COMMISIONER OF FINANCIAL INSTITUTIONS BROKER DEALERS REGISTERED AND LOCATED IN PUERTO RICO NAME LIC. NUM. ADDRESS NEXT RENEWAL CRD. # DATE TELEPHONE AND BRANCHE FAX S CONTACT Aegis Capital Corp 1478 810 7th Ave. 18th Floor New York NY 10019 01/01/17 15007 212-813-1010 212-8132700 1 Robert J. Eide AXA Advisors, LLC 323 1290 Avenue of the Americas New York NY 10104 01/01/17 6627 787-759-3333 212-3144600 10 Maurya C. Keating, Hiram A. Ramírez Rangel Barclays Capital Inc. 788 745 7th Avenue New York NY 10019 01/01/17 19714 212-526-7000 787-2966831 1 Matthew Eisenberg, Luis Ivan Alfaro Martínez Cantor Fitzgerald & Co. 640 110 East 59th Street 4th Floor New York NY 10022 01/01/17 134 212-938-5000 1 Gary Distell, Joaquin Iglesias Capital Guardian, LLC 1852 521 East Morehead St. Suite 405 Charlotte NC 28202 01/01/17 137919 704-705-1868 704-7051860 1 James Ball Cetera Advisor Networks LLC 737 200 North Sepulveda Blvd. Suite 1300 El Segundo CA 90245-5672 01/01/17 13572 310-326-3100 8 Douglas King Champlain Advisors, LLC 1876 Galería de Artes y Ciencias 875 Carr 693, Suite 102 Dorado PR 00646 01/01/17 129560 917-807-9833 1 Terence M Crikelair Charles Schwab & Co., Inc. 131 211 Main Street SF211MN-05-305 San Francisco CA 94105 01/01/17 5393 787-281-2295 415-6677000 1 Francisco J. Vivas, Beverly Neilson Citi International Financial Services LLC 246 Parque Las Americas 1 235 Federico Costa Street, Suite 101 San Juan PR 00918 01/01/17 17053 787-999-8026 1 Moises Valladares Citigroup Global Markets Inc. 068 390-388 Greenwich Street New York NY 10013-2396 01/01/17 7059 212-816-6000 787-6226350 1 Rosemary Francavilla, John C. Gavin Fairbridge Capital Markets 1062 City View Plaza Tower 1, Suite 801 Guaynabo PR 00968 01/01/17 103818 787-763-5868 1 Eduardo Prado First Bank Puerto Rico Securities, Corp. 1670 1519 Ponce De Leon Avenue Stop 23 2nd Floor San Juan PR 00908 01/01/17 150135 787-729-8111 1 Thomas M. McDonald Jr. First Southern Securities, LLC 1933 1720 Windward Concourse Suite 115 Alpharetta GA 30005 01/01/17 153133 770-777-9373 1 W. Heath Hawk Gar Wood Securities, LLc 1950 440 S. LaSalle Street Suite 2201 Chicago IL 60605 01/01/17 138033 312-566-0740 312-5660741 1 Michael Tattas GWFS Equities, Inc. 1514 8515 E Orchard Road Greenwood Village CO 80111 01/01/17 13109 303-737-3817 787-3808860 1 Beverly A. Byrne, Beatriz E. Torres COMMISIONER OF FINANCIAL INSTITUTIONS BROKER DEALERS REGISTERED AND LOCATED IN PUERTO RICO NAME LIC. NUM. ADDRESS NEXT RENEWAL CRD. # DATE TELEPHONE AND BRANCHE FAX S CONTACT Herbert J. Sims & Co., Inc. 1885 2150 Post Road Suite 301 Fairfield CT 06824 01/01/17 3420 203-418-9000 800-5276425 1 Genevieve Freda IFS Securities 1667 6 Parkside Conc. San Patricio Avenue Guaynabo PR 00968 01/01/17 40375 939-630-4768 787-9991636 1 Alexy Mckenzie Independent Financial Group, LLC 1936 12671 High Bluff Drive Suite 200 San Diego CA 92130 01/01/17 7717 858-436-3180 1 Javier Enrique Cordero Conde Investacorp, Inc. 1222 4400 Biscayne Blvd 11th Floor Miami FL 33137 01/01/17 7684 305-557-3000 1 Patrick Farrell Kestra Investment Services, LLC 1161 1250 S. Capital of Texas Hwy. #2-125 Austin TX 78746 01/01/17 42046 512-697-6000 512-6976000 1 Michael Pedlow Kovack Securities Inc. 1198 6451 N. Federal Hwy. Suite 1201 Ft. Lauderdale FL 33308 01/01/17 44848 954-670-0608 787-7588234 4 Ronald J. Kovack, Fernando A. Navarro Lincoln Financial Securities Corporation 207 One Granite Place Concord NH 033013258 01/01/17 3870 787-763-9936 484-5831027 8 Patrick J. Caulfield Merrill Lynch, Pierce, Fenner & Smith Incorporated 003 One Bryant Park New York NY 10036 01/01/17 7691 800-637-7455 212-4491000 2 Angela Moore, Hector Lafitte MML Investors Services, LLC 598 1295 State Street Springfield MA 011110001 01/01/17 10409 787-758-2244 413-7447885 7 Robert S. Rosenthal Morgan Stanley & Co. LLC 241 1585 Broadway New York NY 10036-8293 01/01/17 8209 212-761-4000 787-2739733 1 Shauna Myers, Jorge Irizarry Mutual of Omaha Investor Services, Inc. 041 B7 Tabonuco St. Suite 1401 Guaynabo PR 00968-3028 01/01/17 611 787-782-5252 402-3516634 1 Jose R. Bellavista, Amy J. Owens Nationwide Planning Associates Inc. 1605 115 West Century Road Suite 360 Paramus NJ 07652 01/01/17 31029 201-476-0029 4 Michael J. Karalewich, Jorge M. Rodríguez Bonano Oriental Financial Services Corp. 487 997 San Roberto Street Oriental Group Tower, 9th Floor San Juan PR 00926 01/01/17 29753 787-474-1993 787-9934288 12 Ana R. Suarez Pariter Securities, LLC 1654 243 Carretera #2 Guaynabo PR 00966 01/01/17 127836 787-781-2555 1 Braulio Nieves Performance Trust Capital Partners, LLC 936 500 W. Madison Suite 450 Chicago IL 60661 01/01/17 36155 312-521-1000 787-6209833 1 David F. Wilding, Charles M. Carpenter COMMISIONER OF FINANCIAL INSTITUTIONS BROKER DEALERS REGISTERED AND LOCATED IN PUERTO RICO NAME LIC. NUM. ADDRESS NEXT RENEWAL CRD. # DATE TELEPHONE AND BRANCHE FAX S CONTACT PFS Investments Inc. 162 1 Primerica Parkway Duluth GA 300990001 01/01/17 10111 770-381-1000 31 Daniel A. Woodring Popular Securities, LLC. 134 01/01/17 8096 787-758-7400 787-7664200 9 Gregory Kaufman Raymond James Financial Services, Inc. 787 208 Avenue Ponce De Leon Popular Center Suite 1200 San Juan PR 009181035 880 Carillon Parkway St. Petersburg FL 33716 01/01/17 6694 727-567-3020 787-7256400 2 Mary Haas, Ramon R. Dana, Jr. RD Capital Group, Inc. 595 MCS Plaza Suite 305 255 Ponce de Leon Avenue San Juan PR 00917-1903 01/01/17 37470 787-282-0303 1 Cesar Munoz Royal Alliance Associates, Inc. 168 One World Financial Center 15th Floor New York NY 10281 01/01/17 23131 800-821-5100 1 Justin Sacca Samuel A. Ramirez & Co., Inc. 723 61 Broadway Suite 2924 New York NY 10006 01/01/17 6963 212-248-0522 787-7598080 1 Samuel Ramirez, Jose A. Erazo Santander Securities LLC 665 Santander Tower B7 Tabonuco Street, Suite 1800 Guaynabo PR 00968-3028 01/01/17 41791 787-759-5330 3 Lawrence Carter Securities America, Inc. 1702 12325 Port Grace Blvd. La Vista NE 68128 01/01/17 10205 402-399-9111 3 Mark Lasswell Signator Investors, Inc. 048 197 Clarendon Street (C-8) Boston MA 02116 01/01/17 468 (800) 543-6611 787-7547180 2 Thomas J. Horack Starlight Securities, Inc. 616 Blanco Bldg., 2nd. Floor Ave. Roosevelt #505 Guaynabo PR 00920 01/01/17 N/A 787-775-2121 1 Agustin Cabrer The O.N. Equity Sales Company 740 One Financial Way Cincinnati OH 45242 01/01/17 2936 513-794-6658 513-7946794 1 Barbara A. Turner, Adolfo Krans Transamerica Financial Advisors, Inc. 918 570 Carillon Parkway St. Petersburg FL 33716-1202 01/01/17 16164 727-557-3736 727-2991800 3 Humberto Torres Jr. UBS Financial Services Inc. 033 1200 Harbor Boulevard Weehawken NJ 07086 01/01/17 8174 787-250-3600 201-3528967 5 Eileen O'Connell UBS Financial Services Incorporated Of PR 177 250 Munoz Rivera Avenue Hato Rey PR 00918 01/01/17 13042 787-250-3600 212-7132000 7 Doel R. García, Eileen O'Connell Arcuri Universal Financial Services Inc. 1442 Calle Bolivia #33 San Juan PR 009172011 01/01/17 131558 787-793-7202 x. 6108 787-706-7095 1 Jose C. Benitez Voya Financial Advisors, Inc. 701 909 Locust Street Des Moines IA 50309 01/01/17 2882 1-800-356-2906 925-6487405 1 Paul Heywood GRAND TOTAL: 46