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Summary Subscriber Trading Eligibility Subscriber Trading Eligible Date Physical Address of Subscriber: Bureau Decision Rendered ABEL/NOSER CORP Subscriber and/or Service Summary Subscriber Trading Eligibility Subscriber Trading Eligible Date Physical Address of Subscriber: Bureau Decision Rendered ABEL/NOSER CORP. 1 - Subscriber Fully Eligible 5-Aug-14 30-Oct-13 1 Battery Park Plaza (24 Whitehall Street), 6th Floor, New York, NY, 10004-1405 AEGIS CAPITAL CORP 1 - Subscriber Fully Eligible 8-Jan-14 8-Jan-14 810 7th Avenue, 18th Floor, New York, NY, 10019 APB FINANCIAL GROUP, LLC 1 - Subscriber Fully Eligible 11-Apr-14 10-Apr-14 17 State St. Suite 1650, New York, NYC, 10004 AXIOM CAPITAL MANAGEMENT, INC. 1 - Subscriber Fully Eligible 31-Oct-13 7-Oct-13 780 Third Ave., 43rd Floor, New York, NY 10017 B. RILEY AND CO., LLC 1 - Subscriber Fully Eligible 1-Aug-14 18-Oct-13 11100 Santa Monica Blvd. Suite 800, Los Angeles, CA 90025 BARCLAYS CAPITAL INC 1 - Subscriber Fully Eligible 23-Oct-13 23-Oct-13 745 7th Ave, 27th Floor, New York, NY 10019 BLOOMBERG TRADEBOOK LLC 1 - Subscriber Fully Eligible 8-Jan-14 2-Dec-13 731 Lexington Avenue, New York, NY, 10022 BMO CAPITAL MARKETS CORP. 1 - Subscriber Fully Eligible 25-Feb-14 25-Feb-14 3 Times Sq, 27th Floor, New York, NY 10036 BREAN CAPITAL, LLC 1 - Subscriber Fully Eligible 11-Feb-15 6-Feb-15 1345 Avenue of the Americas, New York, NY, 10105 BTIG, LLC 1 - Subscriber Fully Eligible 22-Nov-13 30-Sep-13 600 Montgomery St, 6th Floor, San Francisco, CA, 94111 CANTOR FITZGERALD & CO 1 - Subscriber Fully Eligible 20-Nov-14 19-Nov-14 110 East 59th Street, 5th Floor, New York, NY, 10022 CHIMERA SECURITIES, LLC 1 - Subscriber Fully Eligible 19-Nov-14 28-Oct-14 27 Union Square West, 4th Flr, New York, NY, 10003 CITIGROUP GLOBAL MARKETS INC. 1 - Subscriber Fully Eligible 4-Apr-14 4-Apr-14 390 Greenwich Street, New York, NYC, 10013-2396 CJS SECURITIES, INC. 1 - Subscriber Fully Eligible 5-May-15 30-Apr-15 50 Main Street, Suite 325, White Plains, NY, 10606 CLEARPOOL EXECUTION SERVICES, 1 - Subscriber Fully Eligible 23-Jun-15 20-May-15 17 State Street Suite 3801 New York NY LLC 10004 CLSA AMERICAS, LLC 1 - Subscriber Fully Eligible 11-Sep-13 11-Sep-13 1301 Avenue of the Americas, 15th Floor, New York, NY, 10019 CONVERGEX EXECUTION 1 - Subscriber Fully Eligible 28-Oct-13 7-Oct-13 1633 Broadway, 48th Floor, New York, NY SOLUTIONS 10019 CORNERSTONE MACRO, LLC 1 - Subscriber Fully Eligible 2-Apr-15 16-Mar-15 650 Fifth Avenue, 21st Floor New York NY 10019 COWEN AND COMPANY, LLC 1 - Subscriber Fully Eligible 10-Oct-13 20-Sep-13 599 Lexington Avenue, New York, NY, 10022 CREDIT SUISSE SECURITIES (USA) 1 - Subscriber Fully Eligible 4-Nov-13 18-Oct-13 11 Madison Avenue, New York, NY, 10010 LLC CUTTONE & COMPANY, INC. 1 - Subscriber Fully Eligible 8-Apr-15 26-Mar-15 111 Broadway Suite 1002 New York New York 10006 DASH FINANCIAL LLC 1 - Subscriber Fully Eligible 24-Oct-14 1-Aug-14 910 W. Van Buren St., 4th Floor, Chicago, IL, 60607 DEMATTEO MONNESS LLC 1 - Subscriber Fully Eligible 4-Dec-13 2-Dec-13 780 Third Avenue, 45th Floor, New York, NY, 10017 DEUTSCHE BANK SECURITIES INC. 1 - Subscriber Fully Eligible 5-Nov-13 23-Oct-13 60 Wall St, New York, NY, 10005 DIVINE CAPITAL MARKETS 1 - Subscriber Fully Eligible 3-Sep-14 25-Aug-14 39 Broadway, 36th Floor, New York, NY, 10006 FIRST ANALYSIS SECURITIES 1 - Subscriber Fully Eligible 29-May-15 12-May-15 1 South Wacker Drive Suite 3900 Chicago CORPORATION IL 60606 GOLDMAN, SACHS & CO. 1 - Subscriber Fully Eligible 5-Dec-13 5-Dec-13 200 West Street, New York, NY, 10282 GREAT PACIFIC SECURITIES 3 - Subscriber Approved (Not Certified) 14-Oct-13 151 Kalmus Drive, Suite H8, Costa Mesa, CA 92626 GREAT POINT CAPITAL LLC 1 - Subscriber Fully Eligible 26-Jan-15 25-Apr-14 175 West Jackson Boulevard, Suite 1450, Chicago, IL, 60604 GREEN STREET ADVISORS, INC. 1 - Subscriber Fully Eligible 15-Sep-14 11-Sep-14 660 Newport Center Drive, #800, Newport Beach, CA, 92660 GTS SECURITIES LLC 1 - Subscriber Fully Eligible 15-Apr-14 15-Apr-14 545 Madison Avenue, 15th Floor, New York, NY, 10022 GUZMAN & COMPANY 1 - Subscriber Fully Eligible 31-Jul-14 31-Jul-14 101 Aragon Avenue, Coral Gables, FL, 33134 GUZMAN & COMPANY 1 - Subscriber Fully Eligible 31-Jul-14 31-Jul-14 101 Aragon Avenue, Coral Gables, FL, 33134 IMC CHICAGO, LLC 1 - Subscriber Fully Eligible 27-Oct-14 11-Aug-14 233 C. Wacker Drive, #4300, Chicago, IL, 60606 INSTINET, LLC 1 - Subscriber Fully Eligible 2-Oct-13 20-Sep-13 1095 Avenue of the Americas, New York, NY, 10036 INTERACTIVE BROKERS LLC 1 - Subscriber Fully Eligible 8-Apr-14 2-Apr-14 2 Pickwick Plaza, Greenwich, CT, 06830 INTERNATIONAL STRATEGY & 1 - Subscriber Fully Eligible 18-Oct-13 18-Oct-13 666 Fifth Avenue, 11th Floor, New York, INVESTMENT GROUP INC. NY, 10103 ITAU BBA USA SECURITIES INC. 1 - Subscriber Fully Eligible 25-Jul-14 21-Jul-14 767 Fifth Avenue, 50th Floor, New York, NY, 10153 ITG INC. 1 - Subscriber Fully Eligible 9-Oct-13 30-Sep-13 One Liberty Plaza, 165 Broadway, New York, NY, 10006 J.P. MORGAN SECURITIES LLC 1 - Subscriber Fully Eligible 23-Oct-13 15-Oct-13 383 Madison Avenue, New York, NY, 10179 JANNY MONTGOMERY SCOTT, LLC 3 - Subscriber Approved (Not Certified) 10-Jun-14 1717 Arch Street, Philadelphia, PA, 19103 JEFFERIES EXECUTION SERVICES, 1 - Subscriber Fully Eligible 14-Oct-13 14-Oct-13 520 Madison Avenue, Equities, 11th Floor, INC. New York, NY, 10022 JMP SECURITIES LLC 1 - Subscriber Fully Eligible 24-Oct-13 24-Oct-13 600 Montgomery, Suite 600, San Francisco, CA, 94111 JOHNSON RICE & COMPANY, LLC 1 - Subscriber Fully Eligible 18-Mar-15 11-Mar-15 639 Loyola Avenue, Suite 2775 New Orleans LA 70113 JONESTRADING INSITUTIONAL 1 - Subscriber Fully Eligible 24-Oct-13 24-Oct-13 32133 Lindero Canyon Road, Suite 208, SERVICES LLC Westlake Village, CA, 91361 KEEFE, BRUYETTE & WOODS, INC. 1 - Subscriber Fully Eligible 22-Apr-14 22-Apr-14 The Equitable Building, 787 Seventh Avenue, 4th Floor, New York, NY, 10019 KNIGHT CAPITAL AMERICAS LLC 1 - Subscriber Fully Eligible 31-Oct-13 31-Oct-13 545 Washington Blvd. #3, 3rd Floor, Jersey City, NJ, 07310 LEK SECURITIES CORPORATION 1 - Subscriber Fully Eligible 4-Dec-13 15-Nov-13 165 Broadway/One Liberty Plaza, Floor 52, New York, NY, 10006 LIGHTSPEED TRADING, LLC 1 - Subscriber Fully Eligible 2-Oct-14 9-Jun-14 1001 6th Avenue, 16th Floor, New York, NY, 10018 M. S. HOWELLS & CO. 3 - Subscriber Approved (Not Certified) 21-Jul-14 20555 N. Pima Road, Scottsdale, AZ 85255 MACQUARIE CAPITAL (USA) INC. 1 - Subscriber Fully Eligible 21-Apr-14 10-Apr-14 125 W 55th St, New York, NY, 10019 MERIDIAN EQUITY PARTNERS INC. 1 - Subscriber Fully Eligible 6-Aug-14 30-Jul-14 40 Wall Street, 17th Floor, New York, NY, 10005 MERRILL LYNCH, PIERCE, FENNER & 1 - Subscriber Fully Eligible 20-Feb-14 20-Feb-14 1 Bryant Park, New York, NY, 10036 SMITH INCORPORATED MISCHLER FINANCIAL GROUP, INC. 1 - Subscriber Fully Eligible 6-Oct-14 26-Sep-14 1111 Bayside Drive, Suite 100, Corona del Mar, CA, 92625 MKM PARTNERS LLC 1 - Subscriber Fully Eligible 18-Oct-13 18-Oct-13 300 First Stamford Place, Stamford, CT, 06902 MORGAN STANLEY & CO. LLC 1 - Subscriber Fully Eligible 11-Oct-13 11-Oct-13 1585 Broadway, New York, NY, 10036 NATIONAL FINANCIAL SERVICES LLC 1 - Subscriber Fully Eligible 24-Oct-13 24-Oct-13 200 Seaport Boulevard, Boston, MA, 02210 NEEDHAM & COMPANY, LLC 1 - Subscriber Fully Eligible 11-Nov-13 11-Nov-13 445 Park Ave, New York, NY, 10022 NORTHERN TRUST SECURITIES, INC. 1 - Subscriber Fully Eligible 30-Jul-14 10-Apr-14 50 LaSalle Street, Chicago, Illinois, 60603 NORTHLAND SECURITIES, INC 1 - Subscriber Fully Eligible 13-Apr-15 25-Mar-15 45 South 7th Street Suite 200, Minneapolis, MN 55402 OLIVETREE FINANCIAL, LLC 1 - Subscriber Fully Eligible 15-Dec-15 14-Dec-15 254 W. 54th Street 17th Floor New York NY 10019 PIPER JAFFRAY & CO. 1 - Subscriber Fully Eligible 10-Apr-14 10-Apr-14 800 Nicollet Mall, Suite 100, Minneapolis, MN 55402 RAYMOND JAMES & ASSOCIATES, 1 - Subscriber Fully Eligible 19-May-14 19-May-14 880 Carillon Parkway, St. Petersburg, INC. Florida, 33716 RBC CAPITAL MARKETS, LLC 1 - Subscriber Fully Eligible 30-Sep-13 30-Sep-13 3 World Trade Center, 200 Vesey St., 8th Floor, New York, NY 10281 REDBURN (USA) LLC 1 - Subscriber Fully Eligible 8-Jul-14 3-Jul-14 565 5th Avenue, 26th Floor, New York, NY, 10017 ROBERT W. BAIRD & CO. 1 - Subscriber Fully Eligible 21-Apr-14 21-Apr-14 777 E Wisconsin Ave Milwaukee, WI 53202 INCORPORATED ROSENBLATT SECURITIES INC. 1 - Subscriber Fully Eligible 18-Oct-13 15-Oct-13 20 Broad Street, 26th Floor, New York, NY, 10005 RUSSELL IMPLEMENTATION 1 - Subscriber Fully Eligible 5-Mar-15 22-Sep-14 1301 2nd Avenue, 18th Floor, Seattle, WA, SERVICES INC 98101 SANFORD C. BERNSTEIN & CO., LLC 1 - Subscriber Fully Eligible 20-Sep-13 20-Sep-13 1345 Avenue of Americas, New York, NY, 10105 SCARSDALE EQUITIES LLC 1 - Subscriber Fully Eligible 23-Jul-14 21-Jul-14 10 Rockefeller Plaza, Suite 720, New York, NY, 10020 SG AMERICAS SECURITIES, LLC 1 - Subscriber Fully Eligible 13-Nov-13 31-Oct-13 245 Park Ave, New York, NY, 10167 SOUTHWEST SECURITIES INC. 1 - Subscriber Fully Eligible 5-Dec-14 2-Dec-14 1201 Elm Street, Suite 3500, Dallas, Texas, 75270 SPEEDROUTE LLC 1 - Subscriber Fully Eligible 5-May-14 10-Apr-14 30 Broad Street, 22nd Floor, New York, NY, 10005 STERNE, AGEE & LEACH, INC.
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