[Federal Register Volume 59, Number 229 (Wednesday, November 30, 1994)]
[Unknown Section]
[Page 0]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 94-29462]
[[Page Unknown]]
[Federal Register: November 30, 1994]
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SECURITIES AND EXCHANGE COMMISSION
[Release No. IA-1454]
Notice of Intention To Cancel Registrations of Certain Investment
Advisers
November 22, 1994.
Notice is given that the Securities and Exchange Commission (the
``Commission'') intends to issue an order, pursuant to Section 203(h)
of the Investment Advisers Act of 1940 (the ``Act''), cancelling the
registrations of those investment advisers whose names appear in the
attached Appendix.
Section 203(h) provides, in pertinent part, that if the Commission
finds that any person registered under Section 203, or who has pending
an application for registration filed under that section, is no longer
in existence, or is not engaged in business as an investment adviser,
the Commission shall by order, cancel the registration of such person.
Paragraph (b) of Rule 204-1, requires an investment adviser to file
promptly an amendment to its application for registration (Form ADV)
and when its address changes or when certain other information becomes
inaccurate in a material manner.\1\ The Commission has been sending all
registrants a booklet of registration materials annually since 1987.
Each booklet contains copies of Forms ADV, ADV-S, ADV-E and ADV-W.\2\
These forms, when properly filed, are used to update the Commission's
records. Since the 1990 mailing, the Commission has had correspondence
for each of the registrants listed in the Appendix returned as
``undeliverable'' (addressee unknown, forwarding order expired, or no
longer at this address) by the U.S. Postal Service. The Commission's
records indicate that these registrants have not filed amendments to
their registration, reflecting their current business and/or mailing
addresses, as required by Rule 204-1(b). The Commission's records also
indicate that many of these registrants have not made annual filings of
Form ADV-S, as required by Rule 204-1(c). Accordingly, the Division of
Investment Management believes that reasonable grounds exist for a
finding that these registrants are no longer in existence or are no
longer engaged in business as investment advisers.
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\1\Under Section 204 of the Act and Rule 204-1 thereunder, an
investment adviser must also file an annual supplement (Form ADV-S)
providing the Commission with certain information about its business
activities.
\2\Form ADV-E is used by accountants for certification of client
funds and securities in the possession of an adviser. Form ADV-W is
used to voluntarily withdraw from registration as an investment
adviser.
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Notice is also given that any interested person may, by January 6,
1995, at 5:30 P.M., submit to the Commission in writing a request for a
hearing on the cancellations, accompanied by a statement as to the
nature of his interest, the reason for such request, and the issues, if
any, of fact or law proposed to be controverted, and he may request
that he be notified if the Commission should order a hearing thereon.
Any such communication should be addressed: Secretary, Securities and
Exchange Commission, Washington, D.C. 20549.
At any time after January 6, 1995, the Commission may issue an
order cancelling any or all of the investment advisers listed in the
Appendix, upon the basis of the information stated above, unless an
order for a hearing on the cancellation shall be issued upon request or
upon the Commission's own motion. Persons who requested a hearing, or
to be advised as to whether a hearing is ordered, will receive any
notices and orders issued in this matter, including the date of the
hearing (if ordered) and any postponements thereof.
For further information contact: Robert L. Lewis, Staff Accountant
at (202) 942-0517 (Division of Investment Management, Office of
Financial Analysis).
For the Commission, by the Division of Investment Management,
pursuant to delegated authority.
Johnathan G. Katz,
Secretary.
Appendix
Northeast Region
(Formerly: Boston, New York and Philadelphia Regional Offices)
801-02439 Indicator Research Group Inc.
801-03852 Kerpen, Fred K.
801-06609 Kuhns Brothers & Laidlaw Inc.
801-06719 Philips Appel & Walden Inc.
801-08780 Lambert, Dorothy May
801-09310 Securities & Commodities Corp
801-09523 Elms Capital Management Inc.
801-09972 Gutman, John Investments Corp
801-10479 Rothschild, L.F. Asset Management Inc.
801-10504 Stewart, Kenneth Roy
801-11255 Pinkham, Robin Remick
801-13366 Laiken, Leslie Merrill
801-13893 Nixon, Michael
801-13901 Mones, Bruce E.
801-14409 Walker Associates Inc.
801-15141 Bloor, William
801-15281 Weiner, Dennis Paul
801-15449 Erickson Investment Management Corp
801-15488 MEG Asset Management Co. Inc.
801-15522 Glaser Corp
801-15815 Broad Reach Inc.
801-16033 Merchant, Dean Bradley
801-16122 Intervest Group Inc.
801-16592 Bachli, Bill Associates Inc.
801-16681 Managed Advisory Services Inc.
801-16732 Fennell, Paul D.
801-16894 Slowey, Charles Christopher Jr.
801-16923 School Street Fund Adviser Inc.
801-17087 Capital Investment Advisory Services Inc.
801-17126 Financial Service Center Inc.
801-17213 Mordini, Edward Anthony
801-17418 Alster, Henri
801-17677 Norton, Robert H.
801-17723 Progressive Equities Inc.
801-18022 Rosenberg, Richard Jay
801-18187 Goldberg & Roth Financial Advisors Inc.
801-18252 Virtu Management Group, Ltd.
801-18282 Conner, Donald Read
801-18302 Armstrong, Alexandra Advisors Inc.
801-18452 Harlan, Charles Walton
801-18458 Creative Financial Concepts Inc.
801-18483 Reliant Asset Management Inc.
801-18602 Structured Financial Services Inc.
801-18777 North American Investment Corp
801-18781 Hearn Financial Services Inc.
801-19225 Belfiore, Michael
801-19254 Innovative Financial Plans Inc.
801-19326 Stansfield, Martin Inc.
801-19352 Dalton, Paul Steven
801-19546 US Advisory Service Inc.
801-19626 Larin Advisory Inc.
801-19648 Throckmorton, Timothy Henry
801-19651 Mount Keen & Co. Inc.
801-19678 Cardinal Financial Planning Inc.
801-19962 Ridge, Frank & Associates Inc.
801-20009 Hersey, Ralph Bertram Jr.
801-20062 Muncy, Thomas Raymond
801-20229 Financial Compass Inc.
801-20274 Grosnick, Allen Harold
801-20330 Goodstone, Arthur Joseph
801-20453 Norbert, Eric Anthony
801-20498 First Empire Funding Corp
801-20549 Adelson, Zachary
801-20582 Daniels, Alfred Arthur
801-20618 Vimac Corp
801-20885 Financial Advisory Corp
801-21143 Piedmont Advisers Inc.
801-21300 Spence Financial Advisers Inc.
801-21322 Spectrum Planning Group, Ltd.
801-21735 Wolinsky, Harold
801-21874 Investors Information Bureau Inc.
801-21944 James River Equities Inc.
801-22093 Arnold, Steven Alan
801-22144 FPC Advisory Services Inc.
801-22185 Prosperitylife Inc.
801-22228 Galucki, Dennis John
801-22258 Rodermund, Robert Earl
801-22263 Lyniuk, Roman
801-22298 Capital Advisory Group, Ltd.
801-22343 Schwartz, J. & Co. Inc.
801-22368 Levess, Herbert H. Associates Inc., Ltd.
801-22399 Gould, Arthur Inc.
801-22412 McCaffrey, Anthony Daniel
801-22559 FG Asset Management Inc.
801-22582 CFP Services Inc.
801-22738 Shea, Stephen Brian
801-22849 Associated Financial Planners Inc.
801-23059 TCG Consulting Inc.
801-23088 Jarosh, Roman George
801-23152 Professional Financial Management, Ltd.
801-23162 Winslow Asset Management Inc.
801-23246 Custom Financial Consultants Inc.
801-23268 Hamilton, Diane Mary
801-23365 Intercapital Securities Inc.
801-23503 SPI Advisory Corp
801-23518 Vanderpoel, Wynant Davis III
801-23630 Cooper Financial Planning Group Inc.
801-23799 Compensation & Benefits Services, Ltd.
801-23918 Naylon Consulting Services Inc.
801-23953 Lamina, Gerald Patrick
801-23984 Steinman, Robert Steven
801-24308 Hauppauge Brokerage Funding Corp
801-24361 Property Planning Inc.
801-24516 Doyle, Lawrence Patrick
801-24603 G&H Financial Services Inc.
801-24890 Lewis, Richard Martin
801-24963 Investment Center of Southern Connecticut Inc.
801-24978 Savage, George F., III
801-24979 Whitman, Gordon Raymond
801-25065 Sterling Financial Group Inc.
801-25120 Napolitano, Gertrude
801-25181 Indexco Inc.
801-25366 MLC Securities Corp
801-25404 Zohar, Oreet
801-25406 Bianchi, Charles Paul
801-25464 RLBA Financial Services Inc.
801-25565 Thomson, Alexander Bennett
801-25612 Public Service Investment Management Co.
801-25635 Wharton Investment Inc.
801-25671 Gerstman, Nanci R.
801-25735 Burke, Walter Healy
801-25780 Bottom Line Advisors Inc.
801-25806 Callahan, Colin William
801-25864 Financial Management Consultants Inc.
801-26003 Wolfson, Stephen
801-26056 Larkin, James E. III, CLU & Associates Inc.
801-26060 Bohling, Gary J.
801-26078 Cambridge Financial Resources, Ltd.
801-26089 Savage, Howard Allan
801-26125 Gallers Financial Group Inc.
801-26137 Syversen, H. & Co., Inc.
801-26308 Tribeca Capital Management Inc.
801-26313 Sharko MacIver & Co Inc.
801-26320 Arundel Financial Planning Inc.
801-26337 Rosenbaum, Gerald Lee
801-26430 Miller & Spector Financial Planners Inc.
801-26554 Weissman, Linda Jacobs
801-26653 Steininger, Michael Gary
801-26729 Intersource Associates Inc.
801-26743 Benicor Advisory Service Inc.
801-26829 Prime Capital Management Inc.
801-26849 Hodes, Lyle
801-26873 Barron, Dean Samuel
801-26896 Brush Hill Management Corp
801-26951 Speros, Peter Charles
801-26959 Rachal, Corbett Eliot Jr.
801-26999 DCM Advisers, LP
801-27022 Boorojian Organization A Fin'l Mgmt Co.
801-27045 Dalton, Paul Steven
801-27088 New Age Financial Services Inc.
801-27147 Turcan Financial Group Inc.
801-27183 Derganc, Richard Drew
801-27209 TRV Securities Inc.
801-27210 Goldstein, George A.
801-27311 Higgins Advisory Group Inc.
801-27333 Tayar, George Majed
801-27477 Dorsett, Burt N.
801-27666 New England Financial Resources Inc.
801-27741 Carter, Raymond Andrew
801-27748 Mascolo, Gerard Anthony
801-27790 Gurwitz, Clive Kenneth
801-27809 Boyd, Trustin Brown
801-27882 Sieben, Marc Alan
801-27953 WG Advisors Inc.
801-28029 Frazier, David Llyod
801-28065 Pellegrine, Louis John Jr.
801-28121 Strategic Financial Planning Corp
801-28234 Hill, Donald Lance
801-28251 Carlucci, William Daniel Jr.
801-28263 Braun Star Group Inc.
801-28289 Greenfield, Stanley Bertram
801-28367 IMR Financial Advisors Inc.
801-28439 International Heritage Corp
801-28611 Hurley, John J.
801-28639 Bradley, Sheila Gay
801-28653 Clukay, Bruce Alan
801-28681 Private Capital Partners Inc.
801-28699 Intermarket Capital Associates, Ltd.
801-28743 FMG Advisory Inc.
801-28789 Tatasciore, Rocco Nicholas Jr.
801-28846 Robertson, Mark Stephen
801-28865 Investment Advisory Firm Inc.
801-28879 Atlantic Emeritus, Inc.
801-28925 Innovest Inc.
801-28936 Davis International Consultants Inc.
801-28977 Lancing Associates
801-29090 Murray, Michael J. Associates Inc.
801-29132 Jesup & Lamont Asset Management Inc.
801-29241 Rosenbaum, Arnold M.
801-29248 Radnor Financial Consulting Group Inc.
801-29356 Buffalo Financial Planning Inc.
801-29390 Investment Counselors of Roland Park Inc.
801-29393 Anderson, James Burton
801-29541 Anthony, John Management Inc.
801-29550 Island Consulting Services Inc.
801-29561 Savary, William
801-29596 Capital Financial Planning Inc.
801-29653 PCMA Inc.
801-29844 Allen, Gary Paul
801-29849 Atienza, Alberto M.
801-29909 Gregg, Hamilton Stearns II
801-29961 Schwartz, Barton
801-29991 Executive Consultants of New York Inc.
801-30072 Best Investors Group Inc.
801-30275 Pathfinder Investment Co.
801-30337 Perdue, Henry Stafford
801-30382 Eaton, C.P. & Associates, Inc.
801-30390 Financial Support Services Inc.
801-30413 Reutemann Wagner King & Associates, Ltd.
801-30419 Packerkane & Co. Inc.
801-30512 Ludsin, Steven Alan
801-30533 Appel Financial Planning, Ltd.
801-30554 Intrepid One Services Inc.
801-30741 Montgomery Advisors Inc.
801-30767 Bell, George Hamilton
801-30831 Liogys, Zita Danguole
801-30850 Kensington Financial Management Corp
801-30851 Executive Financial Group Inc.
801-30881 Garabedian, Edward John
801-30900 Goodstein, Ricki
801-30925 OCF Advisers Inc.
801-30950 Rockridge Financial Advisers, Ltd.
801-30970 Racaniello, Daniel
801-31016 Snyder, Perry
801-31133 AF Advisory Service Inc.
801-31139 Piper, Philip Karl
801-31153 Gay, Wilson Kell Jr.
801-31223 Westport Capital Group Inc.
801-31266 Morrison, William Edward
801-31289 Lewis, Stephen Ralph
801-31303 Sterling Capital Research Inc.
801-31339 Rosner, Steve & Associates
801-31408 Cathedra Investment Corp
801-31455 Sentinel Financial Services Inc.
801-31538 Westminister Securities Corp
801-31546 Tepper, Stanley
801-31592 Funds Management Co., Inc.
801-31609 Rucker, Suzanne June
801-31639 Littlefield, John Clough
801-31651 World Capital Management Inc.
801-31660 Dumenil Asset Management USA, Inc.
801-31798 Herrell, Philip Theadore Jr.
801-21823 Shaffer & Associates Inc.
801-21829 Stephens, Brooke Marilyn
801-21863 O'Neil, Michael P. & Associates Inc.
801-31914 Lyons Planning Group Ltd.
801-32116 Strategic Financial Advisors, Inc.
801-32132 Fincon Associates Inc.
801-32173 Hinkle, Rod & Associates Inc.
801-32248 Hein, Rohn Allan
801-32298 Business Planning Concepts Inc.
801-32300 Association Advisers Inc.
801-32508 Sacchetti, Carl Michael
801-32677 Driscoll, Andrea Hudack
801-32740 Guiliano, Nicholas J.
801-32799 Adams, Robert H.
801-32952 Empire State Planners Inc.
801-32991 Financial Dynamics Inc.
801-33062 Nationwide Asset Management Inc.
801-33082 Non Profit Financial Corp of America
801-33141 Zullo, Roger Salvatore
801-33185 DFM Associates Inc.
801-33209 Wealth Conservancy International Inc.
801-33292 Rossi, Richard C.
801-33299 Thayer, Mark Allan
801-33353 Graham Rogers & Co Inc.
801-33364 Somerset Investment Consultants Inc.
801-33403 Goldberg Capital Management Inc.
801-33593 ZK Financial Services Inc.
801-33600 Cross Financial Services, Ltd.
801-33613 Advanced Planning Concepts Inc.
801-33623 Berkeley Capital Management Inc.
801-33735 Catlin, Glenn Allen
801-33737 Bloom, Jay Lawrence Magnavest Inc.
801-33844 Hackenberg, Robert Lee Jr.
801-33860 Donald & Co. Securities Inc.
801-33993 Teletrader
801-34255 Richards, Elisabeth Ann
801-34324 ISM Capital Advisors Inc.
801-34551 KRM & Co., Inc.
801-34572 Aegis Advisors Inc.
801-34726 Hawes, Bryan James
801-34770 Process Technology Inc.
801-34826 Viotto, John Eric
801-34838 Wasik & Davidson Inc.
801-34905 Yeomans Financial Corp
801-34928 Armstead Investment Corp
801-34985 Tramo, Robert Joseph
801-35048 AEI International
801-35075 Condolff, James Edward
801-35077 Westfair Financial Analysis Inc.
801-35078 Scot Slavic Advisors Inc.
801-35101 McCaskey Group Inc.
801-35122 Oehmann & Co
801-35184 Strategic Planning Associates Inc.
801-35199 HS&A Personal Advisory Services, Inc.
801-35307 Financial & Investment Consultants Inc.
801-35361 Investment Management Services Inc.
801-35409 Independent Asset Management Corp
801-35423 Startrade Management Inc.
801-35441 T&H Associates Inc.
801-35449 Griffin Atlantic Inc.
801-35485 Chase Investment Consulting Group Inc.
801-35503 Asset & Resource Management Inc.
801-35530 Loeser, M.J. Asset Management Corp
801-35571 Chase, Sarah
801-35595 Brandywine Investment Advisors, Ltd.
801-35607 Klein, Margaret Associates
801-35620 Ruzanic & Co. Inc.
801-35631 Kim, Nicholas Hahn
801-35756 Teichbergs Markey Strategy
801-35827 Dec Ltd. Capital Management
801-35868 Eastland National Corporation
801-35926 Gluck, David M
801-36002 Arauca Capital Management Inc.
801-36030 Surface, Paul Allan
801-36068 Investment Technologies Inc.
801-36166 Perkins, Charles Leonard Brooke
801-35211 Fusco Financial Associates Inc.
801-36287 Boston Municipal Securities Inc.
801-36325 Campbell, Thomas W.
801-36335 McHale, Thomas Gerard
801-36372 Penli Financial Coordinators Inc.
801-36468 IHG Securities Inc.
801-36505 Rothschild, L.F. & Co., Inc.
801-36580 Bush, Joseph Frederick
801-36586 O'Laughlin, Lucy
801-36613 AWP International Inc.
801-36647 Quantitative Investment Services Inc.
801-36657 Family Stewardship Center Inc.
801-36663 Ardan, Ivan Nicholas
801-36672 Arch, David Edward
801-36676 Grandich, Peter
801-36697 Merrifield, Robert Albert
801-36763 Security Analysis Inc.
801-36795 Euronomics Inc.
801-36829 Kouri Capital Advisors Inc.
801-36913 Dismuke & Heisler, Ltd.
801-36928 Fiduciary Investment Advisors Inc.
801-37017 Weaver, Douglas Lee
801-37513 Burns, John Joseph
801-37691 Hamilton Investment Consultants, Ltd
801-37707 BDO Capital Ltd., Inc.
801-37713 Barber, Richard J. Associates, Inc.
801-37745 J.D. Associates of Virginia Inc.
801-37797 Gregware, James Murray
801-37849 Tax & Financial Strategies Inc.
801-37868 Robert Charles Associates, Ltd.
801-37905 Brown, Willard Wishard
801-38133 Strategic Holdings
801-38217 Webster Hart Advisors Inc.
801-38273 Kimbaco New York, Ltd.
801-38288 Ehrlich Bober Advisors Inc.
801-38312 Asset Management Corp of America Inc.
801-38314 Hellmold Associates Inc.
801-38538 Strategic Performance Inc.
801-38588 CEF Publishing Corp
801-38661 Singer, Daniel D.
801-38719 Wheeler, Margaret Long
801-38765 Khanani, Iqbal Ike Ahmed
801-38876 Valscore Consulting Group Inc.
801-38904 Diamond, Bruce W. Financial Group Inc.
801-38951 CJA Associates Inc.
801-38998 Market Master Inc.
801-39101 Singh, Harimohan P.
801-39136 Szrom, Richard Steven
801-39147 Clark, Regina Murphy
801-39262 Trafton, Burke Osgood
801-39595 Ware, Robert
801-39864 Constantinol, Frank Louis
801-39941 Zeppieri, James Benjamin
801-39958 RCM Capital Development, Ltd.
801-40480 Sussman, Robert Mark
801-40493 Sklar, Harry S.
Southeast Region
(Formerly: Atlanta Regional Office)
801-09120 Ziegler, Charles William III
801-09240 Gulf Coast Investment Advisors Inc.
801-11057 Nelson, Leroy W.
801-11220 Bergenfeld, Al
801-12432 Slaughter, Henry George
801-13327 Stake, Roger Dennis
801-13671 Grady, J.J. Co., Inc.
801-15515 Peterson, J. Chandler Wealth Planning Inc.
801-15524 Jacques Miller Investment Co.
801-16207 Gardner, Harvey L. & Associates Inc.
801-16296 Horwitz, S.T. & Associates, Inc.
801-17270 JWF Financial Services Inc.
801-17620 Dobson & Johnson Capital Corp
801-17743 Fye, Marion Franklin
801-17905 Advanced Financial Management Corp
801-18290 Bryan, Charles Eugene
801-18632 Invest Net Group Inc.
801-18698 Pate, Thomas Rankin
801-18892 Tegler, Henry Francis Jr.
801-19153 Financial Advisory Corp
801-19429 First Equities Institutional Properties Inc.
801-19620 Planamerica Financial Services Inc.
801-19709 Fiskanalyse Inc.
801-19730 Capital Management Inc.
801-20510 Innovest Systems Inc.
801-21475 Magalnick, Alvin J.
801-21647 Conservative Investment Planning Inc.
801-21685 JLH Financial Consulting Corp
801-21739 Independence Financial Services Inc.
801-22324 Christe, Joel
801-22377 Mirabella, Frank Daniel, III
801-22449 Atlanta Investment Managers Inc.
801-22787 Certified Capital Corp
801-22809 Morguess, Jack Santiago
801-23540 Financial Planning Services Inc.
801-23719 First Real Estate Capital Inc.
801-23862 Hollis Capital Management Inc.
801-24017 Camus Investment Econometrics Inc.
801-24057 Coordinated Financial Services Advisors Inc.
801-24200 Financial Advisors Inc.
801-24314 Wolfert, Paul Joseph
801-24400 Margaretten Advisory Corp
801-24535 McKendry Options Advisory
801-24865 FWK & Associates Inc.
801-25198 Smith, Howard Lawton
801-25264 Washington, John Garland
801-25429 Vydex Management Group Inc.
801-25484 Fitzgerald McKeown Planning & Advisory Corp
801-26036 National Financial Planning Services Inc.
801-26183 Cooper, Curtis Preston
801-26418 Johnson, R.P. Financial Planning Inc.
801-26604 Blendermann, Louis George
801-26737 Vizzini & Dooley
801-26942 Tate, Michael Wayne
801-26973 Financial Planning & Management Inc.
801-27163 Investment Planning & Management Inc.
801-27204 Future Plans Inc.
801-27304 Hynson, Williamson Ringgold
801-27372 Traynham, James Carroll
801-27648 Strategic Timing Services Inc.
801-27984 Mannin, John Mitchell
801-28002 Vast Co., Inc.
801-28030 Diversified Plans Inc.
801-28134 Tylander, William Hamilton Jr.
801-28208 International Investment Group
801-28275 Saeger Financial Services Inc.
801-28332 Watson, Marcia Moncavage
801-28496 Ashley Securities Corp
801-28569 Stanley, Louis Jerome
801-29018 Dew Thayer & Co., Inc.
801-29035 Wander, Gerald Irwin
801-29046 Long Run Investing Inc.
801-29280 Carspecken, Margaret Logan
801-29685 Investment Bankers of North America
801-29783 Moses, Derek Wayne
801-29947 Wilson, Barbara J. & Associates Inc.
801-29970 Wolf, Ronald Gary
801-30143 Olive, Curtis Andrews
801-30148 Aby, Carroll Darden Jr.
801-30621 Peachtree Planning Advisors Inc.
801-30757 Lin, David A.
801-30761 Norris & Hirshberg
801-31067 Smith, Deborah M.
801-31209 Gibbs, John Phillip
801-31397 Investment Strategies Corp of America
801-31404 Amerivest Capital Management Inc.
801-31636 Olson, Lawrence Victor
801-31801 Francis Schroder & Associates Inc.
801-31845 Lindsey Financial Services Inc.
801-31930 Gilchrist, James Harley Sr.
801-31955 Saltzman, David Alan
801-32044 Chamberlain, Patrick B., Inc.
801-32192 Financial Advisory Services Inc.
801-32249 Walker, Glen Ray
801-32365 Kodl, David Alan
801-32433 Richards, R. Capital Management Inc.
801-32637 Brown, Gerald
801-32736 Capital Financial Consultants Inc.
801-32839 Linnis Capital Management Inc.
801-33449 Trenvest Asset Management Inc.
801-33455 Williams, George Hugh III
801-33535 Faulk & Co., Inc.
801-33539 Weymouth, Trish Financial Planning Services, Inc.
801-33611 Amerifidelity Advisors Corp
801-33729 Healthcare Concepts Inc.
801-34059 Melton, Edgar Phillip
801-34067 Optima Advisory Services, Ltd.
801-34080 Financial Planning Center of Mobile
801-34117 Gray, Richard Currier
801-34164 Sherer, Harry Clement
801-34172 Invest Centro USA, Inc.
801-34311 Executive Privilege Inc.
801-34571 Smith, Todd Elliott
801-34857 Timberlake, Thomas Andrew
801-34981 Janisz, Derrick Albin
801-35091 Southern Partners LP
801-35146 Cooley, Harold Dunbar II
801-35168 Rosenhaus Sports Representation Inc.
801-35256 Landmark Financial Planners Inc.
801-35289 Gemini Investment Advisors, Ltd.
801-35406 Kneller & Purtee Inc.
801-35592 Core Business Services Inc.
801-35956 Investment Directions
801-36055 Chafins, A.D., Inc.
801-36293 Doherty, John Joseph
801-36317 Adams, Salvatore Charles
801-36444 Meadows, Roy & Associates, Inc.
801-36454 Market Leap Inc.
801-36521 North Florida Asset Management Corp
801-36591 Barbetta, Joseph Anthony
801-36653 Asset Diversified Investment, Inc.
801-36900 Healthcare Investment Advisors Inc.
801-37108 Hoffmann & Serralles Inc.
801-37340 CPC Advisors Inc.
801-37424 National Pension Administration Inc.
801-37746 Stuart, H.D. & Associates Inc.
801-37964 South Atlantic Capital Management Group Inc.
801-38067 Surratt, James Michael
801-38383 Jabbour, Richard Thomas
801-38586 Eagle Financial Group Inc.
801-38643 Spartana Trading Inc.
801-38713 Core Planning Group Inc.
801-38912 Financial Benefits Network Inc.
801-39104 Athena Capital Management Corp
801-39239 Boca Raton Investment Advisory Inc.
801-39362 Shubert, John Marc
801-39400 Concourse Capital Asset Management Inc.
801-39642 Automated Business Services Inc.
801-39709 Thomas, Grace Darling
801-39797 Teti, Joseph Nicholas
801-40326 First Palm Beach Investors Inc.
801-40390 Moore, William Mac
Midwest Region
(Formerly: Chicago Regional Office)
801-06162 Investment & Capital Management Corp
801-09141 Whitney Management Co.
801-09198 Rowland, R. & Co Inc.
801-11638 Sucsy Fischer & Co. Inc.
801-12015 LFK Inc.
801-12297 McCarthy, Edwin Thomas
801-13978 Kulberg Whitaker & Associates Inc.
801-14161 Battle Creek Advisors Inc.
801-14291 Financial Strategies Corp
801-15121 Murphy, Thomas H.
801-15954 London Advisors Inc.
801-16405 Capital Market Investments Inc.
801-16498 First Corporate Advisors Inc.
801-16805 Williams, Edward Joseph
801-17313 Wisniewski, Thaddeus Louis
801-17587 PFC Advisory Corp
801-17816 Rice, Daniel John
801-18292 Carano, James Bernard
801-18591 Continental American Inc.
801-18636 Garvey & Associates Inc.
801-18768 MacGregor Financial Securities Inc.
801-18960 Keener, R.L. & Associates Inc.
801-19211 Solomon, S.J. & Associates Inc.
801-19388 Midstate Financial Services Inc.
801-19460 Rub, Peter M.
801-19545 Money Counsel Inc.
801-19618 Adams, Thomas Gregory
801-19661 Deininger & Co. Inc.
801-19879 Financial Investment Consultants Inc.
801-19968 Flamion, John Allen
801-20257 CMF Financial Advisory Corp
801-20403 Trend Planners Advisory Service Inc.
801-20483 Stonehenge Investments, Ltd.
801-20538 McBride Noel & Co.
801-20729 Williamsburg Capital Inc.
801-21044 Sanders, Robert Benn
801-21183 First Financial Advisors Inc.
801-21507 Whitmore, Charles Allan
801-21720 Lewis, Herbert Lee
801-21779 Novick, M.H. & Co. Inc.
801-21854 White Financial Inc.
801-21893 Accuvest Corp
801-22462 Efroymson, Charles Franklyn Jr.
801-22473 Financial Plan Designs Inc.
801-22584 Reed, Milo Andrew
801-22672 Joppe, Dennis Preston
801-22922 Brungardt, Karl Edmund
801-23214 Century Financial Services of Indiana Inc.
801-23267 Fundamental Financial Advisors Inc.
801-23302 Money Management Resources, Ltd.
801-23362 Christian Financial Services
801-23387 Stein Investment Co.
801-23551 HMS Investors Inc.
801-23736 Raeder, James Hamilton
801-23818 Brandt, Peter Lewis
801-23950 Tezco Financial Inc.
801-24036 Paul, Wayne Norbert
801-24189 Prosperity Investment Co.
801-24215 Kiecker, Glenn Dewayne
801-24413 Smith, Donald James
801-24466 Triad Financial Service Inc.
801-24560 North Shore Timing Services Inc.
801-24718 Mahoney, John J., CPA
801-25048 JWD Equity Management Inc.
801-25146 Noble Roberts & Associates Inc.
801-25174 Allen, Matthew Gwyn
801-25241 Pearson, Roger Raye
801-25409 Equity Preferred Corp
801-25667 Financial Consulting Inc.
801-25719 Phoenix Group Inc.
801-25765 Forst, John Kelly
801-26432 Scholberg, Samuel Ray
801-26675 Compensation Management Inc.
801-26791 Dragonette, Anthony John
801-26845 Chase, Peter Advisors Inc.
801-26928 Integrated Professional Planners Inc.
801-26963 Pension Advisors of America Inc.
801-26971 Wade, Ruth Estelle
801-27114 Financial Solutions Inc.
801-27134 Capital & Business Planning Inc.
801-27151 Duncan, Kathy Jean
801-27165 Cambridge Financial Inc
801-27232 Bowen, James Phillip
801-27405 Ross, John Franklin
801-27516 Wallstreet Money Managers Inc.
801-27570 CFS Financial Services Inc.
801-27805 Browere, Stephen Charles
801-27864 Wealth Management Group Inc.
801-27890 Katt, Peter Charles
801-28047 Cunningham Financial Services Inc.
801-28132 DFC Financial Group Inc.
801-28385 Hale, Roger C., Inc.
801-28408 Ohio Savings & Securities Inc.
801-28462 Partners Capital Corp
801-28625 Rocque, Michael Lewis
801-28643 Fink Coleman Edwards & Co. Inc.
801-28802 Massie, Timothy Paul
801-28827 Sussex Financial Group Inc.
801-28847 Brennan, William Patrick
801-28867 Chicago Trading Group, Ltd.
801-28952 Cyrwus, Dennis Joseph
801-29086 Business Benefits Inc.
801-29181 Johnson, Daniel John
801-29192 River North Securities Corp
801-29195 Grand Rapids Investment Advisory Services Inc.
801-29261 Walker Financial Corp
801-29400 Kuhn, George August Jr.
801-29466 Investment & Product Analysis Corp of America
801-29471 Martin Jarrett Inc.
801-29505 Integrated Financial Planning Inc.
801-29524 Misaros, Carol Lee
801-29527 Security Investment Company of Kansas City
801-29684 Foster Marino & Associates Investment Advisory
801-29713 Schneider & Associates
801-29778 Lambert, B.J. Investment Co. Inc.
801-29907 Sandel & Szandzik Inc.
801-29949 Anthol Enterprises Inc.
801-30071 Consolidated Financial Planning Corp
801-30201 Rouse, Philip Bruce
801-30223 Blum, Sidney Arnold
801-30401 MC&L Realty Advisors Inc.
801-30479 Kiene Capital Management Inc.
801-30542 McKenna, Patrick Thayer
801-30733 Schuster, John Carl
801-30785 Nadolna, Alan R.
801-30861 Capital Concepts Inc.
801-30867 Smart Financial Planners
801-30957 Asset Growth Management Corp
801-31037 Investment Horizons Inc.
801-31143 Averill, Suzanne Frances
801-31210 First Gibralter Capital Management Corp
801-31256 Strukoff & Associates, Ltd.
801-31508 Merchant, Robert Louis
801-31536 Larsen, Lewis Gordon
801-31537 Atkinson Gary Joseph, CFP
801-31564 Windsor, John Carpenter Jr.
801-31654 Bray, Thomas Allen
801-31694 Oppenheimer Realty Group
801-31723 Olson, Darwin K.
801-31724 Kilbourne Capital Management, LP
801-31890 Bondy Financial Services Corp
801-31918 Baumann, Timothy Scott
801-31939 Basinger, John Warren
801-32123 Third Coast Stock Review
801-32348 Townsend Institutional Realty Advisors, LP
801-32504 Financial Designs of Illinois Inc.
801-32603 Elling Investment Services Inc.
801-32630 Connolly, Stephen William
801-32844 Investment Management Advisory Inc.
801-32946 Stonestreet Financial Inc.
801-32976 Roy, Thomas Edward
801-33357 Savage, Garry Nelson
801-33448 Oxford Securities Inc.
801-33493 Mather Dawson & Scott
801-33540 Columbus Stewardship Planning Group Inc.
801-33629 Kraus, Norman John
801-33847 Indiana Financial Consulting Inc.
801-33923 Alexander, McIndoe Stewart
801-33940 Inovative Financial Profile Inc.
801-33967 Poloski, Jerome Nicholas
801-34089 Kay, Joseph Anthony
801-34302 Century Financial Services of the Midwest, Ltd.
801-34307 Gekko Partners
801-34398 Smith, Judith Ann
801-34543 Samad Securities Corp
801-34784 Marantette, David Theodore III
801-34807 Ascencio, Ruben Jr.
801-34842 Asset Backed Capital Corp
801-34949 Yaqub, Nizar Abdul
801-35057 Sachem Investment Counsel Inc.
801-35135 Schea, Randi Andrew
801-35157 Brown, Richard Edward
801-35212 Corporate Benefits Counsultants of Minneapolis Inc.
801-35228 Ozark Trading Co. Inc.
801-35244 Powell, Corinne Helen
801-35264 Menconi, Gary R. & Co., Ltd.
801-35280 Kurk, Cover & Kurk
801-35603 DiMaggio, Steven Frank
801-35730 Oak Brook Financial Concepts, Ltd.
801-35743 Wealth Accumulation & Conservation Advisors, Inc.
801-35751 Melet, Barry Dean
801-36036 Dorfman, Marc
801-36066 Jaeger, Carolyn Sue
801-36294 McMurray, Kenneth Edwin
801-36295 Pear, David MacKenzie
801-36366 May, Mariola Kulikowski
801-36379 Integrated Financial Services
801-36418 Capital Protection Associates Inc.
801-36606 Checkmate Financial, Ltd
801-36768 Employee Benefits Strategies Inc.
801-37401 Moses, Michael Scott
801-37528 Phoenix Asset Management Inc.
801-37804 Wexelberg, Penny
801-38082 Minnesota Estate Service Inc.
801-38237 Holco Capital Group
801-38239 Devies, Dennis John
801-38459 Bloomfield Financial Planning Inc.
801-38530 Zimberg, Steven Michael
801-38650 Intelligent Trading Services Inc.
801-38954 Puckett, Kenneth
801-39458 Walker, John Howard
801-39627 Strauchon, Thomas Breslin
801-39715 OCG Investments Inc.
801-39913 Parkinson, Michael Thaddeus
Central Region
(Formerly: Denver and Fort Worth Regional Offices)
801-10884 Eldard, Robert Albert
801-11009 Strategic Management Inc.
801-14272 Shepard, Thomas Charles
801-14502 Newhard Cook Advisory Services Inc.
801-14534 Crutchfield, J.H. & Co
801-14855 Ziedins & Co. Inc
801-16323 Carleton, Charles Edward
801-16859 Security Investment Advisors Inc.
801-17204 Southmark Pension Advisors Inc.
801-17319 First American Financial Cooperative
801-17396 Rheem, John William
801-17413 Listek Co., Inc.
801-17419 Innovative Financial Services
801-17789 Bennatte & Associates Investment Counselors Inc.
801-18225 Lowry, James Saxon
801-18437 Adelmann, Henry Robert
801-18984 Chapman, Norris Ettinger
801-19355 MWL Advisers Inc.
801-20928 American First Advisory Corp
801-21046 Diversified Portfolio Management of Colorado Inc.
801-21324 Knodel, Ted Russon
801-21358 Edgar, James Michael
801-21630 Wimberly, Beadie M.
801-21731 Trans Texas Holdings Corp
801-21767 Financial Planning Strategies Inc.
801-27786 Galante, W.J. Investments Inc.
801-21859 Hughes, Benjamin Brent
801-22276 Barcenas, Jude Ramon Legaspi
801-22818 Young, Frank Hayes
801-22944 Richmond, John Cooper
801-22992 Morris, Stephen Albert
801-23259 Roszel, William Davison
801-23827 Blake, Jeanette
801-24608 IMS Advisory Inc.
801-25056 Hathcock, Harley Glen
801-25518 Rosaluk, Warren John
801-25679 Glover, Edward Kent
801-25775 Sower Financial Group of the Midlands Inc.
801-25877 Baluch, Hess
801-26349 Smith, Marshall Roy III
801-26542 Moldenhauer, George E. & Associates
801-26588 Regalado, Rodney Davis
801-26625 Lutz Invest Inc.
801-26819 Ruth Securities Inc.
801-27317 Franklin Financial Consulting Inc.
801-27325 Market Dynamics Inc.
801-27464 Brown, J.T. Interests Inc.
801-27909 Battle, Charles Edward
801-28123 Brickman, Richard Arlen
801-28192 Azzara, Thomas Peter
801-28577 First Financial Planners Inc.
801-28598 Meridian Asset Management Corp
801-28856 Firstmoney Asset Management Inc.
801-28899 Lake Shore Financial Advisors Inc.
801-29101 Riely, Terrence Paul
801-29222 Financial Profiles Group Inc.
801-29432 Cornerstone Financial Inc.
801-29693 Aday, Jerry Leon
801-29808 IMG Portfolio Management Inc.
801-29839 McLeodco Inc.
801-29841 Guardian Business Consultants Inc.
801-30064 Brown, Federico Lutcher
801-30139 Feezell, William John
801-30494 Brungart, Charles DeBardeleben
801-30674 Equity Planning Inc.
801-30756 Mierendorf, David Gerald
801-31059 Intercap Financial Corp
801-31206 Corless Winslow & Associates
801-31494 Shellenberger, John Jr.
801-31525 Overland Investments Inc.
801-31742 Comstock, Larry Dean
801-31912 Welty, Roy Don Jr.
801-31991 Higgins, James Norman
801-32043 Tomlin Properties Inc.
801-32048 Evans, Neal Albert
801-32054 Hurwitz Investment Management Corp
801-32062 American Family Financial Services Corp
801-32226 Strategic Capital Management Inc.
801-32665 VHC Certified Financial Counseling Inc.
801-32764 L&G Advisors Inc.
801-32848 Colvin, Robert & Co. Advisers Inc.
801-32874 Zaveral Boosalis Raisch
801-32913 Financial Planning Professionals Inc.
801-33225 Underwood Neuhaus & Co., Inc.
801-33285 Shine, Judith Ann
801-33325 Lankford, W.S. & Co. Inc.
801-33384 Anderson Capital Advisors Inc.
801-33548 Options Trading Group Inc.
801-33588 Blan, Santito Baltazar
801-33767 Angell, Charlie L.
801-33789 United Investment Consultants Inc.
801-33790 Lilly, Steven James
801-34043 Amerindian Companies Inc.
801-34374 ISM Financial Group Inc.
801-34493 PCMA Financial Services Inc.
801-34714 Schriver, Edwin Stanton
801-34763 Lauren Capital Management Corp
801-34855 Sperling, Robert Lee
801-34863 Boll, Charles R.
801-34957 Moore, David Paul
801-35029 Pera Equity Management Co
801-35031 Sutton, Allen Keith
801-35236 Neri Advisors
801-35454 Churchill, Arthur Victor
801-35586 Equity Brokerage Services Incorporated
801-35627 HFG Realty Advisors Inc.
801-35628 Lemons, Thomas Craig
801-35847 Phoenix Partners Inc.
801-36034 CCM Inc.
801-36086 Holder Financial Services Inc.
801-36107 Whitehouse & Moore Investments Inc.
801-36108 Hurst, Joel Lee
801-36186 Edwards & Dolph CPA
801-36195 Sundance Capital Management Inc.
801-36382 Wright, Ronald Edward
801-36808 Cherry Creek Capital Inc.
801-36822 Capital Fulcrum Group Inc.
801-36837 Green, Rex Inc.
801-36947 Wilmer Capital Management Inc.
801-36968 Huff, Cynthia Susan
801-37016 Bramm Investments Inc.
801-37406 Sammons, Harry Jr.
801-37437 Portfolio Strategies Inc.
801-37498 Sides, Steven Karl
801-37507 Johnson Capital Management Group Inc.
801-37669 Capital Preservation Associates Inc.
801-37828 Shavano Asset Management Inc.
801-38263 Citadel Financial Advisors Inc.
801-38353 Retirement Plan Savings & Investment Inc.
801-38372 Sanders, Dan Eugene
801-38400 Foutch, Robert Alan
801-38885 Charles, L.P. & Co
801-39902 First Liquidity Advisors Inc.
801-39955 Cofinsa Co
801-40085 Asset Management & Timing Services Inc.
801-40086 Holland, Fred Benjamin
Pacific Region
(Formerly: Los Angeles and Seattle Regional Offices)
801-01255 Lion, John Louis
801-08657 Chicoine & Associates Inc.
801-09663 Schmidt, Eric Clausen
801-10243 Dye, John Paul
801-11079 Thrall, Edwin Fiske Jr.
801-13487 Financial Planners Equity Corp
801-13500 Coleman, Robert Myers
801-15002 Zussman, David Todd
801-15416 Thompson Andersen Inc.
801-15529 Hale System Inc.
801-15588 Doolittle, William Louis
801-15722 Bristol Group Inc.
801-15788 Bolz, David G. & Associates Inc.
801-15840 Financial Management Advisors, Ltd
801-15940 Income Opportunities Inc.
801-16043 Murray, Peter Christopher
801-16130 Lansing Financial Group Inc.
801-16147 Portefeuilles Corp
801-16155 Pension Fund Real Estate Investment Co
801-16252 Klein, Russell Einar
801-16752 Wind River Associates Inc.
801-16852 Compensation Systems Corp
801-17393 Brown Financial Group
801-17575 Morrow, W. Aubrey & Associates Inc.
801-17623 Reeves, Steven Michael
801-17800 Barbee, Wyatt Graham
801-17947 Certified Pension Consultants Inc.
801-17952 Centaur Investments Inc.
801-18762 Brennan, Edward Alexander
801-18775 Elder Nelson Equities Corp
801-18980 Carr & Associates Inc.
801-19255 Financial Assets Inc.
801-19377 Financial & Retirement Planners Inc.
801-19520 Harding Hall Inc.
801-19724 Petzold, Heinz A. & Associates Inc.
801-20099 Burgess Capital Corp
801-20116 Miller, Diane Marie
801-20338 Eliasberg, Kenneth Charles
801-20507 Grimmett, William N. Inc.
801-20522 Jones, Ernest John
801-20836 Shearwater Financial Group Inc.
801-21023 Ross, Paula Jo
801-21144 Olmstead, Harvey Maw
801-21152 Hamel, Stanley Herschel
801-21154 Mooser, Michael Bosworth
801-21167 Iconography & Retirement Systems Inc.
801-21390 Value Equities Corp
801-21635 DeMartini, William E.
801-21912 Certified Equities Inc.
801-21945 Wegener, James Dennis
801-22026 United Resources Financial Planning
801-22038 Humbard, James William
801-22085 Adelstone Associates Inc.
801-22203 O'Malley, Daniel David
801-22213 Clinton, J. Edson Inc.
801-22216 McNeil, Edward James
801-22357 Portfolio Management Services Inc.
801-22407 Alternative Financial Services Corp
801-22425 Earnings Inc.
801-22441 Tonelli, Carlo Nunzio
801-22454 WMS Financial Planners Inc.
801-22596 Diversified Financial Planning Inc.
801-22885 Spectrum Financial Consultants Inc.
801-22896 Capital Synergist Inc.
801-23103 Lambeth, Lorraine Claudette
801-23145 Interrex Financial Network
801-23286 Interlake Financial Services Inc.
801-23323 Schmerman, Richard Mark
801-23325 MD Advisors Inc.
801-23498 Landes & Associates Inc.
801-23639 Perreira, Dominic Anthony
801-23677 Shell, Ellen Elaine
801-24020 EWC Insurance Services Inc.
801-24152 Union Gooch & Wagstaff
801-24182 Hiscox, T.L. & Associates Inc.
801-24221 Files, L. Burke
801-24272 Irvine International Investments Inc.
801-24358 Michaelis, Valerie Ridinger
801-24391 Proforma Financial Corp
801-24447 Garrett, Joe Paul
801-24501 Oak Canyon Enterprizes Inc.
801-24622 Johnston, Marion Elizabeth
801-24641 Vinocur, Brad Lee
801-24690 Mitchell, James Philip
801-24830 Davise, Thomas Frederic Jr.
801-24846 Park Capital Management Corp
801-25035 McDonald, Wilfred John
801-25037 Wong, Wallace
801-25128 Manager of Managers Inc.
801-25141 Solana Capital Management Inc.
801-25334 Affiliated Investment Advisors Inc.
801-25428 Western Century Financial Services Inc.
801-25462 Kestler Associates Inc.
801-25632 Creekside Associates Inc.
801-25754 Boyd, Irvin Alfred
801-25801 Ford, Alexander Lawton III
801-25844 Kramer, Gerald L., Ltd.
801-25845 Gallo, Robert M.
801-25850 Harvey, Bruce Douglas
801-25859 Capital Management Network Inc.
801-25881 Friedman Moon & Co. Inc.
801-25882 Grotenhuis, Gerry Kent
801-25911 American Financial Planning Corp
801-25912 East West Investments Inc.
801-26020 Hockensmith, Robert Franklin
801-26042 United Financial Services Corp
801-26166 Frew, Donald Ray Jr.
801-26354 Herts, Harry Hamilton
801-26426 Neel, Jay Pass & Associates Inc.
801-26583 Russell, John D. & Associates
801-26587 American Investment Advisors Inc.
801-26609 Olivas, George Scott
801-26628 Financial Investment Services Inc.
801-26738 Foxwood Financial Co
801-26877 Monroe, Richard Emmett
801-26985 Hutchinson Financial Services Inc.
801-27024 Kurihara, Brian Haruo
801-27287 Murray, Raymond Andrew
801-27379 Adler, Patricia Murphy
801-27407 Southwest Planning Consultants Inc.
801-27765 Hirata & Miyashiro
801-27829 Portfolio Strategies Inc.
801-27865 Charter Investment Management Inc.
801-27927 Noyer, Terry Preston
801-27955 Reed, D. Stephen Co., Inc.
801-27993 Romverse Inc.
801-28033 Clark, Richard G. Inc.
801-28035 Vendetti, Michael Paul
801-28042 AVT Financial Associates
801-28048 Stenburg, Robert Michael
801-28284 Wilson, Lloyd G. Inc.
801-28366 Ruff Investments Inc.
801-28636 Fraune, David Gerard
801-28734 Q West Investment Timing Strategies
801-29378 Financial Planning Group
801-29388 Betts, John Maitland
801-29677 Sewell, Thomas Richard
801-29712 Investment Planners of America
801-29793 Yung, Joseph S. & Co
801-29824 Mooneys Securities Inc.
801-29869 Nordlie, Robert Odd
801-29997 Schlosser, Michael Norton
801-30105 Alaska Securities Management Inc.
801-30129 American Investment Counselors Inc.
801-30161 Strategic Tax & Financial Planning Inc.
801-30202 Scates, Monty Timothy
801-30234 Goodlin Financial Inc.
801-30295 Jackson, John Charles
801-30324 Halliday Capital Partners Inc.
801-30448 Eaton, Robert Leon Jr.
801-30655 Serenity Financial Services
801-30857 Institute for Personal Economics Inc.
801-30903 Quigley, John Louis
801-30934 Tasler, Frank
801-31124 Investment Research Group Inc.
801-31164 lavioe, Steven Gregory
801-31193 Financial Foundations Inc.
801-31361 Michaelis Asset Management
801-31388 Best, Jeanette Anne
801-31479 Goldman, Alan Stephen
801-31494 Shellenberger, John Jr.
801-31576 Boulden, James Baynard
801-31599 Stephens, Edward Michael
801-31704 Schramm, Bert
801-31751 Lee, Edward Juck Quon
801-31923 Clingo, Daniel Lee
801-32001 Menini, Alfred Emanual
801-32278 Kelley, Philip Sheridan
801-32289 Bessemer Capital Management
801-32308 Johnson, Donald Oscar
801-32366 Financial West Group Planning Corp
801-32510 Wilson, Jean Pierre
801-32733 Coles, Michael James
801-32749 Water Research Associates
801-32768 Kristensen, Tommy John Moller
801-32803 First American Equities Corp
801-32808 Zvirbulis & Goetz Tax & Financial Mgmt. Inc.
801-32968 Investment Advisory Services Inc.
801-32971 Lyons, Gary Scott
801-33011 Kobayashi, Ray Hiromu
801-33038 Green, Jon Norman
801-33089 Pyramid Financial Corp
801-33108 Tharp, William Granison II
801-33195 Odesky, Gerald Alan
801-33205 Laughlin, Jerry Marion
801-33206 Ballantyne, Thomas Clinton
801-33256 Emde, J.C. Mason Jr.
801-33277 Ameritrust Equities Inc.
801-33378 Busch Financial Group, Ltd.
801-33418 Hatfield, Jean Williams
801-33423 Beck, Arnold Thomas Jr.
801-33481 Postle, Frederic Patton
801-33491 Whitman, James Daly
801-33525 Meade, Stephen Alan
801-33634 Jorgensen, James Aleck
801-33640 Shapiro, Ansel
801-33666 La Jolla Capital Management Inc.
801-33706 Hasenstab, Gary Martin
801-33723 Millennium Capital Management Inc.
801-33752 Klein, Stanley Lewis
801-33820 Independent American Financial Services, Inc.
801-33826 Rogers, Michael William
801-33896 Dorner, Jim & Associates
801-33903 Schneider, Frank Joseph
801-33912 Equitrust Resources Co
801-33983 BW & Associates
801-34138 Mission 110 Inc.
801-34200 Recorp Partners Inc.
801-34242 Parsell, Rene Andre
801-34263 Eurogold Exchange, Ltd
801-34299 Lansill, Clay Burt
801-34433 Gholson, Richard Michael
801-34525 Real Asset Management Advisors Inc.
801-34588 Clark, George Douglas
801-34614 Smith, Martin C.
801-34646 Polcyn, Rebecca Ann
801-34672 Wendt, Alvin Edward
801-34696 Kestler, Bernie Anthony
801-34848 Wilson, Ronald Edward
801-34975 Kilikauskas, Andrew
801-35009 Olmstead, James Alan
801-35114 Sands, Daniel Arthur
801-35372 CU First Securities Inc.
801-35434 Roger, Gordon Silberman
801-35559 RDS Investment Management Inc.
801-35597 Rideau, I.C. Securities Inc.
801-35623 TS Financial Services Inc.
801-35626 Nakata, Keith Akio
801-35664 Star Group International Inc.
801-35686 Carroll, Jonathan Pitts
801-35945 Webb, Jack Donald Eugene
801-36147 Almond, David Lee
801-36299 Luongo, J.M. Inc.
801-36388 Fisher, Paul James
801-36958 Argus Pension Advisors Inc.
801-36971 Small, Celia Marie
801-37018 Robinson, Allen Ray
801-37021 Harris, Richard Dyas Jr.
801-37151 Zures Co. Financial & Insurance Services
801-37195 Pinedo, Mario Edward
801-37259 Wolin, William Douglas
801-37270 Sippl, Thomas Lee
801-37289 Schwartz, Gilbert Bruce
801-37601 Athena Sports Management Inc.
801-37671 Rirdan, Daniel
801-37734 Westfield Consultants Group
801-37800 Rippe, Clarence Francis
801-38022 Panelli, Roy Louis
801-38091 Bowles, Howard Gay
801-38146 Commercial Financial Capital Group Inc.
801-38198 Denali Capital Management Inc.
801-38236 Ingersoll & Associates Inc.
801-38418 Municipal Government Investment Associates Inc.
801-38482 Macy & Co
801-38487 Strategic Property Investments Inc.
801-38548 Russell, Dale Marland
801-38600 Vestar Development Co.
801-38737 Sobol, David Loeb
801-38786 Stone Capital Management Inc.
801-39087 Robertson, Donn John Jr.
801-39238 Atrius Capital Management Inc.
801-39842 DeGreef, Jules Anthony
801-40110 Johnsen, Anna Calogheropoulou
801-40170 Sansei Insurance & Financial Services
Foreign
801-16387 Caldwell, John Spencer Jr.
801-17653 Brexmari Partners
801-22807 Morley, Geoffrey & Partners, Ltd.
801-23156 Crondall Investment Advisers, Ltd.
801-26656 Kim, Caroline Young
801-28994 Arbuthnot Government Securities
801-31176 Panet, Raymond Pierre B.
801-32078 Hulan, Godfrey Carl
801-32171 Khalil, Tarek Fehmi
801-33975 Castle Cairn Fund Managers, Ltd.
801-35028 Storrs, Pamela Renee
801-36402 Visconti, James Anthony
801-36848 P&R Holdings, SA
801-36849 Pahler, Robert
[FR Doc. 94-29462 Filed 11-29-94; 8:45 am]
BILLING CODE 8010-01-M
