N-CEN Item C.13: Shareholder Servicing Agents C.13.a.i. C.13.a.ii. C.13.a.iii. C.13.a.iv. C.13.a.v. C.13.a.vi. C.13.b. Legal Entity Name LEI SEC FINRA State Fgn Country Affiliated? Sub- Agent? Start/Effective Date Termination Date 1st Discount Brokerage, Inc. N/A 8-48557 39164 FL N N 1st Global Capital Corp. N/A 8-44870 30349 TX N N Abacus International Capital Corp. N/A 8-46418 32119 NY N N Abacus Investments, Inc. N/A 8-46571 35127 WI N N ABD Retirement Services, Inc. N/A 8-69271 167641 CA N N ACA/Prudent Investors Planning Corporation N/A 8-51899 47798 NJ N N Access Financial Group, Inc. N/A 8-46065 33065 Il N N Access Investments, Inc. N/A 8-49750 42202 OK N N Ace Diversified Capital, Inc. N/A 8-49555 41768 CA N N ACP Securities, LLC N/A 8-67185 139049 FL N N Actinver Securities, Inc. N/A 8-49311 41139 TX N N ADCAP Securities N/A 8-51285 46001 FL N N ADP Broker-Dealer, Inc. N/A 8-47885 37693 NJ N Y Advanced Advisor Group, LLC N/A 8-67313 140393 MN N N Advisory Group Equity Services, Ltd. N/A 8-32155 15427 MA N N Akar Capital Management, Inc. N/A 8-28026 10791 FL N N Alerus Securities N/A 8-47152 35947 ND N N Alexander Capital, L.P. N/A 8-48957 40077 NY N N Alight Financial Solutions LLC N/A 8-47344 36509 IL N N Alight Solutions LLC N/A 084-01996 N/A IL N Y Allegheny Investments, Ltd. N/A 8-22183 7597 PA N N Allegiance Capital, L.L.C. N/A 8-52978 105285 ME N N Allegis Investment Services, LLC N/A 8-69318 168557 ID N N Allen & Company of Florida, Inc. N/A Aug-77 25 FL N N Allen C Ewing & Co. N/A 8-42393 26102 FL N N Alliant Securities, Inc. Turner, Nord, Kienbaum N/A 8-23305 7726 WA N N Allianz Life Financial Services, LLC N/A 8-13630 612 MN N N Allstate Financial Services, LLC N/A 8-36365 18272 NE N N Amegy Investments, Inc. (Zions) N/A 8-65399 120145 TX N N America Northcoast Securities, Inc. N/A 8-33033 16076 OH N N 10/27/2017 American Capital Partners, LLC N/A 8-65165 119249 NY N N American Century Investment Services, Inc. N/A 8-35220 17437 MO N N American Enterprise Investment Services, Inc. N/A 8-42582 26506 MN N N American Equity Investment Corporation N/A 8-49078 40199 IN N N American Financial Associates, Inc. N/A 8-44065 29049 PA N N American Financial Securities, Inc. N/A 8-53205 111856 IA N N American Heritage Securities, Inc. N/A 8-44466 29678 OH N N American Independent Securities Group, LLC N/A 8-66905 135288 ID N N American Municipal Securities, Inc. N/A 8-25338 8365 FL N N American Portfolios Financial Services, Inc. N/A 8-37085 18487 NY N N American Trust Investment Services, Inc. N/A 8-14394 3001 IN N N American United Life Insurance Company 549300T82H2DYU80LV98 N/A N/A IN N Y Ameriprise Financial Services, Inc. N/A 8-16791 6363 MN N N Ameritas Investment Corp. N/A 8-31296 14869 OH N N Andbanc Brokerage, LLC N/A 8-68759 155979 FL N N 1/29/2018 Anovest Financial Services, Inc. N/A 8-66742 133593 GA N N Aon Benfield Securities, Inc. N/A 8-14953 4138 IL N N Apex Clearing Corporation N/A 8-23522 13071 TX N N ARCA Capital Investments, Inc. N/A 8-53110 109819 FL N N Arete Wealth Management, LLC N/A 8-50854 44856 IL N N Arive Capital Markets N/A 8-43350 8060 MN N N Arkadios Capital N/A 8-69729 282710 GA N N Arlington Securities, Inc. N/A 8-38098 19596 MO N N Arque Capital, Ltd. N/A 8-65390 121192 AZ N N Arvest Investments, Inc. N/A 8-49677 42057 AR N N Ascensus Broker Dealer Services, Inc. N/A 8-47312 36478 MA N Y Ascensus Financial Services, LLC N/A 8-67891 147257 PA N N Ascensus, Inc. 549300K5MHNFPEU2RK82 N/A N/A PA N Y AssetMark Trust Company N/A N/A N/A AZ N N Associated Investment Services, Inc. N/A Aug-99 1464 WI N N Ausdal Financial Partners, Inc. N/A 8-24519 7995 IA N N Avalon Investment & Securities Group, Inc. N/A 8-17078 6281 AL N N Aventura Securities, LLC N/A 8-67458 142374 FL N N Avisen Securities, Inc. N/A 8-65833 125977 CA N N Avondale Partners, LLC N/A 8-51550 46838 TN N N AxA Advisors, LLC N/A 8-17883 6627 NY N N Axiom Capital Management, Inc. N/A 8-42638 26580 NY N N B.B. Graham & Company, Inc. N/A 8-49477 41533 CA N N B.C. Ziegler & Company N/A Aug-94 61 IL N N BAC Florida Investments N/A 8-37483 19453 FL N N Ballew Investments, Inc. N/A 8-45660 32028 MS N N BancWest Investment Services, Inc. N/A 8-44261 29357 NE N N Bankers & Investors Co N/A 8-21215 6874 KS N N 4/9/2018 Bankers Life Securities, Inc. N/A 8-69562 173962 IL N N Bankoh Investment Services, Inc. N/A 8-44201 29280 HI N N Barclays Capital Inc. N/A 8-41342 19714 NY N N BB&T Investments N/A 8-46134 33856 NC N N 1/1/2018 BB&T Securities, LLC N/A 8-67486 142785 VA N N BBVA Securities Inc. N/A 8-42857 27060 AL N N BC Securities, Inc. (Somerset Securities, Inc. ) N/A 8-11539 2493 MA N N BCG Securities, Inc. N/A 8-12680 70 NJ N N Beaconsfield Financial Services, Inc. N/A 8-30993 14634 PA N N Beard Financial Services, Inc. N/A 8-53374 113913 OH N N 10/27/2017 Benchmark Investments, Inc. N/A 8-52280 103792 AR N N Benefit Plans Administrative Services, Inc. N/A N/A N/A NY N Y Benefit Trust Company N/A N/A N/A KS N Y Benjamin F. Edwards & Company, Inc. N/A 8-68023 146936 MO N N Bernard Herold & Co., Inc. N/A 8-17005 6193 NY N N Berthel, Fisher & Company Financial Services, Inc. N/A 8-29426 13609 IA N N BestVest Investments, Ltd. N/A 8-49007 40302 PA N N BFT Financial Group, LLC N/A 8-53487 109121 TX N N Bill Few Securities, Inc. N/A 8-49625 41917 PA N N Blakeslee and Blakeslee Inc. N/A 8-32071 8149 CA N N Bley Investments Group, Inc. N/A 8-42701 26678 TX N N BMO Harris Bank 3Y4U8VZURTYWI1W2K376 N/A N/A WI N N BMO Harris Financial Advisors, Inc. N/A 8-67064 137115 IL N N BNP Paribas Securities Corp N/A 8-40490 24962 NY N N Bodell Overcash Anderson & Co., Inc. N/A 8-15775 5148 NY N N Boenning & Scattergood, Inc. N/A 8-15543 100 PA N N Bolton Global Capital N/A 8-33222 15650 MA N N Bolton Securities Corp. N/A 8-68187 129376 MA N N BOSC, Inc. N/A 8-35381 17530 OK N N BPU Investment Management, Inc. N/A 8-34979 17058 PA N N Brazos Securities, Inc. N/A 8-39119 21624 TX N N Brighton Securities Corp. N/A 8-14599 3875 NY N N Bristol Financial Services, Inc. N/A 8-67140 137988 NY N N Broadridge Business Process Outsourcing, LLC N/A 8-53412 114212 CO N Y Broker Dealer Financial Services Corp. N/A 8-24220 8073 IA N N Brokers International Financial Services, LLC N/A 8-67239 139627 IA N N Brooklight Place Securities, Inc. N/A 8-32673 15764 IL N N BTG Pactual US Capital, LLC N/A 8-68148 149486 NY N N BTS Securities Corporation N/A 8-26818 8328 MA N N Buckman, Buckman & Reid, Inc. N/A 8-40413 23407 NJ N N Buckram Securities LTD N/A 8-65939 126976 NY N N C. R. Davis & Company N/A 8-859 1593 IL N N Cabot Lodge Securities, LLC N/A 8-69009 159712 NY N N Cadaret, Grant & Co., Inc. N/A 8-27844 10641 NY N N Caldwell Securities, Inc. N/A 8-27639 10489 CA N N Callaway Financial Services, Inc. N/A 8-52474 104003 TX N N Calton & Associates, Inc. N/A 8-38635 20999 FL N N Cambridge Investment Research, Inc. N/A 8-48740 39543 IA N N Camden Financial Services N/A 8-37303 19925 CA N N Cannon Securities, Inc. N/A 8-68437 152287 GA N N Cantella & Co., Inc. N/A 8-23904 13905 MA N N Cape Securities Inc. N/A 8-20747 7072 GA N N CapFinancial Securities, LLC N/A 8-65870 126291 NC N N Capital City Securities, LLC N/A 8-67771 146001 OH N N Capital Financial Services, Inc. N/A 8-25203 8408 ND N N Capital Guardian, LLC N/A 8-67133 137919 NC N N 10/27/2017 Capital Institutional Services, Inc. N/A 8-22273 7551 TX N N Capital Investment Brokerage, Inc. N/A 8-49118 40657 NC N N Capital Investment Group, Inc. N/A 8-31225 14752 NC N N Capital Management Securities, Inc. N/A 8-27779 10579 MN N N Capital One Investing LLC N/A 8-51160 45744 NY N N Capital Portfolio Management, Inc. N/A 8-44225 29302 MD N N Capital Synergy Partners, Inc. N/A 8-68060 148733 CA N N Capitol Securities Management, Inc. N/A 8-30353 14169 VA N N Cardinal Investments, Inc. N/A 8-47493 36838 IL N N Carl M. Hennig, Inc. N/A 8-14509 140 WI N N Carter, Terry & Company, Inc. N/A 8-33797 16365 GA N N Carty & Company, Inc. N/A 8-19082 7001 TN N N Cary Street Partners LLC N/A 8-66085 128089 VA N N Cascade Financial Management, Inc. N/A 8-53730 119030 CO N N Cascade Investment Group, Inc. N/A 8-46943 35844 CO N N CBIZ Financial Solutions, Inc. N/A 8-34205 16678 OH N N CCF Investments, Inc. N/A 8-67027 136571 GA N N 11/30/2017 Centaurus Financial, Inc. N/A 8-45185 30833 CA N N Centennial Securities Company, LLC N/A 8-23406 7763 MI N N Center Street Securities, Inc. N/A 8-42786 26898 TN N N Century Securities Associates, Inc. N/A 8-43514 28218 MO N N Ceros Financial Services, Inc. N/A 8-47955 37869 MD N N Cetera Advisor Networks LLC N/A 8-29577 13572 CA N N Cetera Advisors LLC N/A 8-26892 10299 CO N N Cetera Financial Specialists LLC N/A 8-27082 10358 IL N N Cetera Investment Services, LLC N/A 8-31826 15340 MN N N CFD Investments, Inc. N/A 8-41727 25427 IN N N CFS Securities, Inc. N/A 8-51330 46201 CT N N CFT Securities, LLC N/A 8-51345 46226 NJ N N CGIS Securities LLC N/A 8-68758 155984 FL N N Charles Schwab & Co., Inc. N/A 8-16514 5393 CA N Y Charles Schwab Bank 549300INFJ8TYNZ1G568 N/A N/A CA N Y Chauner Securities, Inc. N/A 8-33980 10075 IL N N Chelsea Morgan Securities, Inc. N/A 8-51916 47770 NY N N CIBC World Markets Corp. N/A 8-18333 630 NY N N Citigroup Global Markets Inc. N/A Aug-77 7059 NY N N Citizens Bank DRMSV1Q0EKMEYLAU1P80 N/A N/A RI N N Citizens Securities, Inc. N/A 8-48744 39550 MA N N City National Bank 593C3GZG957YOJPS2Z63 N/A N/A CA N N City Securities Corporation N/A 8-00975 1459 IN N N 10/27/2017 Clary Investment and Insurance Planning Corp. N/A 8-48346 38654 MA N N 4/9/2018 Classic LLC N/A 8-68981 159357 ND N N Client One Securities LLC N/A 8-68494 152974 KS N N Coastal Equities, Inc. N/A 8-40822 23769 OH N N Coburn & Meredith, Inc. N/A Aug-74 164 CT N N Coker & Palmer, Inc. N/A 8-44129 29163 MS N N Coldstream Securities, Inc. N/A 8-51549 46835 WA N N Colorado Financial Service Corporation N/A 8-52817 104343 CO N N Comerica Securities, Inc. N/A 8-35001 17079 MI N N Commerce Brokerage Services, Inc. N/A 8-35096 17140 MO N N Commonwealth Equity Services, Inc. N/A 8-24040 8032 MA N N Companion Life Insurance Company 549300576JWB8808D393 N/A N/A SC N Y 5/24/2018 Comprehensive Asset Management and Servicing, Inc. N/A 8-50433 43814 NJ N N Concorde Investment Services, LLC N/A 8-68388 151604 MI N N Conduent HR Services LLC N/A 084-06035 N/A NY N Y Conover Securities Corporation N/A 8-35085 17129 WA N N Consolidated Financial Investments, Inc. N/A 8-37004 18810 MO N N Coordinated Capital Securities, Inc. N/A 8-31173 14762 WI N N CoreCap Investments, Inc. N/A 8-47783 37068 MI N N Corinthian Partners, L.L.C. N/A 8-48461 38912 NY N N Cosse International Securities N/A 8-17106 6216 WA N N Country Capital Management Company N/A 8-12645 12060 IL N N Country Club Financial Services, Inc. N/A 8-44574 29807 MO N N Credit Suisse Securities (USA) LLC N/A 8-422 816 NY N N Cresap, Inc. N/A 8-42117 25899 PA N N Crescent Securities Group N/A 8-53457 114993 TX N N Crestone Securities N/A 8-52463 103981 CO N N 8/25/2017 Crews & Associates, Inc. N/A 8-24075 8052 AR N N CRI Securities, LLC N/A 8-39877 22589 MN N N Crown Capital Securities, L.P. N/A 8-17264 6312 CA N N CSSC Brokerage Services, Inc. N/A 8-67401 141630 MI N N CUNA Brokerage Services, Inc. N/A 8-30027 13941 IA N N Cuso Financial Services, L.P. N/A 8-49711 42132 CA N N Cutter & Company Brokerage, Inc. N/A 8-39590 22449 MO N N D.A. Davidson & Co. N/A Aug-99 199 MT N N D.H. Hill Securities LLP N/A 8-49475 41528 TX N N D.M. Kelly & Company N/A 8-48398 38770 IA N N Darwood Associates Incorporated N/A 8-16560 5864 NJ N N Davenport & Company LLC N/A 8-17103 1588 VA N N David A. Noyes & Company N/A 8-22752 205 IL N N David Lerner Associates, Inc. N/A 8-20746 5397 NY N N Davinci Capital Management Inc. N/A 8-51580 46897 MA N N Dempsey Lord Smith, LLC N/A 8-67469 141238 GA N N DesPain Financial Corporation N/A 8-37056 17360 IL N N Detalus Securities, LLC N/A 8-52180 103260 MO N N Detwiler Fenton & Co. N/A 8-16324 1794 MA N N Deutsche Bank Securities Inc. N/A 8-17822 2525 NY N N Devenir, LLC N/A 8-65837 125968 MN N N DFPG Investments, Inc. N/A 8-68730 155576 UT N N Diamant Investment Corp. N/A 8-18284 7047 CT N N 2/28/2018 Digital Retirement Solutions, Inc. N/A N/A N/A CO N Y Dinosaur Securities, L.L.C. N/A 8-52908 104446 NY N N Diversified Resources, LLC N/A 8-45497 31346 RI N N Dominick & Dominick LLC N/A 8-21076 7344 NY N N Dominion Investor Services, Inc. N/A 8-39029 21548 TX N N Donegal Securities, Inc. N/A 8-66137 128447 MA N N Dorn & Co., Inc. N/A Aug-07 2950 MN N N Dorsey & Company, Inc. N/A Aug-41 1668 LA N N Dougherty & Company LLC N/A 8-21937 7477 MN N N Duncan-Williams, Inc. N/A 8-18971 6950 TN N N DWS Investments Distributors, Inc. N/A 8-47765 37306 IL N N E*Trade Savings Bank 549300DYPO50FJ75QA85 N/A N/A CO N Y 4/3/2018 E*Trade Securities N/A 8-44112 29106 NJ N N E. E. Powell & Company Inc. N/A 8-1893 3063 PA N N Eastern Point Securities, Inc. N/A 8-39398 21921 VA N N Edward D. Jones & Co., L.P. N/A 8-759 250 MO N N Edwin C. Blitz Investments, Inc. N/A 8-22741 7638 IL N N EK Riley Investments, LLC N/A 8-65369 121003 WA N N Emerson Equity LLC N/A 8-66296 130032 CA N N Empire Asset Management Company N/A 8-67520 143007 NY N N Equable Securities N/A 8-21641 7405 WI N N 2/28/2018 Equity Services, Inc. N/A 8-14286 265 VT N N Essex Financial Services, Inc. N/A 8-66015 127549 CT N N Essex Securities LLC N/A 8-51472 46605 MA N N Etico Partners, LLC N/A 8-65500 122481 NY N N E-W Investments, Inc. N/A 8-35259 17463 CA N N Excel Securities & Associates, Inc. N/A 8-34261 16629 NY N N Exeter Trust Company N/A N/A N/A NH N N Fairport Capital, Inc. N/A 8-32162 15034 CT N N Family Investors Company N/A 8-11190 1785 NJ N N Farmers Financial Solutions, LLC N/A 8-52361 103863 CA N N FBT Investments N/A 8-52922 104463 LA N N 2/5/2018 FCG Advisors, LLC N/A 8-49104 40633 NJ N N Federated Securities, Inc. N/A 8-15644 5050 NY N N Feldstein Financial Group, LLC N/A 8-53388 113988 NJ N N Feltl & Company N/A 8-18435 6905 MN N N Fidelity Brokerage Services LLC N/A 8-23292 7784 RI N Y Fidelity Investments Institutional Operations Company, Inc. N/A 8-35097 17507 RI N Y Fidelity Investments Life 54930024AKTQGTIV1P93 N/A N/A RI N N Fiduciary Advisors, LLC N/A 8-52647 104189 PA N N 2/5/2018 Fiduciary Trust International N1YKEWO2IYPRS4742F57 N/A N/A NY N N Fieldpoint Private Securities, LLC N/A 8-37105 18975 CT N N Fifth Third Securities, Inc. N/A Aug-28 628 OH N N Finance 500, Inc. N/A 8-28302 12981 CA N N Financial America Securities, Inc. N/A 8-15719 5100 OH N N 10/27/2017 Financial Northeastern Securities, Inc. N/A 8-34883 17007 NJ N N Financial Planning Consultants, Inc. N/A 8-25384 8541 MO N N Financial Services International Corp. N/A 8-48032 37813 WA N N Financial West Investment Group, Inc. N/A 8-34448 16668 CA N N FinTrust Brokerage Services, LLC N/A 8-49514 41608 SC N N First Allied Securities, Inc. N/A 8-46167 32444 CA N N First Asset Financial, Inc. N/A 8-67191 139107 KS N N First Bankers' Banc Securities, Inc. N/A 8-31584 15041 MO N N First Citizens Investor Services, Inc. N/A 8-50696 44430 NC N N First Command Financial Planning, Inc. N/A Aug-72 3641 TX N N First Financial Equity Corporation N/A 8-34082 16507 AZ N N First Financial Securities of America, Inc. N/A 8-29565 13642 TX N N First Heartland Capital, Inc. N/A 8-46008 32460 MO N N First Honolulu Securities, Inc. N/A 8-23919 7964 HI N N First Kentucky Securities Corporation N/A 8-22224 7524 KY N N First Manhattan Co. N/A 8-10438 1845 NY N N First Mercantile Trust Company R6ZYK5P01NP6HYSY1S07 N/A N/A TN N Y First Republic Securities Company, LLC N/A 8-52973 105108 CA N N First Southern, LLC N/A 8-69733 282756 PR N N First State Financial Management, Inc. N/A 8-34201 16590 MO N N First Western Advisors N/A 8-28729 13623 UT N N First Western Securities, Inc. N/A 8-37613 19537 TX N N FMN Capital Corporation N/A 8-48082 38105 CA N N FMSBonds, Inc. N/A 8-23280 7793 FL N N FNBB Capital Markets, LLC N/A 8-66553 132091 AL N N Folger Nolan Fleming Douglas Incorporated N/A Aug-35 319 DC N N FolioFN Investments, Inc. N/A 8-52009 48015 VA N N Forest Securities, Inc. N/A 8-33568 16255 IL N N Foresters Equity Services, Inc. N/A 8-36703 18464 CA N N Foresters Financial Services N/A 8-13891 305 NY N N Fortune Financial Services, Inc. N/A 8-49727 42150 PA N N Founders Financial Securities LLC N/A 8-67137 137945 MD N N Freimark Blair & Company, Inc. N/A 8-28646 13079 NJ N N FSB Warner Financial, Inc. N/A 8-44865 15898 IA N N FSC Securities Corporation N/A 8-21770 7461 GA N N FTB Advisors, Inc. N/A 8-35061 17117 TN N N G. W. & Wade Asset Management Company, LLC N/A 8-42013 25745 MA N N G.A. Repple & Company N/A 8-35315 17486 FL N N G.F. 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