full name | Highlander Capital Group, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-37169 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 694 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 695 | |
i. Full name | L. B. Fisher & Company |
ii. LEI, if any, or provide and describe other identifying number | 8-21023 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 696 | |
i. Full name | Landolt Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-43645 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 697 | |
i. Full name | Leigh Baldwin & Co., LLC |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 698 | |
i. Full name | Liberty Partners Financial Services, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-66335 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 699 | |
i. Full name | Ladenburg Thalman & Co. Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-17230 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 700 | |
i. Full name | Lantern Investments, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-45285 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 701 | |
i. Full name | Kovack Securities Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-50847 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 702 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 703 | |
i. Full name | Mack Investment Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-35536 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 704 | |
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 | NEW HAMPSHIRE |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 705 | |
i. Full name | Madison Avenue Securities, Inc. |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 706 | |
i. Full name | MBSC Securities Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-13801 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 707 | |
i. Full name | 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 708 | |
i. Full name | Merrill Lynch, Pierce, Fenner & Smith Incorporated |
ii. LEI, if any, or provide and describe other identifying number | 8-07221 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 709 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 710 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 711 | |
i. Full name | M&T Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-35185 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 712 | |
i. Full name | Morgan Stanley & Co. LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-15869 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 713 | |
i. Full name | MV Securities Group, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-47827 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 714 | |
i. Full name | Mutual Trust Co. of America Securities |
ii. LEI, if any, or provide and describe other identifying number | 8-25547 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 715 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 716 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 717 | |
i. Full name | MHA Financial Corp. |
ii. LEI, if any, or provide and describe other identifying number | 8-21836 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 718 | |
i. Full name | Mutual Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-28580 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 719 | |
i. Full name | Northern Capital Securities Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-49130 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 720 | |
i. Full name | NorthWestern Mutual Investment Services, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-14088 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 721 | |
i. Full name | Neidiger, Tucker, Bruner, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-21884 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 722 | |
i. Full name | Nicol Investors Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-65566 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 723 | |
i. Full name | Investacorp, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-22598 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 724 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 725 | |
i. Full name | Northland Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-48994 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 726 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 727 | |
i. Full name | Old National Trust Company |
ii. LEI, if any, or provide and describe other identifying number | 028-00344 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 728 | |
i. Full name | NPB Financial Group, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-67113 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 729 | |
i. Full name | L.S.Y., Inc. |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 730 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 731 | |
i. Full name | NYLife Securities LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-15517 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 732 | |
i. Full name | Oscar Gruss & Son Incorporated |
ii. LEI, if any, or provide and describe other identifying number | 8-22371 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 733 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 734 | |
i. Full name | Pacific Financial Associates, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-40712 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 735 | |
i. Full name | Planmember Securities Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-25065 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 736 | |
i. Full name | Peak Brokerage Services, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-68829 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 737 | |
i. Full name | PNC Bank, N.A. |
ii. LEI, if any, or provide and describe other identifying number | AD6GFRVSDT01YPT1CS68 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 738 | |
i. Full name | Princor Financial Services Corporation |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 739 | |
i. Full name | Lincoln Financial Distributors, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-13431 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 740 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 741 | |
i. Full name | Reliance Worldwide Investments, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-67575 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 742 | |
i. Full name | Raymond James & Associates, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-10999 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 743 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 744 | |
i. Full name | Register Financial Associates, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-45012 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 745 | |
i. Full name | Investment Architects, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-35724 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 746 | |
i. Full name | RJJ Pasadena Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-25324 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 747 | |
i. Full name | Hapoalim Securities USA, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-03018 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 748 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 749 | |
i. Full name | Intercontinental Asset Management Group, Ltd. |
ii. LEI, if any, or provide and describe other identifying number | 8-39706 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 750 | |
i. Full name | Ross, Sinclaire & Associates, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-41740 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 751 | |
i. Full name | Royal Alliance Associates, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-40218 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 752 | |
i. Full name | Sabadell Securities USA, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-67975 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 753 | |
i. Full name | Lara, May & Associates, 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 754 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 755 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 756 | |
i. Full name | SDDCO Brokerage Advisors, 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 757 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 758 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 759 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 760 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 761 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 762 | |
i. Full name | RBC Capital Markets, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-45411 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 763 | |
i. Full name | Simmons First Investment Group, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-51795 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 764 | |
i. Full name | Snowden Account Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-68188 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 765 | |
i. Full name | Securities Service Network, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-28980 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 766 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 767 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 768 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 769 | |
i. Full name | Nations Financial Group, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-50588 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 770 | |
i. Full name | TD Ameritrade, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-23395 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 771 | |
i. Full name | Slavic Investment Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-40024 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 772 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 773 | |
i. Full name | Sycamore Financial Group |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 774 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 775 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 776 | |
i. Full name | OFG Financial Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-40770 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 777 | |
i. Full name | Signature Securities Group Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-52697 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 778 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 779 | |
i. Full name | Prospera Financial Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-28164 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 780 | |
i. Full name | Planned Financial Programs, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-05727 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 781 | |
i. Full name | SECU Brokerage Services |
ii. LEI, if any, or provide and describe other identifying number | 8-37927 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 782 | |
i. Full name | Penates Group, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-50594 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 783 | |
i. Full name | SunTrust Bank |
ii. LEI, if any, or provide and describe other identifying number | IYDOJBGJWY9T8XKCSX06 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 784 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 785 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 786 | |
i. Full name | SunTrust 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 787 | |
i. Full name | The Garbacz Group Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-42366 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 788 | |
i. Full name | TIAA-CREF Individual & Institutional Services, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-44454 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 789 | |
i. Full name | Thoroughbred Financial Services, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-51944 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 790 | |
i. Full name | The Jeffrey Matthews Financial Group, L.L.C. |
ii. LEI, if any, or provide and describe other identifying number | 8-49352 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 791 | |
i. Full name | The O.N. Equity Sales Company |
ii. LEI, if any, or provide and describe other identifying number | 8-14161 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 792 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 793 | |
i. Full name | Unionbanc Investment Services, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-30706 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 794 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 795 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 796 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 797 | |
i. Full name | The Lawrence D. Vitez Corp. DBA Consolidated Securities |
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 | 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 798 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 799 | |
i. Full name | Sigma Financial Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-30466 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 800 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 801 | |
i. Full name | T. Rowe Price Investment Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-25130 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 802 | |
i. Full name | Vaughan & Co Securities, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-36916 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 803 | |
i. Full name | Wall Street Access |
ii. LEI, if any, or provide and describe other identifying number | 8-25936 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 804 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 805 | |
i. Full name | UBS AG, New York Branch |
ii. LEI, if any, or provide and describe other identifying number | BFM8T61CT2L1QCEMIK50 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 806 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 807 | |
i. Full name | Watermark Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-43902 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 808 | |
i. Full name | TD Ameritrade Trust Company |
ii. LEI, if any, or provide and describe other identifying number | 028-15163 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 809 | |
i. Full name | Winslow, Evans & Crocker, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-44347 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 810 | |
i. Full name | Weller, Anderson & Co., 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 811 | |
i. Full name | World Trend Financial Planning Services, Ltd. |
ii. LEI, if any, or provide and describe other identifying number | 8-43693 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 812 | |
i. Full name | Voya Financial Partners, LLC |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 813 | |
i. Full name | VOYA Investments Distributors, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-48020 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 814 | |
i. Full name | Zions Investment |
ii. LEI, if any, or provide and describe other identifying number | 8-35721 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 815 | |
i. Full name | JPMorgan Chase Bank, N.A. |
ii. LEI, if any, or provide and describe other identifying number | 7H6GLYDRUGQFU57RNE97 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 816 | |
i. Full name | Teachers Insurance and Annuity Association of America |
ii. LEI, if any, or provide and describe other identifying number | O06YD7BJ4EPYNABVFN69 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 817 | |
i. Full name | Nationwide Financial Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 5493001H7AZNDS6BKJ36 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 818 | |
i. Full name | Nest Investments BD, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-70117 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 819 | |
i. Full name | Superior Financial Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-52618 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 820 | |
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 | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 821 | |
i. Full name | United Planners' Financial Services of America A Limited Partner |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 822 | |
i. Full name | Chalice Capital Partners, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-69967 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 823 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 824 | |
i. Full name | Thompson Davis & Co., Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-49386 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 825 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 826 | |
i. Full name | MSEC, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-68627 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 827 | |
i. Full name | American United Life Insurance Company |
ii. LEI, if any, or provide and describe other identifying number | 549300T82H2DYU80LV98 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 828 | |
i. Full name | AssetMark Trust Company |
ii. LEI, if any, or provide and describe other identifying number | N/A |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 829 | |
i. Full name | Whitehall-Parker Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-27688 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 830 | |
i. Full name | Weston Securities Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-32664 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 831 | |
i. Full name | BD4RIA, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-70022 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 832 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 833 | |
i. Full name | Benefit Trust Company |
ii. LEI, if any, or provide and describe other identifying number | N/A |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 834 | |
i. Full name | Vanguard Marketing Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-21570 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 835 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 836 | |
i. Full name | Invicta Capital, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-69923 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 837 | |
i. Full name | Concord Wealth Brokerage |
ii. LEI, if any, or provide and describe other identifying number | 8-41511 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 838 | |
i. Full name | Voya Institutional Plan Services, LLC |
ii. LEI, if any, or provide and describe other identifying number | N/A |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
b. Has a shareholder servicing agent been hired or terminated during the reporting period? | ![]() ![]() |
Item C.14. Administrators.
a. Provide the following information about each administrator of the Fund: |
Administrators Record: 1 | |
i. Full name | BlackRock Advisors, LLC |
ii. LEI, if any, or other identifying number | 5493001LN9MRM6A35J74 |
Description of other identifying number | |
iii. State, if applicable | DELAWARE |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the administrator an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the administrator a sub-administrator? | ![]() ![]() |
Administrators Record: 2 | |
i. Full name | JPMorgan Chase Bank, N.A. |
ii. LEI, if any, or other identifying number | 7H6GLXDRUGQFU57RNE97 |
Description of other identifying number | |
iii. State, if applicable | NEW YORK |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the administrator an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the administrator a sub-administrator? | ![]() ![]() |
b.Has a third-party administrator been hired or terminated during the reporting period? | ![]() ![]() |
Item C.15. Affiliated broker-dealers.
Provide the following information about each affiliated broker-dealer: |
Broker Dealers Record: 1 | |
a. Full name | BlackRock Execution Services |
b. SEC file number | 8-48719 |
c. CRD number | 000039438 |
d. LEI, if any | 549300HFCRQ0NT5KY652 |
e. State, if applicable | NEW YORK |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0 |
Broker Dealers Record: 2 | |
a. Full name | BlackRock Investments, LLC |
b. SEC file number | 8-48436 |
c. CRD number | 000038642 |
d. LEI, if any | N/A |
e. State, if applicable | NEW YORK |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0 |
Item C.16. Brokers.
Instructions to Item C.16 and Item C.17. To help Registrants distinguish between agency and principal transactions, and to promote consistent reporting of the information required by these items, the following criteria should be used: 1. If a security is purchased or sold in a transaction for which the confirmation specifies the amount of the commission to be paid by the Registrant, the transaction should be considered an agency transaction and included in determining the answers to Item C.16. 2. If a security is purchased or sold in a transaction for which the confirmation specifies only the net amount to be paid or received by the Registrant and such net amount is equal to the market value of the security at the time of the transaction, the transaction should be considered a principal transaction and included in determining the amounts in Item C.17. 3. If a security is purchased by the Registrant in an underwritten offering, the acquisition should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the underwriters are receiving from the issuer. 4. If a security is sold by the Registrant in a tender offer, the sale should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the offeror is paying to soliciting brokers or dealers. 5. If a security is purchased directly from the issuer (such as a bank CD), the purchase should be considered a principal transaction and included in answering Item C.17. 6. The value of called or maturing securities should not be counted in either agency or principal transactions and should not be included in determining the amounts shown in Item C.16 and Item C.17. This means that the acquisition of a security may be included, but it is possible that its disposition may not be included. Disposition of a repurchase agreement at its expiration date should not be included. 7. The purchase or sales of securities in transactions not described in paragraphs (1) through (6) above should be evaluated by the Fund based upon the guidelines established in those paragraphs and classified accordingly. The agents considered in Item C.16 may be persons or companies not registered under the Exchange Act as securities brokers. The persons or companies from whom the investment company purchased or to whom it sold portfolio instruments on a principal basis may be persons or entities not registered under the Exchange Act as securities dealers. |
a. For each of the ten brokers that received the largest dollar amount of brokerage commissions (excluding dealer concessions in underwritings) by virtue of direct or indirect participation in the Fund’s portfolio transactions, provide the information below: |
i. Full name of broker | |
ii. SEC file number | |
iii. CRD number | |
iv. LEI, if any | |
v. State, if applicable | |
vi. Foreign country, if applicable | |
vii. Gross commissions paid by the Fund for the reporting period |
b. Aggregate brokerage commissions paid by Fund during the reporting period: | 0 |
Item C.17. Principal transactions.
a. For each of the ten entities acting as principals with which the Fund did the largest dollar amount of principal transactions (include all short-term obligations, and U.S. government and tax-free securities) in both the secondary market and in underwritten offerings, provide the information below: |
Principal Transactions Record: 1 | |
i. Full name of dealer | Barclays Capital, Inc. |
ii. SEC file number | 8-41342 |
iii. CRD number | 000019714 |
iv. LEI, if any | AC28XWWI3WIBK2824319 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 8836944587.86 |
Principal Transactions Record: 2 | |
i. Full name of dealer | J.P. Morgan Securities LLC |
ii. SEC file number | 8-35008 |
iii. CRD number | 000000079 |
iv. LEI, if any | ZBUT11V806EZRVTWT807 |
v. State, if applicable | OHIO |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 143846408329.42 |
Principal Transactions Record: 3 | |
i. Full name of dealer | Mizuho Securities USA LLC |
ii. SEC file number | 8-37710 |
iii. CRD number | 000019647 |
iv. LEI, if any | 549300HS3WTRS6D88H32 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 9729662149.28 |
Principal Transactions Record: 4 | |
i. Full name of dealer | BofA Securities, Inc. |
ii. SEC file number | 8-69787 |
iii. CRD number | 000283942 |
iv. LEI, if any | 549300HN4UKV1E2R3U73 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 25665325951.989998 |
Principal Transactions Record: 5 | |
i. Full name of dealer | Nomura Securities International, Inc. |
ii. SEC file number | 8-15255 |
iii. CRD number | 000004297 |
iv. LEI, if any | OXTKY6Q8X53C9ILVV871 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 21626696020.62 |
Principal Transactions Record: 6 | |
i. Full name of dealer | HSBC Securities (USA) Inc. |
ii. SEC file number | 8-41562 |
iii. CRD number | 000019585 |
iv. LEI, if any | CYYGQCGNHMHPSMRL3R97 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 6333013709.23 |
Principal Transactions Record: 7 | |
i. Full name of dealer | Wells Fargo Securities LLC |
ii. SEC file number | 8-65876 |
iii. CRD number | 000126292 |
iv. LEI, if any | VYVVCKR63DVZZN70PB21 |
v. State, if applicable | NORTH CAROLINA |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 13652067473.49 |
Principal Transactions Record: 8 | |
i. Full name of dealer | Citigroup Global Markets, Inc. |
ii. SEC file number | 8-08177 |
iii. CRD number | 000007059 |
iv. LEI, if any | MBNUM2BPBDO7JBLYG310 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 16756469583.47 |
Principal Transactions Record: 9 | |
i. Full name of dealer | U.S. Bancorp Investments, Inc. |
ii. SEC file number | 8-35359 |
iii. CRD number | 000017868 |
iv. LEI, if any | N1GZ7BBF3NP8GI976H15 |
v. State, if applicable | MINNESOTA |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 30927148151.510002 |
Principal Transactions Record: 10 | |
i. Full name of dealer | Morgan Stanley & Co., Inc. |
ii. SEC file number | 8-15869 |
iii. CRD number | 000008209 |
iv. LEI, if any | 9R7GPTSO7KV3UQJZQ078 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 5375063034.39 |
b. Aggregate value of principal purchase/sale transactions of Fund during the reporting period: | 314984764709.84 |
Item C.18. Payments for brokerage and research.
During the reporting period, did the Fund pay commissions to broker-dealers for "brokerage and research services" within the meaning of section 28(e) of the Exchange Act (15 U.S.C. 78bb)? | ![]() ![]() |
Item C.19. Average net assets.
a. Provide the Fund's (other than a money market fund's) monthly average net assets during the reporting period | |
b. Provide the money market fund's daily average net assets during the reporting period | 36284610238.69 |
Item C.20. Lines of credit, interfund lending and interfund borrowing.
a. Does the Fund have available a line of credit? | ![]() ![]() |
b. Did the Fund engage in interfund lending? | ![]() ![]() |
c.Did the Fund engage in interfund borrowing? | ![]() ![]() |
Management Investment Record: 10 |
Item C.1. Background information.
a. Full Name of the Fund | FedFund |
b. Series identication number, if any | S000001475 |
c. LEI | 549300T8K043VZEOVK74 |
d. Is this the first filing on this form by the Fund? | ![]() ![]() |
Item C.2. Classes of open-end management investment companies.
a. How many Classes of shares of the Fund (if any) are authorized? | 10 |
b. How many new Classes of shares of the Fund were added during the reporting period? | 0 |
c. How many Classes of shares of the Fund were terminated during the reporting period? | 0 |
d. For each Class with shares outstanding, provide the information requested below: | |
Shares Outstanding Record: 1 | |
i. Full name of Class | Premier |
ii. Class identification number, if any | C000003926 |
iii. Ticker symbol, if any | BUPXX |
Shares Outstanding Record: 2 | |
i. Full name of Class | Cash Reserve |
ii. Class identification number, if any | C000003931 |
iii. Ticker symbol, if any | BFRXX |
Shares Outstanding Record: 3 | |
i. Full name of Class | Capital |
ii. Class identification number, if any | C000003927 |
iii. Ticker symbol, if any | BFCXX |
Shares Outstanding Record: 4 | |
i. Full name of Class | Cash Management |
ii. Class identification number, if any | C000003924 |
iii. Ticker symbol, if any | BFFXX |
Shares Outstanding Record: 5 | |
i. Full name of Class | Private Client |
ii. Class identification number, if any | C000003929 |
iii. Ticker symbol, if any | BRPXX |
Shares Outstanding Record: 6 | |
i. Full name of Class | Select |
ii. Class identification number, if any | C000003932 |
iii. Ticker symbol, if any | BFBXX |
Shares Outstanding Record: 7 | |
i. Full name of Class | Institutional |
ii. Class identification number, if any | C000003928 |
iii. Ticker symbol, if any | TFDXX |
Shares Outstanding Record: 8 | |
i. Full name of Class | Dollar |
ii. Class identification number, if any | C000003930 |
iii. Ticker symbol, if any | TDDXX |
Shares Outstanding Record: 9 | |
i. Full name of Class | Administration |
ii. Class identification number, if any | C000003923 |
iii. Ticker symbol, if any | BLFXX |
Item C.3. Type of fund.
Instructions. 1. "Fund of Funds" means a fund that acquires securities issued by any other investment company in excess of the amounts permitted under paragraph (A) of section 12(d)(1) of the Act (15 U.S.C. 80a-12(d)(1)(A)), but, for purposes of this Item, does not include a fund that acquires securities issued by another company solely in reliance on rule 12d1-1 under the Act (CFR 270.12d1-1). 2. "Index Fund" means an investment company, including an Exchange-Traded Fund, that seeks to track the performance of a specified index. 3. "Interval Fund" means a closed-end management investment company that makes periodic repurchases of its shares pursuant to rule 23c-3 under the Act (17 CFR 270.23c-3). 4. "Master-Feeder Fund" means a two-tiered arrangement in which one or more funds (each a feeder fund) holds shares of a single Fund (the master fund) in accordance with section 12(d)(1)(E) of the Act (15 U.S.C. 80a-12(d)(1)(E)) or pursuant to exemptive relief granted by the Commission. 5. "Target Date Fund" means an investment company that has an investment objective or strategy of providing varying degrees of long-term appreciation and capital preservation through a mix of equity and fixed income exposures that changes over time based on an investor's age, target retirement date, or life expectancy. |
Indicate if the Fund is any one of the types listed below. Check all that apply. |
a. Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund i. ![]() ii. ![]() b. ![]() c. ![]() d. ![]() e. ![]() f. ![]() g. ![]() h. ![]() i. ![]() ![]() |
Item C.4. Diversification.
Does the Fund seek to operate as a “non-diversified company” as such term is defined in section 5(b)(2) of the Act (15 U.S.C. 80a- 5(b) (2))? | ![]() ![]() |
Item C.5. Investments in certain foreign corporations.
Instruction. "Controlled foreign corporation" has the meaning provided in section 957 of the Internal Revenue Code [26 U.S.C. 957]. |
a. Does the fund invest in a controlled foreign corporation for the purpose of investing in certain types of instruments such as, but not limited to, commodities? | ![]() ![]() |
Item C.6. Securities lending.
Instruction. For purposes of this Item, other adverse impacts would include, for example, (1) a loss to the Fund if collateral and indemnification were not sufficient to replace the loaned securities or their value, (2) the Fund's ineligibility to vote shares in a proxy, or (3) the Fund's ineligibility to receive a direct distribution from the issuer. |
a. Is the Fund authorized to engage in securities lending transactions? | ![]() ![]() |
b. Did the Fund lend any of its securities during the reporting period? | ![]() ![]() |
c. Provide the information requested below about each securities lending agent, if any, retained by the Fund: |
Securities Lending Record: 1 | |
i. Full name of securities lending agent | BlackRock Investment Management, LLC |
ii. LEI, if any | 5493006MRTEZZ4S4CQ20 |
iii. Is the securities lending agent an affiliated person, or an affiliated person of an affiliated person, of the Fund? | ![]() ![]() |
iv. Does the securities lending agent or any other entity indemnify the fund against borrower default on loans administered by this agent? | ![]() ![]() |
v. If the entity providing the indemnification is not the securities lending agent, provide the following information: |
Idemnity Providers Record: 1 |
1. Name of person providing indemnification | N/A |
2. LEI, if any, of person providing indemnification | N/A |
vi. Did the Fund exercise its indemnification rights during the reporting period? | ![]() ![]() |
d. If a person providing cash collateral management services to the Fund in connection with the Fund's securities lending activities does not also serve as securities lending agent, provide the following information about each cash collateral manager: |
i. Full name of cash collateral manager: | |
ii. LEI, if any: | |
iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund? | ![]() ![]() |
iv. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of the Fund? | ![]() ![]() |
e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply): | ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
If other, describe: | Rebates paid to borrowers |
f. Provide the monthly average of the value of portfolio securities on loan during the reporting period | N/A |
g. Provide the net income from securities lending activities | N/A |
Item C.7. Reliance on certain rules.
Did the Fund rely on any of the following rules under the Act during the reporting period? (check all that apply) | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Item C.8. Expense limitations.
Instruction. Provide information concerning any direct or indirect limitations, waivers or reductions, on the level of expenses incurred by the fund during the reporting period. A limitation, for example, may be applied indirectly (such as when an adviser agrees to accept a reduced fee pursuant to a voluntary fee waiver) or it may apply only for a temporary period such as for a new fund in its start-up phase. |
a. Did the Fund have an expense limitation arrangement in place during the reporting period? | ![]() ![]() |
b. Were any expenses of the Fund reduced or waived pursuant to an expense limitation arrangement during the reporting period? | ![]() ![]() |
c. Are the fees waived subject to recoupment? | ![]() ![]() |
d. Were any expenses previously waived recouped during the period? | ![]() ![]() |
Item C.9. Investment advisers.
a. Provide the following information about each investment adviser (other than a sub-adviser) of the Fund: |
Investment Advisers Record: 1 | |
i. Full name | BlackRock Advisors, LLC |
ii. SEC file number ( e.g., 801- ) | 801-47710 |
iii.CRD number | 000106614 |
iv. LEI, if any | 5493001LN9MRM6A35J74 |
v. State, if applicable | DELAWARE |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Was the investment adviser hired during the reporting period? | ![]() ![]() |
b. If an investment adviser (other than a sub- adviser) to the Fund was terminated during the reporting period, provide the following with respect to each investment adviser: |
i. Full name | |
ii. SEC file number ( e.g., 801- ) | |
iii. CRD number | |
iv. LEI, if any | |
v. State, if applicable | |
vi. Foreign country, if applicable | |
vii. Termination date |
c. For each sub-adviser to the Fund, provide the information requested: |
i. Full name | |
ii. SEC file number ( e.g., 801- ), if applicable | |
iii. CRD number | |
iv. LEI, if any | |
v. State, if applicable | |
vi. Foreign country, if applicable | |
vii. Is the sub-adviser an affiliated person of the Fund's investment adviser(s)? | ![]() ![]() |
viii. Was the sub-adviser hired during the reporting period? | ![]() ![]() |
d. If a sub-adviser was terminated during the reporting period, provide the following with respect to such sub-adviser: |
i. Full name | |
ii. SEC file number ( e.g., 801- ) | |
iii. CRD number | |
iv. LEI, if any | |
v. State, if applicable | |
vi. Foreign country, if applicable | |
vii. Termination date |
Item C.10. Transfer agents.
a. Provide the following information about each person providing transfer agency services to the Fund: |
Transfer Agents Record: 1 | |
i. Full name | BNY Mellon Investment Servicing (US) Inc. |
ii.SEC file number ( e.g., 84- or 85- ) | 84-01761 |
iii. LEI, if any | 549300CFZQLI9QMJ1Z03 |
iv. State, if applicable | DELAWARE |
v. Foreign country, if applicable | UNITED STATES OF AMERICA |
vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vii. Is the transfer agent a sub-transfer agent? | ![]() ![]() |
b. Has a transfer agent been hired or terminated during the reporting period? | ![]() ![]() |
Item C.11. Pricing services.
a. Provide the following information about each person that provided pricing services to the Fund during the reporting period: |
Pricing Services Record: 1 | |
i. Full name | ICE Data Pricing & Reference Data, LLC |
ii. LEI, if any, or provide and describe other identifying number | 5493000NQ9LYLDBCTL34 |
Description of other identifying number | |
iii. State, if applicable | NEW YORK |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
b. Was a pricing service hired or terminated during the reporting period? | ![]() ![]() |
Item C.12. Custodians.
a. Provide the following information about each person that provided custodial services to the Fund during the reporting period: |
Custodians Record: 1 | |
i. Full name | JPMorgan Chase Bank, N.A. |
ii. LEI, if any | 7H6GLXDRUGQFU57RNE97 |
iii. State, if applicable | NEW YORK |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 2 | |
i. Full name | The Bank of New York Mellon |
ii. LEI, if any | HPFHU0OQ28E4N0NFVK49 |
iii. State, if applicable | NEW YORK |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
b. Has a custodian been hired or terminated during the reporting period?* | ![]() ![]() |
Item C.13. Shareholder servicing agents.
a. Provide the following information about each shareholder servicing agent of the Fund: |
Shareholder servicing agents Record: 1 | |
i. Full name | ACA/Prudent Investors Planning Corporation |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 2 | |
i. Full name | Access Financial Group, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-46065 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 3 | |
i. Full name | Arete Wealth Management, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-50854 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 4 | |
i. Full name | AxA 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 5 | |
i. Full name | B.C. Ziegler & Company |
ii. LEI, if any, or provide and describe other identifying number | 8-00094 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 6 | |
i. Full name | Berthel, Fisher & Company Financial Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-29426 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 7 | |
i. Full name | Barclays Capital Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-41342 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 8 | |
i. Full name | BNP Paribas Securities Corp |
ii. LEI, if any, or provide and describe other identifying number | 8-40490 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 9 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 10 | |
i. Full name | BTS Securities Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-26818 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 11 | |
i. Full name | D.M. Kelly & Company |
ii. LEI, if any, or provide and describe other identifying number | 8-48398 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 12 | |
i. Full name | BTG Pactual US Capital, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-68148 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 13 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 14 | |
i. Full name | Calton & Associates, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-38635 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 15 | |
i. Full name | Client One 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 16 | |
i. Full name | First Bankers' Banc Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-31584 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 17 | |
i. Full name | Davenport & Company LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-17103 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 18 | |
i. Full name | Garden State Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-25790 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 19 | |
i. Full name | Healthcare Community Securities Corporation |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 20 | |
i. Full name | G. W. & 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 21 | |
i. Full name | Fortune Financial Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-49727 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 22 | |
i. Full name | Hennion & Walsh, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-41988 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 23 | |
i. Full name | Huntleigh Securities Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-21893 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 24 | |
i. Full name | Hancock Bank Corporation |
ii. LEI, if any, or provide and describe other identifying number | 549300GRNBWY8HIICT41 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 25 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 26 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 27 | |
i. Full name | Inverness Securities, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-66278 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 28 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 29 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 30 | |
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 | NEW HAMPSHIRE |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 31 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 32 | |
i. Full name | Ameritas Investment Corp. |
ii. LEI, if any, or provide and describe other identifying number | 8-31296 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 33 | |
i. Full name | 1st Discount Brokerage, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-48557 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 34 | |
i. Full name | Madison Avenue Securities, Inc. |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 35 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 36 | |
i. Full name | Marsco Investment Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-36754 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 37 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 38 | |
i. Full name | ADCAP Securities |
ii. LEI, if any, or provide and describe other identifying number | 8-51285 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 39 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 40 | |
i. Full name | American Financial Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-53205 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 41 | |
i. Full name | Northern Capital Securities Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-49130 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 42 | |
i. Full name | Arkadios Capital |
ii. LEI, if any, or provide and describe other identifying number | 8-69729 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 43 | |
i. Full name | Carter, Terry & Company, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-33797 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 44 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 45 | |
i. Full name | Century Securities Associates, Inc. |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 46 | |
i. Full name | Cetera Advisors LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-26892 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 47 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 48 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 49 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 50 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 51 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 52 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 53 | |
i. Full name | Sabadell Securities USA, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-67975 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 54 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 55 | |
i. Full name | Comprehensive Asset Management and Servicing, 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 56 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 57 | |
i. Full name | Forest Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-33568 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 58 | |
i. Full name | Alerus Securities |
ii. LEI, if any, or provide and describe other identifying number | 8-47152 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 59 | |
i. Full name | Dougherty & Company LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-21937 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 60 | |
i. Full name | Standard Insurance Company |
ii. LEI, if any, or provide and describe other identifying number | 549300KVA8DBYKHPXO21 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 61 | |
i. Full name | Centennial Securities Company, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-23406 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 62 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 63 | |
i. Full name | Stonnington Group, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-66919 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 64 | |
i. Full name | American Financial Associates, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-44065 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 65 | |
i. Full name | Citizens Bank |
ii. LEI, if any, or provide and describe other identifying number | DRMSV1Q0EKMEXLAU1P80 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 66 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 67 | |
i. Full name | 1st Global Capital Corp. |
ii. LEI, if any, or provide and describe other identifying number | 8-44870 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 68 | |
i. Full name | Cantella & Co., Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-23904 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 69 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 70 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 71 | |
i. Full name | CRI Securities, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-39877 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 72 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 73 | |
i. Full name | Summit Equities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-27556 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 74 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 75 | |
i. Full name | The Jeffrey Matthews Financial Group, L.L.C. |
ii. LEI, if any, or provide and describe other identifying number | 8-49352 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 76 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 77 | |
i. Full name | Conover Securities Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-35085 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 78 | |
i. Full name | Credit Suisse Securities (USA) LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-00422 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 79 | |
i. Full name | Horace Mann Life Insurance Co. |
ii. LEI, if any, or provide and describe other identifying number | 5493000HR2JKKNH2FL09 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 80 | |
i. Full name | Vanguard Marketing Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-21570 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 81 | |
i. Full name | E. E. Powell & Company Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-01893 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 82 | |
i. Full name | Foresters Financial Services |
ii. LEI, if any, or provide and describe other identifying number | 8-13891 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 83 | |
i. Full name | Digital Retirement Solutions, Inc. |
ii. LEI, if any, or provide and describe other identifying number | N/A |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 84 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 85 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 86 | |
i. Full name | EK Riley Investments, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-65369 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 87 | |
i. Full name | Dorsey & Company, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-07541 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 88 | |
i. Full name | G.L.S. & Associates, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-51808 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 89 | |
i. Full name | Investacorp, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-22598 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 90 | |
i. Full name | Fiduciary Trust International |
ii. LEI, if any, or provide and describe other identifying number | N1YKEWO2IYPRS4742F57 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 91 | |
i. Full name | Duncan-Williams, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-18971 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 92 | |
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 | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 93 | |
i. Full name | Great Pacific Securities |
ii. LEI, if any, or provide and describe other identifying number | 8-44398 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 94 | |
i. Full name | FCG Advisors, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-49104 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 95 | |
i. Full name | Harvest Financial Corporation |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 96 | |
i. Full name | Hornor, Townsend & Kent, Inc. |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 97 | |
i. Full name | Consolidated Financial Investments, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-37004 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 98 | |
i. Full name | Insigneo Securities, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-44166 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 99 | |
i. Full name | Keel Point Capital, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-22990 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 100 | |
i. Full name | Federated Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-15644 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 101 | |
i. Full name | Gardner Financial Services, 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 102 | |
i. Full name | G.F. Investment Services, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-66659 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 103 | |
i. Full name | ING Financial Markets LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-43978 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 104 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 105 | |
i. Full name | Gerwin Group, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-40282 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 106 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 107 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 108 | |
i. Full name | GRF Capital Investors, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-41494 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 109 | |
i. Full name | Alight Financial Solutions LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-47344 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 110 | |
i. Full name | Hightower Securities, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-53560 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 111 | |
i. Full name | Amegy Investments, Inc. (Zions) |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 112 | |
i. Full name | Arvest Investments, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-49677 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 113 | |
i. Full name | IDB Capital Corp. |
ii. LEI, if any, or provide and describe other identifying number | 8-53000 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 114 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 115 | |
i. Full name | Interactive Brokers LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-47257 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 116 | |
i. Full name | Herbert J. Sims & Co. Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-03315 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 117 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 118 | |
i. Full name | L.S.Y., Inc. |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 119 | |
i. Full name | International Financial Solutions, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-49020 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 120 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 121 | |
i. Full name | NBC Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-35870 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 122 | |
i. Full name | Invex, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-44695 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 123 | |
i. Full name | Ladenburg Thalman & Co. Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-17230 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 124 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 125 | |
i. Full name | M. S. Howells & Co. |
ii. LEI, if any, or provide and describe other identifying number | 8-52558 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 126 | |
i. Full name | Country Club Financial Services, 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 127 | |
i. Full name | NYLife Distributors LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-46655 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 128 | |
i. Full name | Integral Financial LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-65284 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 129 | |
i. Full name | Loria Financial Group, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-52128 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 130 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 131 | |
i. Full name | M&T Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-35185 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 132 | |
i. Full name | Investment Architects, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-35724 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 133 | |
i. Full name | Neidiger, Tucker, Bruner, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-21884 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 134 | |
i. Full name | Petersen Investments, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-48306 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 135 | |
i. Full name | Pyramid Funds Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-12769 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 136 | |
i. Full name | NIA Securities, L.L.C. |
ii. LEI, if any, or provide and describe other identifying number | 8-50591 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 137 | |
i. Full name | North Ridge Securities Corp. |
ii. LEI, if any, or provide and describe other identifying number | 8-42879 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 138 | |
i. Full name | Crews & Associates, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-24075 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 139 | |
i. Full name | LaSalle St. Securities, L.L.C. |
ii. LEI, if any, or provide and describe other identifying number | 8-18860 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 140 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 141 | |
i. Full name | Donegal Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-66137 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 142 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 143 | |
i. Full name | Maxim Group LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-65337 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 144 | |
i. Full name | Northeast Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-42227 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 145 | |
i. Full name | Northland Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-48994 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 146 | |
i. Full name | Repex & Co., Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-26431 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 147 | |
i. Full name | SEI Private Trust Company |
ii. LEI, if any, or provide and describe other identifying number | 028-10625 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 148 | |
i. Full name | David Lerner Associates, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-20746 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 149 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 150 | |
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 | 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 151 | |
i. Full name | Southeast Investments, N.C., Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-50127 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 152 | |
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 | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 153 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 154 | |
i. Full name | Meridien Financial Group, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-26090 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 155 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 156 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 157 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 158 | |
i. Full name | Prospera Financial Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-28164 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 159 | |
i. Full name | Treasure Financial Corp. |
ii. LEI, if any, or provide and describe other identifying number | 8-48165 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 160 | |
i. Full name | MV Securities Group, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-47827 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 161 | |
i. Full name | Folger Nolan Fleming Douglas Incorporated |
ii. LEI, if any, or provide and describe other identifying number | 8-03335 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 162 | |
i. Full name | Raymond James Financial Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-17983 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 163 | |
i. Full name | Securities Service Network, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-28980 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 164 | |
i. Full name | TransAm 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 | 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 165 | |
i. Full name | Umpqua Investments, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-02915 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 166 | |
i. Full name | PFS Investments Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-26486 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 167 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 168 | |
i. Full name | Royal Alliance Associates, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-40218 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 169 | |
i. Full name | H. C. Denison Co. |
ii. LEI, if any, or provide and describe other identifying number | 8-00044 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 170 | |
i. Full name | NPB Financial Group, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-67113 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 171 | |
i. Full name | Podesta & Co. |
ii. LEI, if any, or provide and describe other identifying number | 8-28860 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 172 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 173 | |
i. Full name | Samuel A Ramirez & Co., Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-19014 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 174 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 175 | |
i. Full name | International Research Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-37954 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 176 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 177 | |
i. Full name | Nelson Ivest Brokerage Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-26448 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 178 | |
i. Full name | Visun Securities Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-31907 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 179 | |
i. Full name | VOYA Investments Distributors, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-48020 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 180 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 181 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 182 | |
i. Full name | Vaughan & Co Securities, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-36916 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 183 | |
i. Full name | Lara, May & Associates, 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 184 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 185 | |
i. Full name | Sentinel Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-53142 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 186 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 187 | |
i. Full name | Leumi Investment Services Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-52993 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 188 | |
i. Full name | Lincoln Financial Distributors, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-13431 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 189 | |
i. Full name | American United Life Insurance Company |
ii. LEI, if any, or provide and describe other identifying number | 549300T82H2DYU80LV98 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 190 | |
i. Full name | Regions Bank |
ii. LEI, if any, or provide and describe other identifying number | EQTWLK1G7ODGC2MGLV11 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 191 | |
i. Full name | MidWestern Securities Trading Company, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-52074 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 192 | |
i. Full name | Lincoln Investment Planning, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-14354 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 193 | |
i. Full name | Voya Institutional Plan Services, LLC |
ii. LEI, if any, or provide and describe other identifying number | N/A |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 194 | |
i. Full name | Rehmann Financial Network |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 195 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 196 | |
i. Full name | Fifth Third Bank |
ii. LEI, if any, or provide and describe other identifying number | QFROUN1UWUYU0DVIWD51 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 197 | |
i. Full name | The Capital Group Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-52512 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 198 | |
i. Full name | TD Ameritrade Clearing, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-16335 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 199 | |
i. Full name | XP Securities, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-68817 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 200 | |
i. Full name | Reliance Worldwide Investments, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-67575 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 201 | |
i. Full name | VBC Securities, LLC |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 202 | |
i. Full name | Nicol Investors Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-65566 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 203 | |
i. Full name | Nest Investments BD, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-70117 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 204 | |
i. Full name | OFG Financial Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-40770 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 205 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 206 | |
i. Full name | Wiley Bros.-Aintree Capital, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-03774 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 207 | |
i. Full name | People's Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-29667 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 208 | |
i. Full name | Simmons First Investment Group, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-51795 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 209 | |
i. Full name | William C. Burnside & Company, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-21242 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 210 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 211 | |
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 | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 212 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 213 | |
i. Full name | Whitney National Bank |
ii. LEI, if any, or provide and describe other identifying number | NSGZD26XPW2CUM2JKU70 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 214 | |
i. Full name | Planmember Securities Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-25065 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 215 | |
i. Full name | Weston Securities Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-32664 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 216 | |
i. Full name | RJJ Pasadena Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-25324 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 217 | |
i. Full name | Invicta Capital, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-69923 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 218 | |
i. Full name | The O.N. Equity Sales Company |
ii. LEI, if any, or provide and describe other identifying number | 8-14161 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 219 | |
i. Full name | Wood (Arthur W.) Company, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-03368 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 220 | |
i. Full name | Wheelhouse Securities Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-68105 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 221 | |
i. Full name | Concord Wealth Brokerage |
ii. LEI, if any, or provide and describe other identifying number | 8-41511 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 222 | |
i. Full name | Triad Advisors, Inc. |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 223 | |
i. Full name | Principal Life Insurance Company |
ii. LEI, if any, or provide and describe other identifying number | SDCMU2LVKGV2AF1KWP64 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 224 | |
i. Full name | TimeCapital Securities Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-18248 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 225 | |
i. Full name | John Hancock Life Insurance Company |
ii. LEI, if any, or provide and describe other identifying number | QQ0OZ8J9C4B5QT1XDG31 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 226 | |
i. Full name | Guardian Insurance & Annuity Company, Inc., The |
ii. LEI, if any, or provide and describe other identifying number | TGIU5N0SIMULU6I57R64 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 227 | |
i. Full name | BD4RIA, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-70022 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 228 | |
i. Full name | Waddell & Reed, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-27030 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 229 | |
i. Full name | Benefit Trust Company |
ii. LEI, if any, or provide and describe other identifying number | N/A |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 230 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 231 | |
i. Full name | T. Rowe Price Retirement Plan Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 084-06219 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 232 | |
i. Full name | Conduent HR Services LLC |
ii. LEI, if any, or provide and describe other identifying number | 084-06035 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 233 | |
i. Full name | TRG Advisors, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-50449 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 234 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 235 | |
i. Full name | ARCA Capital Investments, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-53110 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 236 | |
i. Full name | ABD Retirement Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-69271 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 237 | |
i. Full name | Arque Capital, Ltd. |
ii. LEI, if any, or provide and describe other identifying number | 8-65390 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 238 | |
i. Full name | American Enterprise Investment Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-42582 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 239 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 240 | |
i. Full name | American Independent Securities Group, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-66905 |
Description of other identifying number | SEC File Number |
iii. State, if applicable | IDAHO |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 241 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 242 | |
i. Full name | Access Investments, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-49750 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 243 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 244 | |
i. Full name | Apex Clearing Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-23522 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 245 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 246 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 247 | |
i. Full name | Allegis Investment Services, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-69318 |
Description of other identifying number | SEC File Number |
iii. State, if applicable | IDAHO |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 248 | |
i. Full name | Blakeslee and 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 249 | |
i. Full name | Bodell Overcash Anderson & Co., Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-15775 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 250 | |
i. Full name | Andbanc Brokerage, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-68759 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 251 | |
i. Full name | Bolton Securities Corp. |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 252 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 253 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 254 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 255 | |
i. Full name | Ascensus Broker Dealer Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-47312 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 256 | |
i. Full name | American Capital Partners, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-65165 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 257 | |
i. Full name | Broadridge Business Process Outsourcing, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-53412 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 258 | |
i. Full name | Callaway Financial Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-52474 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 259 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 260 | |
i. Full name | Axiom Capital Management, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-42638 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 261 | |
i. Full name | Caldwell Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-27639 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 262 | |
i. Full name | Alight Solutions LLC |
ii. LEI, if any, or provide and describe other identifying number | 084-01996 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 263 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 264 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 265 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 266 | |
i. Full name | American Portfolios Financial Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-37085 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 267 | |
i. Full name | Aon Benfield Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-14953 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 268 | |
i. Full name | Allegiance Capital, L.L.C. |
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 | 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 269 | |
i. Full name | BBVA Securities Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-42857 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 270 | |
i. Full name | CBIZ Financial Solutions, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-34205 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 271 | |
i. Full name | Arive Capital Markets |
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 | 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 272 | |
i. Full name | Carty & Company, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-19082 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 273 | |
i. Full name | Cascade Investment Group, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-46943 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 274 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 275 | |
i. Full name | Ceros Financial Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-47955 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 276 | |
i. Full name | Cetera Investment Services, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-31826 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 277 | |
i. Full name | Bristol Financial Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-67140 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 278 | |
i. Full name | FNBB Capital Markets, LLC |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 279 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 280 | |
i. Full name | Citizens Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-48744 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 281 | |
i. Full name | Benchmark Investments, Inc. |
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 | 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 282 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 283 | |
i. Full name | Capitol Securities Management, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-30353 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 284 | |
i. Full name | Crestone Securities |
ii. LEI, if any, or provide and describe other identifying number | 8-52463 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 285 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 286 | |
i. Full name | DFPG Investments, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-68730 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 287 | |
i. Full name | Centaurus Financial, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-45185 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 288 | |
i. Full name | Deutsche Bank Securities Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-17822 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 289 | |
i. Full name | Eastern Point Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-39398 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 290 | |
i. Full name | David A. Noyes & Company |
ii. LEI, if any, or provide and describe other identifying number | 8-22752 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 291 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 292 | |
i. Full name | FSB Warner Financial, 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 293 | |
i. Full name | Feldstein Financial Group, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-53388 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 294 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 295 | |
i. Full name | Financial Northeastern Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-34883 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 296 | |
i. Full name | Excel Securities & Associates, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-34261 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 297 | |
i. Full name | BFT Financial Group, 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 298 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 299 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 300 | |
i. Full name | Crescent Securities Group |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 301 | |
i. Full name | Buckman, Buckman & Reid, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-40413 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 302 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 303 | |
i. Full name | Broker Dealer Financial Services Corp. |
ii. LEI, if any, or provide and describe other identifying number | 8-24220 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 304 | |
i. Full name | First Honolulu Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-23919 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 305 | |
i. Full name | Gilbert, Doniger & Co., Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-22326 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 306 | |
i. Full name | First Manhattan Co. |
ii. LEI, if any, or provide and describe other identifying number | 8-10438 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 307 | |
i. Full name | First Southern, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-69733 |
Description of other identifying number | SEC File Number |
iii. State, if applicable | PUERTO RICO |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 308 | |
i. Full name | Cutter & Company Brokerage, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-39590 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 309 | |
i. Full name | D.H. Hill Securities LLP |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 310 | |
i. Full name | Cascade Financial Management, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-53730 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 311 | |
i. Full name | CFT Securities, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-51345 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 312 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 313 | |
i. Full name | First Western Advisors |
ii. LEI, if any, or provide and describe other identifying number | 8-28729 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 314 | |
i. Full name | FolioFN 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 315 | |
i. Full name | Dominick & Dominick LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-21076 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 316 | |
i. Full name | CIBC World Markets Corp. |
ii. LEI, if any, or provide and describe other identifying number | 8-18333 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 317 | |
i. Full name | Liberty Group, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-52994 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 318 | |
i. Full name | E*Trade Securities |
ii. LEI, if any, or provide and describe other identifying number | 8-44112 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 319 | |
i. Full name | FTB 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 320 | |
i. Full name | Coldstream Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-51549 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 321 | |
i. Full name | Edward D. Jones & Co., L.P. |
ii. LEI, if any, or provide and describe other identifying number | 8-00759 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 322 | |
i. Full name | Geoffrey Richards Securities Corp. |
ii. LEI, if any, or provide and describe other identifying number | 8-65251 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 323 | |
i. Full name | Comerica Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-35001 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 324 | |
i. Full name | Essex Financial Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-66015 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 325 | |
i. Full name | Exeter Trust Company |
ii. LEI, if any, or provide and describe other identifying number | 028-04279 |
Description of other identifying number | SEC File Number |
iii. State, if applicable | NEW HAMPSHIRE |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 326 | |
i. Full name | Dinosaur Securities, L.L.C. |
ii. LEI, if any, or provide and describe other identifying number | 8-52908 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 327 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 328 | |
i. Full name | Feltl & Company |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 329 | |
i. Full name | DWS Investments Distributors, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-47765 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 330 | |
i. Full name | Gold Coast Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-53148 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 331 | |
i. Full name | Empire Asset Management Company |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 332 | |
i. Full name | Financial Planning Consultants, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-25384 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 333 | |
i. Full name | Fifth Third Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-02428 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 334 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 335 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 336 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 337 | |
i. Full name | First Allied Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-46167 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 338 | |
i. Full name | GWFS Equities, 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 339 | |
i. Full name | First Financial Securities of America, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-29565 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 340 | |
i. Full name | Fieldpoint Private 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 341 | |
i. Full name | Edwin C. Blitz Investments, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-22741 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 342 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 343 | |
i. Full name | First State Financial Management, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-34201 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 344 | |
i. Full name | Freimark Blair & Company, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-28646 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 345 | |
i. Full name | Financial Services International Corp. |
ii. LEI, if any, or provide and describe other identifying number | 8-48032 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 346 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 347 | |
i. Full name | Glen Eagle Advisors LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-65678 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 348 | |
i. Full name | First Heartland Capital, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-46008 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 349 | |
i. Full name | Halliday Financial, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-45529 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 350 | |
i. Full name | FMSBonds, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-23280 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 351 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 352 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 353 | |
i. Full name | Hapoalim Securities USA, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-03018 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 354 | |
i. Full name | General Securities Corp. |
ii. LEI, if any, or provide and describe other identifying number | 8-31654 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 355 | |
i. Full name | Gladowsky Capital Management Corp. |
ii. LEI, if any, or provide and describe other identifying number | 8-51017 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 356 | |
i. Full name | Legacy Asset Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-51871 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 357 | |
i. Full name | Highlander Capital Group, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-37169 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 358 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 359 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 360 | |
i. Full name | Independent Financial Group, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-22870 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 361 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 362 | |
i. Full name | ICMA-RC Services, Inc. |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 363 | |
i. Full name | Infinex Investments, 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 364 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 365 | |
i. Full name | International Assets Advisory, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-27736 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 366 | |
i. Full name | Itau International Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-67674 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 367 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 368 | |
i. Full name | Mack Investment Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-35536 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 369 | |
i. Full name | Oppenheimer & Co. Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-04077 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 370 | |
i. Full name | Investment Placement Group |
ii. LEI, if any, or provide and describe other identifying number | 8-30700 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 371 | |
i. Full name | InvestShares (Legal name: IMA Securities LLC) |
ii. LEI, if any, or provide and describe other identifying number | 8-68365 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 372 | |
i. Full name | Joseph Gunnar & Co. LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-41386 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 373 | |
i. Full name | JJB Hilliard WL Lyons |
ii. LEI, if any, or provide and describe other identifying number | 8-33133 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 374 | |
i. Full name | Kovitz Securities, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-66267 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 375 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 376 | |
i. Full name | Kercheville & Company, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-32795 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 377 | |
i. Full name | Key West Investments, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-68166 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 378 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 379 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 380 | |
i. Full name | L. B. Fisher & Company |
ii. LEI, if any, or provide and describe other identifying number | 8-21023 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 381 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 382 | |
i. Full name | Liberty Partners Financial Services, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-66335 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 383 | |
i. Full name | Institutional Securities Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-38158 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 384 | |
i. Full name | Landolt Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-43645 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 385 | |
i. Full name | K. W. Chambers & CO. |
ii. LEI, if any, or provide and describe other identifying number | 8-10533 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 386 | |
i. Full name | J.P. Morgan Securities LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-35008 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 387 | |
i. Full name | KCD Financial, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-66005 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 388 | |
i. Full name | M. Griffith Investment Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-02259 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 389 | |
i. Full name | Lieblong & Associates, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-49880 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 390 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 391 | |
i. Full name | Merrill Lynch, Pierce, Fenner & Smith Incorporated |
ii. LEI, if any, or provide and describe other identifying number | 8-07221 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 392 | |
i. Full name | Lucia Securities, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-47643 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 393 | |
i. Full name | LPL Financial LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-17668 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 394 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 395 | |
i. Full name | Maplewood Investment Advisors, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-52221 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 396 | |
i. Full name | Mid Atlantic Capital Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-27663 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 397 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 398 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 399 | |
i. Full name | Morgan Stanley & Co. LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-15869 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 400 | |
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 | |
iv. Foreign country, if applicable | UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND |
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 401 | |
i. Full name | MMC Securities Corp. |
ii. LEI, if any, or provide and describe other identifying number | 8-52349 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 402 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 403 | |
i. Full name | Mora WM Securities, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-68910 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 404 | |
i. Full name | Lockton Financial Advisors, 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 405 | |
i. Full name | NorthWestern Mutual Investment Services, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-14088 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 406 | |
i. Full name | Morris Group, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-28916 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 407 | |
i. Full name | Northwest Investment Advisors, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-65282 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 408 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 409 | |
i. Full name | Moors & Cabot, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-23060 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 410 | |
i. Full name | Ohanesian / Lecours, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-40729 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 411 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 412 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 413 | |
i. Full name | Oriental Financial Services Corp. |
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 | PUERTO RICO |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 414 | |
i. Full name | P. R. Herzig & Co. Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-22589 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 415 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 416 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 417 | |
i. Full name | Pacific Financial Associates, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-40712 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 418 | |
i. Full name | The Tavenner Company |
ii. LEI, if any, or provide and describe other identifying number | 8-41206 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 419 | |
i. Full name | Patapsco Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-43485 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 420 | |
i. Full name | Mid-Atlantic Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-36997 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 421 | |
i. Full name | Nationwide Planning Associates Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-45310 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 422 | |
i. Full name | Monere Investments, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-52982 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 423 | |
i. Full name | National Financial Services, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-26740 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 424 | |
i. Full name | Morgan Stanley Smith Barney LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-68191 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 425 | |
i. Full name | Northern Trust Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-23689 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 426 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 427 | |
i. Full name | Paradigm Equities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-45593 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 428 | |
i. Full name | Princor Financial Services Corporation |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 429 | |
i. Full name | Portfolio Resources Group, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-45380 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 430 | |
i. Full name | Omni Financial Securities |
ii. LEI, if any, or provide and describe other identifying number | 8-44034 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 431 | |
i. Full name | Penates Group, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-50594 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 432 | |
i. Full name | Proequities, 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 433 | |
i. Full name | Pershing Advisor Solutions, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-47425 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 434 | |
i. Full name | Purshe Kaplan Sterling Investments |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 435 | |
i. Full name | Pruco Securities, LLC. |
ii. LEI, if any, or provide and describe other identifying number | 8-16402 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 436 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 437 | |
i. Full name | Place Trade Financial, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-65915 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 438 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 439 | |
i. Full name | R. Seelaus & Co., Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-31475 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 440 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 441 | |
i. Full name | R.M. Stark & Co., Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-22543 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 442 | |
i. Full name | Quincy Cass Associates, Incorporated |
ii. LEI, if any, or provide and describe other identifying number | 8-05743 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 443 | |
i. Full name | Register Financial Associates, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-45012 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 444 | |
i. Full name | Rhodes Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-37689 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 445 | |
i. Full name | RIM Securities LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-36759 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 446 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 447 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 448 | |
i. Full name | Piper Jaffray & Co. |
ii. LEI, if any, or provide and describe other identifying number | 8-15204 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 449 | |
i. Full name | Rothschild Investment Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-16429 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 450 | |
i. Full name | S F Sentry Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-43101 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 451 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 452 | |
i. Full name | Queens Road Securities, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-52737 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 453 | |
i. Full name | PNC Capital Markets LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-32493 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 454 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 455 | |
i. Full name | Sage, Rutty & Co., 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 456 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 457 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 458 | |
i. Full name | Raymond James & Associates, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-10999 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 459 | |
i. Full name | Regulus Advisors, 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 460 | |
i. Full name | Sigma Financial Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-30466 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 461 | |
i. Full name | Silber Bennett Financial, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-68795 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 462 | |
i. Full name | SecureVest Financial Group |
ii. LEI, if any, or provide and describe other identifying number | 8-26030 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 463 | |
i. Full name | Roberts & Ryan Investments Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-37469 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 464 | |
i. Full name | Robert W. Baird & Co. Incorporated |
ii. LEI, if any, or provide and describe other identifying number | 8-00497 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 465 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 466 | |
i. Full name | Signature Securities Group Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-52697 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 467 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 468 | |
i. Full name | Stifel, Nicolaus & Company, Incorporated |
ii. LEI, if any, or provide and describe other identifying number | 8-01447 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 469 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 470 | |
i. Full name | Sterling Monroe Securities, 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 471 | |
i. Full name | Robinson & Robinson, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-17109 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 472 | |
i. Full name | Rodgers Brothers, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-33475 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 473 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 474 | |
i. Full name | TD Ameritrade, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-23395 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 475 | |
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 | PUERTO RICO |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 476 | |
i. Full name | Stephens Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-01927 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 477 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 478 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 479 | |
i. Full name | SunTrust 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 480 | |
i. Full name | The Garbacz Group Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-42366 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 481 | |
i. Full name | StockCross Financial Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-17758 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 482 | |
i. Full name | Superior Financial Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-52618 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 483 | |
i. Full name | SG Americas Securities, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-66125 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 484 | |
i. Full name | Summit Brokerage Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-46310 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 485 | |
i. Full name | The Investment Center, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-35826 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 486 | |
i. Full name | The Oak Ridge Financial Services Group, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-50082 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 487 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 488 | |
i. Full name | The Huntington Investment Company |
ii. LEI, if any, or provide and describe other identifying number | 8-34867 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 489 | |
i. Full name | Stephen A. Kohn & Associates, Ltd. |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 490 | |
i. Full name | Thoroughbred Financial Services, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-51944 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 491 | |
i. Full name | TCFG Wealth Management, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-69089 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 492 | |
i. Full name | SWBC Investment Services, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-66764 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 493 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 494 | |
i. Full name | The Lawrence D. Vitez Corp. DBA Consolidated Securities |
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 | 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 495 | |
i. Full name | Uhlmann Price Securities, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-50041 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 496 | |
i. Full name | Tradition Asiel Securities Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-43559 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 497 | |
i. Full name | Sycamore Financial Group |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 498 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 499 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 500 | |
i. Full name | Wells Fargo Clearing Services, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-37180 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 501 | |
i. Full name | Wells Fargo Securities, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-65876 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 502 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 503 | |
i. Full name | The GMS Group, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-23936 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 504 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 505 | |
i. Full name | United Planners' Financial Services of America A Limited Partner |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 506 | |
i. Full name | Wescom Financial Services, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-66189 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 507 | |
i. Full name | Woodstock Financial Group, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-48080 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 508 | |
i. Full name | ValMark Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-45463 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 509 | |
i. Full name | Great-West Financial Retirement Plan Services, LLC |
ii. LEI, if any, or provide and describe other identifying number | N/A |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 510 | |
i. Full name | Aufhaser Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-48786 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 511 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 512 | |
i. Full name | Titleist Asset Management, Ltd. |
ii. LEI, if any, or provide and describe other identifying number | 8-65859 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 513 | |
i. Full name | Zions Investment |
ii. LEI, if any, or provide and describe other identifying number | 8-35721 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 514 | |
i. Full name | Sammons Retirement Solutions, Inc. |
ii. LEI, if any, or provide and describe other identifying number | N/A |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 515 | |
i. Full name | Univest Investments, Inc. |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 516 | |
i. Full name | VectorGlobal WMG |
ii. LEI, if any, or provide and describe other identifying number | 8-45715 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 517 | |
i. Full name | Voya Financial Partners, LLC |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 518 | |
i. Full name | Vorpahl Wing Securities |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 519 | |
i. Full name | Watermark Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-43902 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 520 | |
i. Full name | MSEC, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-68627 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 521 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 522 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 523 | |
i. Full name | USAA Investment Management Company |
ii. LEI, if any, or provide and describe other identifying number | 8-41241 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 524 | |
i. Full name | Wall Street Access |
ii. LEI, if any, or provide and describe other identifying number | 8-25936 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 525 | |
i. Full name | MerCap Securities |
ii. LEI, if any, or provide and describe other identifying number | 8-68810 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 526 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 527 | |
i. Full name | WedBush Securities Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-12987 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 528 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 529 | |
i. Full name | Weller, Anderson & Co., 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 530 | |
i. Full name | William Blair & Company L.L.C. |
ii. LEI, if any, or provide and describe other identifying number | 8-02698 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 531 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 532 | |
i. Full name | World Choice Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-45235 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 533 | |
i. Full name | Woodlands Securities Corporation |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 534 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 535 | |
i. Full name | Wellington Shields & Co., LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-68098 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 536 | |
i. Full name | Vanguard Group, Inc., The |
ii. LEI, if any, or provide and describe other identifying number | 5493002789CY3L0CJP65 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 537 | |
i. Full name | First Mercantile Trust Company |
ii. LEI, if any, or provide and describe other identifying number | 028-10498 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 538 | |
i. Full name | Newport Retirement Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | N/A |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 539 | |
i. Full name | Westport Resources Investment Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-40904 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 540 | |
i. Full name | Saturna Trust Company |
ii. LEI, if any, or provide and describe other identifying number | N/A |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 541 | |
i. Full name | TD Ameritrade Trust Company |
ii. LEI, if any, or provide and describe other identifying number | 028-15163 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 542 | |
i. Full name | Western Growers Financial Services, Inc. |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 543 | |
i. Full name | American Wealth Management |
ii. LEI, if any, or provide and describe other identifying number | 8-41807 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 544 | |
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 | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 545 | |
i. Full name | State Farm VP Management Corp |
ii. LEI, if any, or provide and describe other identifying number | 8-50128 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 546 | |
i. Full name | Bruderman Brothers, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-51974 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 547 | |
i. Full name | Avalon Investment & Securities Group, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-17078 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 548 | |
i. Full name | ACP Securities, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-67185 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 549 | |
i. Full name | Actinver Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-49311 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 550 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 551 | |
i. Full name | Advisory Group Equity 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 552 | |
i. Full name | Capital Financial Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-25203 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 553 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 554 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 555 | |
i. Full name | American Municipal Securities, 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 556 | |
i. Full name | Avondale Partners, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-51550 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 557 | |
i. Full name | Allen & Company of Florida, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-09877 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 558 | |
i. Full name | Coastal Equities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-40822 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 559 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 560 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 561 | |
i. Full name | Ameriprise Financial Services, Inc. |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 562 | |
i. Full name | Avisen Securities, 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 563 | |
i. Full name | BancWest Investment Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-44261 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 564 | |
i. Full name | Bankers Life Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-69562 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 565 | |
i. Full name | BB&T Securities, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-67486 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 566 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 567 | |
i. Full name | BC Securities, Inc. (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 | 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 568 | |
i. Full name | BAC Florida Investments |
ii. LEI, if any, or provide and describe other identifying number | 8-37483 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 569 | |
i. Full name | Bill Few Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-49625 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 570 | |
i. Full name | BestVest Investments, Ltd. |
ii. LEI, if any, or provide and describe other identifying number | 8-49007 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 571 | |
i. Full name | Bley Investments 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 572 | |
i. Full name | Benjamin F. Edwards & Company, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-68023 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 573 | |
i. Full name | BMO Harris Financial Advisors, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-67064 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 574 | |
i. Full name | BMO Harris Bank |
ii. LEI, if any, or provide and describe other identifying number | 3Y4U8VZURTYWI1W2K376 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 575 | |
i. Full name | BPU Investment Management, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-34979 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 576 | |
i. Full name | Bolton Global Capital |
ii. LEI, if any, or provide and describe other identifying number | 8-33222 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 577 | |
i. Full name | Boenning & Scattergood, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-15543 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 578 | |
i. Full name | C. R. Davis & Company |
ii. LEI, if any, or provide and describe other identifying number | 8-859 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 579 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 580 | |
i. Full name | Capital One Investing LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-51160 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 581 | |
i. Full name | Cadaret, Grant & Co., Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-27844 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 582 | |
i. Full name | Capital Institutional Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-22273 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 583 | |
i. Full name | Cary Street Partners LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-66085 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 584 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 585 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 586 | |
i. Full name | Cetera Financial Specialists LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-27082 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 587 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 588 | |
i. Full name | Charles Schwab & Co., Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-16514 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 589 | |
i. Full name | CGIS Securities LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-68758 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 590 | |
i. Full name | Citigroup Global Markets Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-08177 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 591 | |
i. Full name | Commerce Brokerage Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-35096 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 592 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 593 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 594 | |
i. Full name | Commonwealth Equity Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-24040 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 595 | |
i. Full name | CoreCap Investments, Inc. |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 596 | |
i. Full name | Cuso Financial Services, L.P. |
ii. LEI, if any, or provide and describe other identifying number | 8-49711 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 597 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 598 | |
i. Full name | Corinthian Partners, L.L.C. |
ii. LEI, if any, or provide and describe other identifying number | 8-48461 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 599 | |
i. Full name | H.D. Vest Investment Services |
ii. LEI, if any, or provide and describe other identifying number | 8-29533 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 600 | |
i. Full name | CUNA Brokerage Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-30027 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 601 | |
i. Full name | DesPain Financial Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-37056 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 602 | |
i. Full name | D.A. Davidson & Co. |
ii. LEI, if any, or provide and describe other identifying number | 8-02399 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 603 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 604 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 605 | |
i. Full name | E*Trade Savings Bank |
ii. LEI, if any, or provide and describe other identifying number | 549300DXPO50FJ75QA85 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 606 | |
i. Full name | Etico Partners, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-65500 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 607 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 608 | |
i. Full name | E-W Investments, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-35259 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 609 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 610 | |
i. Full name | Farmers Financial Solutions, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-52361 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 611 | |
i. Full name | Family Investors Company |
ii. LEI, if any, or provide and describe other identifying number | 8-11190 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 612 | |
i. Full name | Fidelity Investments Life |
ii. LEI, if any, or provide and describe other identifying number | 54930024AKTQGTIV1P93 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 613 | |
i. Full name | Fidelity Brokerage Services LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-23292 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 614 | |
i. Full name | Essex Securities LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-51472 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 615 | |
i. Full name | Finance 500, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-28302 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 616 | |
i. Full name | First Financial Equity Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-34082 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 617 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 618 | |
i. Full name | First Republic Securities Company, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-52973 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 619 | |
i. Full name | Liberty Capital Investment Corporation |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 620 | |
i. Full name | Genworth Life & Annuity Insurance Company |
ii. LEI, if any, or provide and describe other identifying number | TAI340D9BWT9R77O0P03 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 621 | |
i. Full name | Global Brokerage Services, Inc. |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 622 | |
i. Full name | J.D. Seibert & Company, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-23604 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 623 | |
i. Full name | First Kentucky Securities Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-22224 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 624 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 625 | |
i. Full name | Goldman Sachs & Co. LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-00129 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 626 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 627 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 628 | |
i. Full name | H. Beck, Inc. |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 629 | |
i. Full name | GWN Securities Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-66185 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 630 | |
i. Full name | Hantz Financial Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-51291 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 631 | |
i. Full name | Hanson McClain Securities |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 632 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 633 | |
i. Full name | Hancock Investment Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-49106 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 634 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 635 | |
i. Full name | Hefren-Tillotson, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-10646 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 636 | |
i. Full name | Hazlett, Burt & Watson, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-17737 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 637 | |
i. Full name | Cambridge Investment Research, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-48740 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 638 | |
i. Full name | Brazos Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-39119 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 639 | |
i. Full name | Herndon Plant Oakley, LTD |
ii. LEI, if any, or provide and describe other identifying number | 8-50912 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 640 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 641 | |
i. Full name | City National Bank |
ii. LEI, if any, or provide and describe other identifying number | 593C3GZG957YOJPS2Z63 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 642 | |
i. Full name | HSBC Securities (USA), Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-41562 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 643 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 644 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 645 | |
i. Full name | BCG Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-12680 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 646 | |
i. Full name | Mutual Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-28580 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 647 | |
i. Full name | Coker & Palmer, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-44129 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 648 | |
i. Full name | Coburn & Meredith, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-02474 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 649 | |
i. Full name | American Century Investment Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-35220 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 650 | |
i. Full name | Bernard Herold & Co., Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-17005 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 651 | |
i. Full name | BOSC, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-35381 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 652 | |
i. Full name | Detalus Securities, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-52180 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 653 | |
i. Full name | Detwiler Fenton & Co. |
ii. LEI, if any, or provide and describe other identifying number | 8-16324 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 654 | |
i. Full name | Allianz Life Financial Services, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-13630 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 655 | |
i. Full name | Hilltop Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-45123 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 656 | |
i. Full name | Hunter Associates, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-44779 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 657 | |
i. Full name | Innovation Partners LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-67812 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 658 | |
i. Full name | Insight Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-16247 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 659 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 660 | |
i. Full name | Intercontinental Asset Management Group, Ltd. |
ii. LEI, if any, or provide and describe other identifying number | 8-39706 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 661 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 662 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 663 | |
i. Full name | Old National Trust Company |
ii. LEI, if any, or provide and describe other identifying number | 028-00344 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 664 | |
i. Full name | Investment Planners, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-35642 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 665 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 666 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 667 | |
i. Full name | Jack V. Butterfield Investment Company |
ii. LEI, if any, or provide and describe other identifying number | 8-12454 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 668 | |
i. Full name | JHW Financial Services Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-45304 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 669 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 670 | |
i. Full name | Kalos Capital, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-50630 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 671 | |
i. Full name | Fairport Capital, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-32162 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 672 | |
i. Full name | Key Investment Services LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-66999 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 673 | |
i. Full name | KMS Financial Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-15433 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 674 | |
i. Full name | Kovack Securities Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-50847 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 675 | |
i. Full name | Landaas & Company |
ii. LEI, if any, or provide and describe other identifying number | 8-51826 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 676 | |
i. Full name | LaBrunerie Financial Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-47830 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 677 | |
i. Full name | RBC Capital Markets, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-45411 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 678 | |
i. Full name | Lantern Investments, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-45285 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 679 | |
i. Full name | Leigh Baldwin & Co., LLC |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 680 | |
i. Full name | Larson Financial Securities, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-68456 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 681 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 682 | |
i. Full name | Lexington Investment Company, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-43085 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 683 | |
i. Full name | M Holdings Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-50214 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 684 | |
i. Full name | MBSC Securities Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-13801 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 685 | |
i. Full name | 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 686 | |
i. Full name | Means Investment Co., Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-27458 |
Description of other identifying number | SEC File Number |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 687 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 688 | |
i. Full name | Loring Ward Securities Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-51381 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 689 | |
i. Full name | Mesirow Financial, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-28816 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 690 | |
i. Full name | MHA Financial Corp. |
ii. LEI, if any, or provide and describe other identifying number | 8-21836 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 691 | |
i. Full name | Securian Financial Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-31955 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 692 | |
i. Full name | Middlegate Securities Ltd. |
ii. LEI, if any, or provide and describe other identifying number | 8-39031 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 693 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 694 | |
i. Full name | Monex Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-44874 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 695 | |
i. Full name | Mutual Trust Co. of America Securities |
ii. LEI, if any, or provide and describe other identifying number | 8-25547 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 696 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 697 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 698 | |
i. Full name | Nationwide Securities, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-12500 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 699 | |
i. Full name | Nations Financial Group, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-50588 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 700 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 701 | |
i. Full name | Neuberger Berman LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-01068 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 702 | |
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 | 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 703 | |
i. Full name | Navy Federal Brokerage 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 704 | |
i. Full name | Investment Professionals, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-44786 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 705 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 706 | |
i. Full name | Nestlerode & Loy, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-12629 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 707 | |
i. Full name | J.A. Glynn & Co. |
ii. LEI, if any, or provide and describe other identifying number | 8-39465 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 708 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 709 | |
i. Full name | Jefferies, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-15074 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 710 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 711 | |
i. Full name | Foresters Equity Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-36703 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 712 | |
i. Full name | Northeastern Financial Group, Incorporated |
ii. LEI, if any, or provide and describe other identifying number | 8-33132 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 713 | |
i. Full name | NYLife Securities LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-15517 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 714 | |
i. Full name | Keystone Capital 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 715 | |
i. Full name | First Command Financial Planning, 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 716 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 717 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 718 | |
i. Full name | Oscar Gruss & Son Incorporated |
ii. LEI, if any, or provide and describe other identifying number | 8-22371 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 719 | |
i. Full name | SunTrust Bank |
ii. LEI, if any, or provide and describe other identifying number | IYDOJBGJWY9T8XKCSX06 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 720 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 721 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 722 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 723 | |
i. Full name | Synovus Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-34709 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 724 | |
i. Full name | Peak Brokerage Services, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-68829 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 725 | |
i. Full name | Mercantil Commercebank Investment Services |
ii. LEI, if any, or provide and describe other identifying number | 8-53612 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 726 | |
i. Full name | Mid-Atlantic Clearing & Settlement Corp. |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 727 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 728 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 729 | |
i. Full name | Philip J. Greenblatt Securities Ltd |
ii. LEI, if any, or provide and describe other identifying number | 8-30725 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 730 | |
i. Full name | North South Capital, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-67979 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 731 | |
i. Full name | UBS Financial Services Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-16267 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 732 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 733 | |
i. Full name | Planned Financial Programs, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-05727 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 734 | |
i. Full name | Planners Financial Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-18027 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 735 | |
i. Full name | Planned Investment Co., Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-15266 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 736 | |
i. Full name | Oberweis Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-49679 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 737 | |
i. Full name | Pension Dynamics Securities Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-52535 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 738 | |
i. Full name | PNC Bank, N.A. |
ii. LEI, if any, or provide and describe other identifying number | AD6GFRVSDT01YPT1CS68 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 739 | |
i. Full name | Questar Capital Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-50174 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 740 | |
i. Full name | Quest Capital Strategies, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-34532 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 741 | |
i. Full name | PWA Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-67700 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 742 | |
i. Full name | Reliance Trust Company |
ii. LEI, if any, or provide and describe other identifying number | 549300NV8FSQRNOUQO50 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 743 | |
i. Full name | Riversource Distributors, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-67196 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 744 | |
i. Full name | RF Lafferty & Co |
ii. LEI, if any, or provide and describe other identifying number | 8-25581 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 745 | |
i. Full name | Rogan & Associates, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-49995 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 746 | |
i. Full name | S.A. Stone Wealth Management |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 747 | |
i. Full name | Ross, Sinclaire & Associates, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-41740 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 748 | |
i. Full name | Safra Securities LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-51935 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 749 | |
i. Full name | Winslow, Evans & Crocker, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-44347 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 750 | |
i. Full name | Pershing, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-17574 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 751 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 752 | |
i. Full name | Saperston Asset Management, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-50658 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 753 | |
i. Full name | Schlitt Investor Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-34202 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 754 | |
i. Full name | SDDCO Brokerage Advisors, 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 755 | |
i. Full name | Sanders Morris Harris Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-38325 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 756 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 757 | |
i. Full name | SECU Brokerage Services |
ii. LEI, if any, or provide and describe other identifying number | 8-37927 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 758 | |
i. Full name | Saxony Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-53490 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 759 | |
i. Full name | John Hancock Trust Company |
ii. LEI, if any, or provide and describe other identifying number | 549300W205WZCFZS6R51 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 760 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 761 | |
i. Full name | Sisung Securities Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-42121 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 762 | |
i. Full name | Securities Research, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-23699 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 763 | |
i. Full name | Snowden Account Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-68188 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 764 | |
i. Full name | Slavic Investment Corporation |
ii. LEI, if any, or provide and describe other identifying number | 8-40024 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 765 | |
i. Full name | Shareholders Service Group, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-65778 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 766 | |
i. Full name | Security Distributors, Inc. |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 767 | |
i. Full name | Signator Investors, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-13995 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 768 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 769 | |
i. Full name | St. Bernard Financial Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-47566 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 770 | |
i. Full name | Stannard Financial Services, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-50654 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 771 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 772 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 773 | |
i. Full name | TCM Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-50313 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 774 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 775 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 776 | |
i. Full name | Thompson Davis & Co., Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-49386 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 777 | |
i. Full name | SKA Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-53366 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 778 | |
i. Full name | T. Rowe Price Investment Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-25130 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 779 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 780 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 781 | |
i. Full name | Thurston, Springer, Miller, Herd & Titak, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-25452 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 782 | |
i. Full name | UBS AG, New York Branch |
ii. LEI, if any, or provide and describe other identifying number | BFM8T61CT2L1QCEMIK50 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 783 | |
i. Full name | U.S. Bancorp Investments, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-35359 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 784 | |
i. Full name | Trade-PMR 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 785 | |
i. Full name | TradeStation Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-48711 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 786 | |
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 | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 787 | |
i. Full name | TIAA-CREF Individual & Institutional Services, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-44454 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 788 | |
i. Full name | UMB Financial Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-34999 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 789 | |
i. Full name | Transamerica Financial Advisors, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-33429 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 790 | |
i. Full name | TrustCore Investments, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-32152 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 791 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 792 | |
i. Full name | USCA Securities LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-52285 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 793 | |
i. Full name | Vestor Capital Securities |
ii. LEI, if any, or provide and describe other identifying number | 8-32743 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 794 | |
i. Full name | Vanderbilt Securities, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-16712 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 795 | |
i. Full name | Wayne Hummer Investments, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-00484 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 796 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 797 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 798 | |
i. Full name | VOYA Financial Advisors, 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 799 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 800 | |
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 | 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 801 | |
i. Full name | Sweney Cartwright & Company |
ii. LEI, if any, or provide and describe other identifying number | 8-03150 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 802 | |
i. Full name | PTS 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 803 | |
i. Full name | Unionbanc Investment Services, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-30706 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 804 | |
i. Full name | World Trend Financial Planning Services, Ltd. |
ii. LEI, if any, or provide and describe other identifying number | 8-43693 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 805 | |
i. Full name | Wells Fargo Bank, N.A. |
ii. LEI, if any, or provide and describe other identifying number | KB1H1DSPRFMYMCUFXT09 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 806 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 807 | |
i. Full name | Western International Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-48572 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 808 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 809 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 810 | |
i. Full name | Whitehall-Parker Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-27688 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 811 | |
i. Full name | Fidelity Investments Institutional Operations Company, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-35097 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 812 | |
i. Full name | Nationwide Financial Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 5493001H7AZNDS6BKJ36 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 813 | |
i. Full name | Hartford Funds Management Company, LLC |
ii. LEI, if any, or provide and describe other identifying number | 801-77209 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 814 | |
i. Full name | Wunderlich Securities, 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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 815 | |
i. Full name | Ascensus, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 549300K5MHNFPEU2RK82 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 816 | |
i. Full name | Vision Financial Markets LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-67447 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 817 | |
i. Full name | JPMorgan Chase Bank, N.A. |
ii. LEI, if any, or provide and describe other identifying number | 7H6GLYDRUGQFU57RNE97 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 818 | |
i. Full name | Teachers Insurance and Annuity Association of America |
ii. LEI, if any, or provide and describe other identifying number | O06YD7BJ4EPYNABVFN69 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 819 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 820 | |
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 | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 821 | |
i. Full name | Hartford Life Insurance Company |
ii. LEI, if any, or provide and describe other identifying number | 8CE7JPU9IU72L3PPD756 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 822 | |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 823 | |
i. Full name | Mercer HR Services, LLC |
ii. LEI, if any, or provide and describe other identifying number | N/A |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 824 | |
i. Full name | AssetMark Trust Company |
ii. LEI, if any, or provide and describe other identifying number | N/A |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 825 | |
i. Full name | Voya Retirement Insurance and Annuity Company |
ii. LEI, if any, or provide and describe other identifying number | OK3MKCDYPD4NN6QDGK18 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 826 | |
i. Full name | ViewTrade Securities, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-51605 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 827 | |
i. Full name | World Equity Group, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 8-44088 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 828 | |
i. Full name | Benefit Plans Administrative Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | N/A |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 829 | |
i. Full name | Chalice Capital Partners, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-69967 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 830 | |
i. Full name | UBATCO & Co. |
ii. LEI, if any, or provide and describe other identifying number | N/A |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 831 | |
i. Full name | Calamar Financial Group |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 832 | |
i. Full name | GLP Investment Services |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 833 | |
i. Full name | IFP Securities |
ii. LEI, if any, or provide and describe other identifying number | 8-70150 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 834 | |
i. Full name | Primerica Shareholder Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 084-01499 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 835 | |
i. Full name | Prudential Insurance Company of America |
ii. LEI, if any, or provide and describe other identifying number | Y574KRZ6V5A7UBU45C31 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 836 | |
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 | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 837 | |
i. Full name | Charles Schwab Bank |
ii. LEI, if any, or provide and describe other identifying number | 549300INFJ8TYNZ1G568 |
Description of other identifying number | N/A |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
Shareholder servicing agents Record: 838 | |
i. Full name | Supreme Alliance, LLC |
ii. LEI, if any, or provide and describe other identifying number | 8-51046 |
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)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
b. Has a shareholder servicing agent been hired or terminated during the reporting period? | ![]() ![]() |
Item C.14. Administrators.
a. Provide the following information about each administrator of the Fund: |
Administrators Record: 1 | |
i. Full name | BlackRock Advisors, LLC |
ii. LEI, if any, or other identifying number | 5493001LN9MRM6A35J74 |
Description of other identifying number | |
iii. State, if applicable | DELAWARE |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the administrator an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the administrator a sub-administrator? | ![]() ![]() |
Administrators Record: 2 | |
i. Full name | JPMorgan Chase Bank, N.A. |
ii. LEI, if any, or other identifying number | 7H6GLXDRUGQFU57RNE97 |
Description of other identifying number | |
iii. State, if applicable | NEW YORK |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the administrator an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the administrator a sub-administrator? | ![]() ![]() |
b.Has a third-party administrator been hired or terminated during the reporting period? | ![]() ![]() |
Item C.15. Affiliated broker-dealers.
Provide the following information about each affiliated broker-dealer: |
Broker Dealers Record: 1 | |
a. Full name | BlackRock Investments, LLC |
b. SEC file number | 8-48436 |
c. CRD number | 000038642 |
d. LEI, if any | N/A |
e. State, if applicable | NEW YORK |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0 |
Broker Dealers Record: 2 | |
a. Full name | BlackRock Execution Services |
b. SEC file number | 8-48719 |
c. CRD number | 000039438 |
d. LEI, if any | 549300HFCRQ0NT5KY652 |
e. State, if applicable | NEW YORK |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0 |
Item C.16. Brokers.
Instructions to Item C.16 and Item C.17. To help Registrants distinguish between agency and principal transactions, and to promote consistent reporting of the information required by these items, the following criteria should be used: 1. If a security is purchased or sold in a transaction for which the confirmation specifies the amount of the commission to be paid by the Registrant, the transaction should be considered an agency transaction and included in determining the answers to Item C.16. 2. If a security is purchased or sold in a transaction for which the confirmation specifies only the net amount to be paid or received by the Registrant and such net amount is equal to the market value of the security at the time of the transaction, the transaction should be considered a principal transaction and included in determining the amounts in Item C.17. 3. If a security is purchased by the Registrant in an underwritten offering, the acquisition should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the underwriters are receiving from the issuer. 4. If a security is sold by the Registrant in a tender offer, the sale should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the offeror is paying to soliciting brokers or dealers. 5. If a security is purchased directly from the issuer (such as a bank CD), the purchase should be considered a principal transaction and included in answering Item C.17. 6. The value of called or maturing securities should not be counted in either agency or principal transactions and should not be included in determining the amounts shown in Item C.16 and Item C.17. This means that the acquisition of a security may be included, but it is possible that its disposition may not be included. Disposition of a repurchase agreement at its expiration date should not be included. 7. The purchase or sales of securities in transactions not described in paragraphs (1) through (6) above should be evaluated by the Fund based upon the guidelines established in those paragraphs and classified accordingly. The agents considered in Item C.16 may be persons or companies not registered under the Exchange Act as securities brokers. The persons or companies from whom the investment company purchased or to whom it sold portfolio instruments on a principal basis may be persons or entities not registered under the Exchange Act as securities dealers. |
a. For each of the ten brokers that received the largest dollar amount of brokerage commissions (excluding dealer concessions in underwritings) by virtue of direct or indirect participation in the Fund’s portfolio transactions, provide the information below: |
i. Full name of broker | |
ii. SEC file number | |
iii. CRD number | |
iv. LEI, if any | |
v. State, if applicable | |
vi. Foreign country, if applicable | |
vii. Gross commissions paid by the Fund for the reporting period |
b. Aggregate brokerage commissions paid by Fund during the reporting period: | 0 |
Item C.17. Principal transactions.
a. For each of the ten entities acting as principals with which the Fund did the largest dollar amount of principal transactions (include all short-term obligations, and U.S. government and tax-free securities) in both the secondary market and in underwritten offerings, provide the information below: |
Principal Transactions Record: 1 | |
i. Full name of dealer | Morgan Stanley & Co. LLC |
ii. SEC file number | 8-15869 |
iii. CRD number | 000008209 |
iv. LEI, if any | 9R7GPTSO7KV3UQJZQ078 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 328566486725.29993 |
Principal Transactions Record: 2 | |
i. Full name of dealer | SG Americas Securities, LLC |
ii. SEC file number | 8-66125 |
iii. CRD number | 000128351 |
iv. LEI, if any | 549300F35UE0BOM1WJ55 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 331542390000 |
Principal Transactions Record: 3 | |
i. Full name of dealer | CIT Securities International USA, LLC |
ii. SEC file number | 8-68887 |
iii. CRD number | 000158266 |
iv. LEI, if any | 213800YMG8YN4O5CX140 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 351771455000 |
Principal Transactions Record: 4 | |
i. Full name of dealer | State Street Global Markets, LLC |
ii. SEC file number | 8-69862 |
iii. CRD number | 000285852 |
iv. LEI, if any | 549300FDEDF5ORXCMQ56 |
v. State, if applicable | MASSACHUSETTS |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 259848000000 |
Principal Transactions Record: 5 | |
i. Full name of dealer | BNY Mellon Capital Markets, LLC |
ii. SEC file number | 8-35255 |
iii. CRD number | 000017454 |
iv. LEI, if any | VJW2DOOHGDT6PR0ZRO63 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 736494232050.23 |
Principal Transactions Record: 6 | |
i. Full name of dealer | MUFG Securities Americas Inc. |
ii. SEC file number | 8-43026 |
iii. CRD number | 000019685 |
iv. LEI, if any | K5HU16E3LMSVCCJJJ255 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 324194000000 |
Principal Transactions Record: 7 | |
i. Full name of dealer | Barclays Capital, Inc. |
ii. SEC file number | 8-41342 |
iii. CRD number | 000019714 |
iv. LEI, if any | AC28XWWI3WIBK2824319 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 668211100727.79993 |
Principal Transactions Record: 8 | |
i. Full name of dealer | BNP Paribas Securities Corp. |
ii. SEC file number | 8-32682 |
iii. CRD number | 000015794 |
iv. LEI, if any | RCNB6OTYUAMMP879YW96 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 214776154796.96 |
Principal Transactions Record: 9 | |
i. Full name of dealer | J.P. Morgan Securities LLC |
ii. SEC file number | 8-35008 |
iii. CRD number | 000000079 |
iv. LEI, if any | ZBUT11V806EZRVTWT807 |
v. State, if applicable | OHIO |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 941174802183.41992 |
Principal Transactions Record: 10 | |
i. Full name of dealer | Nomura Securities International, Inc. |
ii. SEC file number | 8-15255 |
iii. CRD number | 000004297 |
iv. LEI, if any | OXTKY6Q8X53C9ILVV871 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 627981518450.31 |
b. Aggregate value of principal purchase/sale transactions of Fund during the reporting period: | 6027295265225.9 |
Item C.18. Payments for brokerage and research.
During the reporting period, did the Fund pay commissions to broker-dealers for "brokerage and research services" within the meaning of section 28(e) of the Exchange Act (15 U.S.C. 78bb)? | ![]() ![]() |
Item C.19. Average net assets.
a. Provide the Fund's (other than a money market fund's) monthly average net assets during the reporting period | |
b. Provide the money market fund's daily average net assets during the reporting period | 96166060615.08 |
Item C.20. Lines of credit, interfund lending and interfund borrowing.
a. Does the Fund have available a line of credit? | ![]() ![]() |
b. Did the Fund engage in interfund lending? | ![]() ![]() |
c.Did the Fund engage in interfund borrowing? | ![]() ![]() |
N-CEN:Part G: Attachments
Item G.1a. Attachments.
Attachments applicable to all Registrants. All Registrants shall file the following attachments, as applicable, with the current report. Indicate the attachments filed with the current report by checking the applicable items below: | ![]() ![]() ![]() ![]() ![]() ![]() |
Instructions. 1. Item G.1.a.i. Legal proceedings. (a) If the Registrant responded "YES" to Item B.11.a., provide a brief description of the proceedings. As part of the description, provide the case or docket number (if any), and the full names of the principal parties to the proceeding. (b) If the Registrant responded "YES" to Item B.11.b., identify the proceeding and give its date of termination. 2. Item G.1.a.ii. Provision of financial support. If the Registrant responded "YES" to Item B.14., provide the following information (unless the Registrant is a Money Market Fund): (a) Description of nature of support. (b) Person providing support. (c) Brief description of relationship between the person providing support and the Registrant. (d) Date support provided. (e) Amount of support. (f) Security supported (if applicable). Disclose the full name of the issuer, the title of the issue (including coupon or yield, if applicable) and at least two identifiers, if available (e.g., CIK, CUSIP, ISIN, LEI). (g) Value of security supported on date support was initiated (if applicable). (h) Brief description of reason for support. (i) Term of support. (j) Brief description of any contractual restrictions relating to support. 3. Item G.1.a.iii. Independent public accountant's report on internal control (management investment companies other than small business investment companies only). Each management investment company shall furnish a report of its independent public accountant on the company's system of internal accounting controls. The accountant's report shall be based on the review, study and evaluation of the accounting system, internal accounting controls, and procedures for safeguarding securities made during the audit of the financial statements for the reporting period. The report should disclose any material weaknesses in: (a) the accounting system; (b) system of internal accounting control; or (c) procedures for safeguarding securities which exist as of the end of the Registrant's fiscal year. The accountant's report shall be furnished as an exhibit to the form and shall: (1) be addressed to the Registrant's shareholders and board of directors; (2) be dated; (3) be signed manually; and (4) indicate the city and state where issued. Attachments that include a report that discloses a material weakness should include an indication by the Registrant of any corrective action taken or proposed. The fact that an accountant's report is attached to this form shall not be regarded as acknowledging any review of this form by the independent public accountant. 4. Item G.1.a.iv. Change in accounting principles and practices. If the Registrant responded "YES" to Item B.21, provide an attachment that describes the change in accounting principles or practices, or the change in the method of applying any such accounting principles or practices. State the date of the change and the reasons therefor. A letter from the Registrant's independent accountants, approving or otherwise commenting on the change, shall accompany the description. 5. Item G.1.a.v. Information required to be filed pursuant to exemptive orders. File as an attachment any information required to be reported on Form N-CEN or any predecessor form to Form N-CEN (e.g., Form N-SAR) pursuant to exemptive orders issued by the Commission and relied on by the Registrant. 6. Item G.1.a.vi. Other information required to be included as an attachment pursuant to Commission rules and regulations. File as an attachment any other information required to be included as an attachment pursuant to Commission rules and regulations. |
N-CEN: Signature
Pursuant to the requirements of the Investment Company Act of 1940, the Registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized. | ||
Registrant | BlackRock Liquidity Funds | |
Date | 2019-10-31 | |
Signature | Ann Frechette | |
Title | Assistant Treasurer |