Payout grids for independent broker-dealers

Product $0-$249,999 $250,000-$499,999 $500,000-$749,999 $750,000-$999,999 $1M and greater Alden Investment Group (215) 572-8700 John Mulqueen Mutual funds 81%-85% 86%-90% 86%-90% 86%-90% 86%-90% aldeninvestmentgroup.com (215) 572-8700 Securities 81%-85% 86%-90% 86%-90% 86%-90% 86%-90% Lee Calfo john@aldeninvestmentgroup.com Insurance 81%-85% 86%-90% 86%-90% 86%-90% 86%-90% Variable annuities 81%-85% 86%-90% 86%-90% 86%-90% 86%-90% Limited partnerships 81%-85% 81%-85% 81%-85% 81%-85% 86%-90% American Portfolios Financial Services Inc. (631) 439-4600 Lon T. Dolber Mutual funds 86%-90% 86%-90% 86%-90% 86%-90% 91%-95% American Portfolios Holdings Inc. americanportfolios.com (800) 889-3914 ext. 106 Securities 86%-90% 86%-90% 86%-90% 86%-90% 91%-95% Lon T. Dolber (President & CEO) ldolber@americanportfolios.com Insurance 86%-90% 86%-90% 86%-90% 86%-90% 91%-95% Variable annuities 86%-90% 86%-90% 86%-90% 86%-90% 91%-95% Limited partnerships 86%-90% 86%-90% 86%-90% 86%-90% 91%-95% Ameriprise Financial Services (612) 671-3131 Manish P. Dave Mutual funds N/D N/D N/D N/D N/D Ameriprise Financial ameriprise.com/why (612) 671-0932 Securities N/D N/D N/D N/D N/D Jim Cracchiolo (Chairman & CEO) manish.p.dave@ampf.com Insurance N/D N/D N/D N/D N/D Variable annuities N/D N/D N/D N/D N/D Limited partnerships N/D N/D N/D N/D N/D Arkadios Capital (404) 445-0035 Chris Mielnicki Mutual funds N/A N/A 91%-95% 91%-95% 91%-95% arkadios.com (404) 445-0035 Securities N/A N/A 91%-95% 91%-95% 91%-95% David Y. Millican cmielnicki@arkadios.com Insurance N/A N/A 91%-95% 91%-95% 91%-95% Variable annuities N/A N/A 91%-95% 91%-95% 91%-95% Limited partnerships N/A N/A 91%-95% 91%-95% 91%-95% Avantax Investment Services Inc. (800) 821-8254 Tim Stewart Mutual funds Up to 86% Up to 90% Up to 90% Up to 90% Up to 94% avantax.com (972) 870-6142 Securities Up to 86% Up to 90% Up to 90% Up to 90% Up to 94% Todd Mackay (President, Wealth Management) tim.stewart@avantax.com Insurance Up to 86% Up to 90% Up to 90% Up to 90% Up to 94% Variable annuities Up to 86% Up to 90% Up to 90% Up to 90% Up to 94% Limited partnerships Up to 86% Up to 90% Up to 90% Up to 90% Up to 94% Cambridge Investment Research Inc. (800) 777-6080 Tammy Robbins Mutual funds Negotiable up to 100% joincambridge.com (800) 777-6080 Securities Negotiable up to 100% Amy Webber (President & CEO) tammy.robbins@cir2.com Insurance Negotiable up to 100% Variable annuities Negotiable up to 100% Limited partnerships Negotiable up to 100% Centaurus Financial Inc. (800) 880-4234 Tesh Lokumal Mutual funds 86%-90% 86%-90% 86%-90% 86%-90% 86%-90% Federation of Financial Services joincfi.com; centaurusfinancial.com (800) 880-4234 ext. 212 Securities 86%-90% 86%-90% 86%-90% 86%-90% 86%-90% J. Ronald King (Chairman & CEO) tlokumal@cfiemail.com Insurance 86%-90% 86%-90% 86%-90% 86%-90% 86%-90% Variable annuities 86%-90% 86%-90% 86%-90% 86%-90% 86%-90% Limited partnerships 86%-90% 86%-90% 86%-90% 86%-90% 86%-90% CFD Investments Inc. (800) 745-7776 Brent A. Owens Mutual funds 86%-90% 91%-95% 91%-95% 91%-95% 91%-95% joincfd.com, cfdinvestments.com (800) 745-7776 ext. 3006 Securities 86%-90% 91%-95% 91%-95% 91%-95% 91%-95% Brent A. Owens (President) brent.owens@cfdinvestments.com Insurance 86%-90% 91%-95% 91%-95% 91%-95% 91%-95% Variable annuities 86%-90% 91%-95% 91%-95% 91%-95% 91%-95% Limited partnerships 86%-90% 91%-95% 91%-95% 91%-95% 91%-95% Commonwealth Equity Services, LLC dba-Commonwealth Financial Network (866) 462-3638 Andrew Daniels Mutual funds 50%-87% 87% 88% 89% 90%-95% commonwealth.com (866) 462-3638 Securities 50%-87% 87% 88% 89% 90%-95% Wayne Bloom adaniels@commonwealth.com Insurance 100% 100% 100% 100% 100% Variable annuities 50%-87% 87% 88% 89% 90%-95% Limited partnerships 50%-87% 87% 88% 89% 90%-95% Cutter & Co. Inc. (636) 537-8770 William L. Meyer Mutual funds 25%-80% 85% 86% 87% 90% cutterco.com (636) 537-8770 Securities 25%-80% 85% 86% 87% 90% Deborah M. Castiglioni wlmeyer@cutter-co.com Insurance 25%-80% 85% 86% 87% 90% Variable annuities 25%-80% 85% 86% 87% 90% Limited partnerships 25%-80% 85% 86% 87% 90% Equitable Advisors (212) 554-1234 David Goettelmann Mutual funds 40%- 75% 40%-75% 81%-85% 86%-90% 91%-95% Equitable Holdings Inc. equitable.com (212) 314-2057 Securities 40%-75% 40%-83% 81%-85% 86%-90% 91%-95% David Karr David.Goettelmann@equitable.com Insurance 51%-75% 53%-83% 81%-85% 86%-90% 91%-95% Variable annuities 51%-75% 53%-83% 81%-85% 86%-90% 91%-95% Limited partnerships Do not offer this product Equity Services Inc. (800) 344-7437 Lou Martinez Mutual funds N/D N/D N/D N/D N/D National Life Group equity-services.com (802) 229-7457 Securities N/D N/D N/D N/D N/D Ata Azarshahi (President) lmartinez@nationallife.com Insurance N/D N/D N/D N/D N/D Variable annuities N/D N/D N/D N/D N/D Limited partnerships N/D N/D N/D N/D N/D Fortune Financial Services Inc. (724) 846-2488 Gregory J. Bentley Mutual funds 86%-90% 86%-90% 86%-90% 86%-90% 86%-90% fortunefinancialservices.com (724) 846-2488 Securities Do not offer this product Gregory J. Bentley (President & CEO) gbentley@fortunefinancialservices.com Insurance 86%-90% 86%-90% 86%-90% 86%-90% 86%-90% Variable annuities 86%-90% 86%-90% 86%-90% 86%-90% 86%-90% Limited partnerships Do not offer this product Founders Financial (888) 523-1162 Tom Senseney, Jr. Mutual funds Up to 90% Up to 90% Up to 90% Up to 90% Up to 90% Founders Financial Inc. foundersfinancial.com (888) 523-1162 ext. 1260 Securities Up to 90% Up to 90% Up to 90% Up to 90% Up to 90% Bradley M. Shepherd tsenseney@foundersfinancial.com Insurance Up to 90% Up to 90% Up to 90% Up to 90% Up to 90% Variable annuities Up to 90% Up to 90% Up to 90% Up to 90% Up to 90% Limited partnerships Up to 90% Up to 90% Up to 90% Up to 90% Up to 90% Geneos Wealth Management Inc. (888) 812-5043 Austin Gross Mutual funds 81%-85% 86%-90% 91%-95% 91%-95% 91%-95% geneoswealth.com (303) 785-8470 ext. 151 Securities 81%-85% 86%-90% 91%-95% 91%-95% 91%-95% Ryan Diachok agross@geneoswealth.com Insurance 86%-90% 86%-90% 91%-95% 91%-95% 91%-95% Variable annuities 81%-85% 86%-90% 91%-95% 91%-95% 91%-95% Limited partnerships 81%-85% 86%-90% 91%-95% 91%-95% 91%-95% Grove Point Financial (301) 944-5900 Robert J. Engle Mutual funds 81%-85% 86%-90% 86%-90% 91%-95% 91%-95% Kestra Holdings grovepointfinancial.com (301) 944-5872 Securities 81%-85% 86%-90% 86%-90% 91%-95% 91%-95% Michelle A. Barry (President) rengle@grovepointfinancial.com Insurance 81%-85% 86%-90% 86%-90% 91%-95% 91%-95% Variable annuities 81%-85% 86%-90% 86%-90% 91%-95% 91%-95% Limited partnerships 81%-85% 86%-90% 86%-90% 91%-95% 91%-95% Harbour Investments Inc. (608) 662-6100 Aaron M. Hager Mutual funds Up to 90% Up to 91% Up to 92% Up to 93% Up to 94% harbourinv.com (608) 662-6100 Securities Up to 90% Up to 91% Up to 92% Up to 93% Up to 94% Aaron M. Hager (President) ahager@harbourinv.com Insurance Up to 100% Up to 100% Up to 100% Up to 100% Up to 100% Variable annuities Up to 90% Up to 91% Up to 92% Up to 93% Up to 94% Limited partnerships Up to 90% Up to 91% Up to 92% Up to 93% Up to 94% Hornor Townsend & Kent (800) 873-7637 Mutual funds N/D N/D N/D N/D N/D Penn Mutual Life Insurance Co. htk.com Securities N/D N/D N/D N/D N/D Aaron Gordon (President) Insurance N/D N/D N/D N/D N/D Variable annuities N/D N/D N/D N/D N/D Limited partnerships N/D N/D N/D N/D N/D Independent Financial Group (800) 269-1903 Julia Kohan Mutual funds 86%-90% 91%-95% 91%-95% 91%-95% 91%-95% ifgsd.com (800) 269-1903 Securities 86%-90% 91%-95% 91%-95% 91%-95% 91%-95% Scott Heising (President & Co-Founder) jkohan@ifgsd.com Insurance 86%-90% 91%-95% 91%-95% 91%-95% 91%-95% Variable annuities 86%-90% 91%-95% 91%-95% 91%-95% 91%-95% Limited partnerships 86%-90% 91%-95% 91%-95% 91%-95% 91%-95% Infinity Financial Services (510) 588-8000 Gregory Gilbert Mutual funds N/D N/D N/D N/D N/D Infinity Financial Services Advisory infinitysecurities.com (510) 588-8000 Securities N/D N/D N/D N/D N/D Gregory Gilbert greg@8financial.com Insurance N/D N/D N/D N/D N/D Variable annuities N/D N/D N/D N/D N/D Limited partnerships N/D N/D N/D N/D N/D J.W. Cole Financial Inc. (866) 592-6531 John Carlson Mutual funds 86%-90% 91%-95% 91%-95% 91%-95% 91%-95% jw-cole.com (866) 592-6531 Securities 86%-90% 91%-95% 91%-95% 91%-95% 91%-95% Robert Wood (Principal & Owner) john.carlson@jw-cole.com Insurance 86%-90% 96%-100% 96%-100% 96%-100% 96%-100% Variable annuities 86%-90% 91%-95% 91%-95% 91%-95% 91%-95% Limited partnerships 86%-90% 91%-95% 91%-95% 91%-95% 91%-95% Kestra Financial Inc (844) 553-7872 Daniel Schwamb Mutual funds 65%-85% 88%-91% 92% 93% 93% Kestra Holdings kestrafinancial.com (737) 443-2400 Securities 65%-85% 88%-91% 92% 93% 93%-95% Stephen Langlois (President) daniel.schwamb@kestrafinancial.com Insurance 65%-100% 88%-100% 92%-100% 93%-100% 93%-100% Variable annuities 65%-85% 88%-91% 92% 93% 93%-95% Limited partnerships 65%-85% 88%-91% 92% 93% 93%-95% Kovack Securities Inc. (866) 564-6574 Carlo A. Bidone, Jr. Mutual funds 86%-90% 91%-95% 91%-95% 91%-95% 91%-95% Kovack Financial Cos. joinksi.com (954) 670-0616 Securities 86%-90% 91%-95% 91%-95% 91%-95% 91%-95% Brian J. Kovack carlo@kovacksecurities.com Insurance 86%-90% 91%-95% 91%-95% 91%-95% 91%-95% Variable annuities 86%-90% 91%-95% 91%-95% 91%-95% 91%-95% Limited partnerships Do not offer this product LaSalle St. Securities (800) 777-7865 Mark Contey Mutual funds 86%-90% 91%-95% 91%-95% 91%-95% 91%-95% lasallest.com (630) 600-0360 Securities 86%-90% 91%-95% 91%-95% 91%-95% 91%-95% Jack McDermott mark@lasallest.com Insurance 86%-90% 91%-95% 91%-95% 91%-95% 91%-95% Variable annuities 86%-90% 91%-95% 91%-95% 91%-95% 91%-95% Limited partnerships 86%-90% 91%-95% 91%-95% 91%-95% 91%-95% Lincoln Financial Network (866) 533-3410 National Recruiting Team Mutual funds 51%-75% 51%-75% 81%-85% 86%-90% 86%-90% Lincoln Financial Group joinlfn.com (866) 533-3410 Securities 26%-50% 51%-75% 51%-75% 76%-80% 76%-80% David S. Berkowitz (President) joinlfn@lfg.com Insurance 51%-75% 51%-75% 81%-85% 86%-90% 86%-90% Variable annuities 51%-75% 51%-75% 81%-85% 86%-90% 86%-90% Limited partnerships 51%-75% 51%-75% 81%-85% 86%-90% 86%-90% Lincoln Investment Planning (215) 887-8111 Thomas Lakatos Mutual funds N/D N/D N/D N/D N/D Lincoln Investment Group Holdings lincolninvestment.com (215) 881-4657 Securities N/D N/D N/D N/D N/D Edward Forst (President & CEO) tlakatos@lincolninvestment.com Insurance N/D N/D N/D N/D N/D Variable annuities N/D N/D N/D N/D N/D Limited partnerships N/D N/D N/D N/D N/D LPL Financial (866) 794-0185 Scott Posner Mutual funds 90%-92% 90%-92% 90%-93% 90%-94% 90%-98% LPL Financial Holdings Inc. lpl.com (866) 794-0185 Securities 75%-92% 75%-92% 75%-93% 75%-94% 90%-98% Dan Arnold (President & CEO) Insurance 90%-92% 90%-92% 90%-93% 90%-94% 90%-98% Variable annuities 90%-92% 90%-92% 90%-93% 90%-94% 90%-98% Limited partnerships 90%-92% 90%-92% 90%-93% 90%-94% 90%-98% M Holdings Securities Inc. (M Securities) (503) 232-6960 Jeff Bear Mutual funds N/D N/D N/D N/D N/D M Financial Group mfin.com Securities N/D N/D N/D N/D N/D Bridget McNamara-Fenesy (President & CEO) Insurance N/D N/D N/D N/D N/D Variable annuities N/D N/D N/D N/D N/D Limited partnerships N/D N/D N/D N/D N/D MML Investors Services (800) 542-6767 Julie Davis Mutual funds 40%-80% 80% 80%-82.5% 83% 83% Massachusetts Mutual Life Insurance Co. massmutual.com/investment/mmlinvestors (413) 744-6337 Securities 40%-80% 80% 80%-82.5% 83% 83% John Vaccaro juliedavis@massmutual.com Insurance 40%-80% 80% 80%-82.5% 83% 83% Variable annuities 40%-80% 80% 80%-82.5% 83% 83% Limited partnerships 40%-80% 80% 80%-82.5% 83% 83% Nationwide Planning Associates Inc. (201) 476-0029 Michael J. De Pol Mutual funds N/D N/D N/D N/D N/D nationwideplanning.com (201) 819-6204 Securities N/D N/D N/D N/D N/D Michael J. Karalewich mdepol@nationwideplanning.com Insurance N/D N/D N/D N/D N/D Variable annuities N/D N/D N/D N/D N/D Limited partnerships N/D N/D N/D N/D N/D Northwestern Mutual Investment Services (866) 664-7737 Kathy Tague Mutual funds N/D N/D N/D N/D N/D The Northwestern Mutual Life Insurance Co. northwesternmutual.com (414) 665-5559 Securities N/D N/D N/D N/D N/D Evamarie Schoenborn (Vice President, IPS Products & President, Northwestern Mutual Wealth Management Company) kathytague@northwesternmutual.com Insurance N/D N/D N/D N/D N/D Variable annuities N/D N/D N/D N/D N/D Limited partnerships N/D N/D N/D N/D N/D Park Avenue Securities (888) 600-4667 Katie Martineau Mutual funds Set by Agency Guardian Life Insurance Co. of America parkavenuesecurities.com (860) 378-4078 Securities Set by Agency Marianne Caswell (President) katie_martineau@glic.com Insurance Set by Agency Variable annuities Set by Agency Limited partnerships Do not offer this product PlanMember Securities Corp. (800) 874-6910 Kevin Twohy Mutual funds Up to 93% Up to 93% Up to 93% Up to 93% Up to 95% planmember.com/join (800) 874-6910 ext. 2209 Securities Up to 93% Up to 93% Up to 93% Up to 93% Up to 95% Jon Ziehl (Founder, President & CEO) ktwohy@planmember.com Insurance 100% 100% 100% 100% 100% Variable annuities Up to 93% Up to 93% Up to 93% Up to 93% Up to 95% Limited partnerships Do not offer this product Principal Securities Inc. (888) 774-6267 Betsy Jepsen Mutual funds Up to 74% Up to 81% Up to 86% Up to 89% Up to 92% Principal Financial Services Inc. principal.com (515) 878-1704 Securities Up to 74% Up to 81% Up to 86% Up to 89% Up to 92% Michael F. Murray (President & CEO) jepsen.betsy@principal.com Insurance Up to 85% Up to 86% Up to 87% Up to 87% Up to 87% Variable annuities Up to 74% Up to 81% Up to 86% Up to 89% Up to 92% Limited partnerships Up to 74% Up to 81% Up to 86% Up to 89% Up to 92% Prospera Financial Services Inc. (972) 581-3000 Tim Edwards Mutual funds 86%-90% 86%-90% 86%-90% 90%-92% 92%-99% prosperafinancial.com (972) 581-3007 Securities 86%-90% 86%-90% 86%-90% 90%-92% 92%-99% David W. Stringer (Co-CEO & Managing Partner) tim.edwards@prosperafinancial.com Insurance 86%-90% 86%-90% 86%-90% 90%-92% 92%-99% Variable annuities 86%-90% 86%-90% 86%-90% 90%-92% 92%-99% Limited partnerships 86%-90% 86%-90% 86%-90% 90%-92% 92%-99% Quincy Cass Associates Inc. (310) 473-4411 Mark C. Minichiello Mutual funds 51%-75% 51%-75% 51%-75% 76%-80% 76%-80% quincycass.com (310) 473-4411 Securities 51%-75% 51%-75% 51%-75% 76%-80% 76%-80% Mark C. Minichiello markm@quincycass.com Insurance Do not offer this product Variable annuities Do not offer this product Limited partnerships Do not offer this product Raymond James Financial Services Inc. (727) 567-1000 Robbie Moseley Mutual funds 81%-90% 81%-90% 81%-90% 81%-90% 81%-90% Raymond James Financial advisorchoice.com (866) 877-1685 Securities 81%-90% 81%-90% 81%-90% 81%-90% 81%-90% Paul Reilly advisorchoice@raymondjames.com Insurance 81%-90% 81%-90% 81%-90% 81%-90% 81%-90% Variable annuities 81%-90% 81%-90% 81%-90% 81%-90% 81%-90% Limited partnerships 81%-90% 81%-90% 81%-90% 81%-90% 81%-90% Securian Financial Services Inc. (651) 665-3500 Mutual funds Up to 84% Up to 92% Up to 93% Up to 94% Up to 96% Securian Financial Group Inc. securian.com Securities Up to 84% Up to 92% Up to 93% Up to 94% Up to 95% George Connolly Insurance Up to 89% Up to 91% Up to 92% Up to 92% Up to 93% Variable annuities Up to 84% Up to 92% Up to 93% Up to 94% Up to 95% Limited partnerships Do not offer this product Spire Investment Partners (703) 748-5800 Scott Fewin Mutual funds N/D N/D N/D N/D N/D spireip.com (703) 748-5838 Securities N/D N/D N/D N/D N/D David L. Blisk (Founder & CEO) scott.fewin@spireip.com Insurance N/D N/D N/D N/D N/D Variable annuities N/D N/D N/D N/D N/D Limited partnerships N/D N/D N/D N/D N/D St. Bernard Financial Services Inc. (479) 967-1200 Robert Keenan Mutual funds 81%-85% 81%-85% 81%-85% 81%-85% 81%-85% stbernardfinancial.com (479) 967-1200 Securities 81%-85% 81%-85% 81%-85% 81%-85% 81%-85% Robert Keenan rkeenan@stbernardfinancial.com Insurance 81%-85% 81%-85% 81%-85% 81%-85% 81%-85% Variable annuities 81%-85% 81%-85% 81%-85% 81%-85% 81%-85% Limited partnerships Do not offer this product The Investment Center Inc. (800) 345-8041 Nicole Johnson Mutual funds 86%-90% 86%-90% 91%-95% 91%-95% 91%-95% investmentctr.com (888) 868-4805 Securities 86%-90% 86%-90% 91%-95% 91%-95% 91%-95% Ralph J. DeVito (President & CEO) njohnson@investctr.com Insurance N/D N/D N/D N/D N/D Variable annuities 86%-90% 86%-90% 91%-95% 91%-95% 91%-95% Limited partnerships 86%-90% 86%-90% 91%-95% 91%-95% 91%-95% The Leaders Group (303) 797-9080 Charles Arnold Mutual funds 81%-85% 86%-90% 91%-95% 91%-95% 91%-95% leadersgroup.net/about-us/ (303) 797-9080 ext. 1230 Securities 81%-85% 86%-90% 91%-95% 91%-95% 91%-95% Sean D. Wickersham (President) charles@leadersgroup.net Insurance 81%-85% 86%-90% 91%-95% 91%-95% 91%-95% Variable annuities 81%-85% 86%-90% 91%-95% 91%-95% 91%-95% Limited partnerships Do not offer this product The O.N. Equity Sales Co. (877) 663-7267 Patrick H. McEvoy Mutual funds Up to 92% Up to 92% Up to 92% Up to 92% Up to 92% Ohio National Life Insurance Co. joinonesco.com (513) 797-3400 Securities Up to 92% Up to 92% Up to 92% Up to 92% Up to 92% Patrick H. McEvoy (President & CEO) patrick_mcevoy@ohionational.com Insurance Up to 92% Up to 92% Up to 92% Up to 92% Up to 92% Variable annuities Up to 92% Up to 92% Up to 92% Up to 92% Up to 92% Limited partnerships Up to 92% Up to 92% Up to 92% Up to 92% Up to 92% The Strategic Financial Alliance Inc. (678) 954-4000 Jamie Mackay Mutual funds 86%-90% 86%-90% 86%-90% 86%-90% 91%-95% SFA Holdings Inc. thesfa.net (678) 954-4058 Securities 86%-90% 86%-90% 86%-90% 86%-90% 91%-95% Clive Slovin (President & CEO) jmackay@thesfa.net Insurance 91%-95% 91%-95% 91%-95% 91%-95% 91%-95% Variable annuities 86%-90% 86%-90% 86%-90% 86%-90% 91%-95% Limited partnerships 86%-90% 86%-90% 86%-90% 86%-90% 91%-95% Trustmont Financial Group Inc. (724) 468-5665 Lacey Dochinez Mutual funds 86%-90% 86%-90% 86%-90% 86%-90% 86%-90% trustmontgroup.com (724) 468-5665 Securities 86%-90% 86%-90% 86%-90% 86%-90% 86%-90% Anthony C. Hladek (President) lmd@trustmontgroup.com Insurance 91%-95% 91%-95% 91%-95% 91%-95% 91%-95% Variable annuities 86%-90% 86%-90% 86%-90% 86%-90% 86%-90% Limited partnerships 86%-90% 86%-90% 86%-90% 86%-90% 86%-90% Vanderbilt Financial Group 631-845-5100 Joe Trifiletti Mutual funds 86%-90% 86%-90% 86%-90% 86%-90% 91%-95% joinvanderbilt.com (631) 845-5100 Securities 86%-90% 86%-90% 86%-90% 86%-90% 91%-95% Joseph J. Trifiletti (President) Jtrifiletti@vanderbiltsecurities.com Insurance N/D N/D N/D N/D N/D Variable annuities 86%-90% 86%-90% 86%-90% 86%-90% 91%-95% Limited partnerships 86%-90% 86%-90% 86%-90% 86%-90% 91%-95% Veritas Independent Partners (501) 358-6131 Debra Shannon Mutual funds 86%-90% 86%-90% 86%-90% 86%-90% 86%-90% veritasindependentpartners.com (501) 358-6131 Securities Do not offer this product Gail Murdoch debra@veritasmail.com Insurance 86%-90% 86%-90% 86%-90% 86%-90% 86%-90% Variable annuities 86%-90% 86%-90% 86%-90% 86%-90% 86%-90% Limited partnerships Do not offer this product Wall Street Access (212) 709-9447 Mutual funds N/D N/D N/D N/D N/D wsaccess.com Securities N/D N/D N/D N/D N/D Arthur L. Goetchius Insurance N/D N/D N/D N/D N/D Variable annuities N/D N/D N/D N/D N/D Limited partnerships N/D N/D N/D N/D N/D World Capital Brokerage Inc. (888) 742-0631 Patrick E. Dukette Mutual funds N/D N/D N/D N/D N/D worldcapitalbrokerage.com (303) 626-0601 Securities N/D N/D N/D N/D N/D Timothy E. Taggart (President ) pdukette@worldcapitalbrokerage.com Insurance N/D N/D N/D N/D N/D Variable annuities N/D N/D N/D N/D N/D Limited partnerships N/D N/D N/D N/D N/D

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