| WR STRATEGY A MANAGEMENT LLCLocation not reported, CT · Revoked | Location not reported, CT | LLC | Apr 16, 2009 | Revoked |
| ERICSSON TELEVISION INC.Location not reported, CT · Revoked | Location not reported, CT | Corporation | Apr 20, 2009 | Revoked |
| CYPRIUM CAPITAL LLCLocation not reported, CT · Cancelled | Location not reported, CT | LLC | Apr 22, 2009 | Cancelled |
| CYPRIUM PARTNERS, LIMITED PARTNERSHIPLocation not reported, CT · Cancelled | Location not reported, CT | Partnership | Apr 22, 2009 | Cancelled |
| DFS CAPITAL GP, LLCLocation not reported, CT · Revoked | Location not reported, CT | LLC | Jun 10, 2009 | Revoked |
| DFS FUND, LIMITED PARTNERSHIPLocation not reported, CT · Revoked | Location not reported, CT | Partnership | Jun 11, 2009 | Revoked |
| DFS CAPITAL MANAGEMENT, LIMITED PARTNERSHIPLocation not reported, CT · Revoked | Location not reported, CT | Partnership | Jun 11, 2009 | Revoked |
| RMG PALLETS, LLCLocation not reported, CT · Revoked | Location not reported, CT | LLC | Jun 17, 2009 | Revoked |
| ADVANCED PORTFOLIO ANALYTICS LLCLocation not reported, CT · Cancelled | Location not reported, CT | LLC | Jul 23, 2009 | Cancelled |
| VLS SECURITIES LLCLocation not reported, CT · Withdrawn | Location not reported, CT | LLC | Jul 22, 2009 | Withdrawn |
| MERCURY BELGRAVIA LLCLocation not reported, CT · Cancelled | Location not reported, CT | LLC | Nov 17, 2009 | Cancelled |
| OPEN DEALER EXCHANGE, LLCLocation not reported, CT · Cancelled | Location not reported, CT | LLC | Jan 4, 2010 | Cancelled |
| CORELLIAN GROUP LLCLocation not reported, CT · Revoked | Location not reported, CT | LLC | Jan 12, 2010 | Revoked |
| SCOTT SQUARED, LLCLocation not reported, CT · Active | Location not reported, CT | LLC | Jan 13, 2010 | Active |
| SPENCER TRASK COLLABORATIVE INNOVATIONS LLCLocation not reported, CT · Revoked | Location not reported, CT | LLC | Jan 14, 2010 | Revoked |
| SHUMWAY CAPITAL PARTNERS LLCLocation not reported, CT · Cancelled | Location not reported, CT | LLC | Jan 15, 2010 | Cancelled |
| SCA/CHARLOTTE MPF LLCLocation not reported, CT · Revoked | Location not reported, CT | LLC | Feb 4, 2010 | Revoked |
| WATERSTONE ASSET MANAGEMENT, LLCLocation not reported, CT · Cancelled | Location not reported, CT | LLC | Mar 22, 2010 | Cancelled |
| NORTH LAKE INVESTMENT GROUP LLCLocation not reported, CT · Withdrawn | Location not reported, CT | LLC | Apr 1, 2010 | Withdrawn |
| NORTH LAKE OPPORTUNITY FUND LIMITED PARTNERSHIPLocation not reported, CT · Cancelled | Location not reported, CT | Partnership | Apr 1, 2010 | Cancelled |
| INTERSTATE CONTAINER LOWELL LLCLocation not reported, CT · Cancelled | Location not reported, CT | LLC | Apr 19, 2010 | Cancelled |
| LION S OF CT CORPLocation not reported, CT · Revoked | Location not reported, CT | Corporation | Apr 22, 2010 | Revoked |
| TA WINDHAM, LLCLocation not reported, CT · Revoked | Location not reported, CT | LLC | Apr 28, 2010 | Revoked |
| CP POWER INVESTMENT, LLCLocation not reported, CT · Revoked | Location not reported, CT | LLC | May 14, 2010 | Revoked |
| TA CROMWELL, LLCLocation not reported, CT · Withdrawn | Location not reported, CT | LLC | May 26, 2010 | Withdrawn |
| HH GLOBAL DIVERSIFIED FUND LIMITED PARTNERSHIPLocation not reported, CT · Revoked | Location not reported, CT | Partnership | Jun 3, 2010 | Revoked |
| HH INVESTMENT PARTNERS LLCLocation not reported, CT · Revoked | Location not reported, CT | LLC | Jun 3, 2010 | Revoked |
| CONNOR CAPITAL MANAGEMENT LLCLocation not reported, CT · Revoked | Location not reported, CT | LLC | Jun 16, 2010 | Revoked |
| TA NEW MILFORD, LLCLocation not reported, CT · Withdrawn | Location not reported, CT | LLC | Jul 1, 2010 | Withdrawn |
| NETMOBO LLCLocation not reported, CT · Revoked | Location not reported, CT | LLC | Jul 29, 2010 | Revoked |
| ASPIRIANT INVESTMENT ADVISORS, LLCLocation not reported, CT · Cancelled | Location not reported, CT | LLC | Sep 20, 2010 | Cancelled |
| RMG GLOBALMED, LLCLocation not reported, CT · Revoked | Location not reported, CT | LLC | Sep 28, 2010 | Revoked |
| HOPE STREET ADVISERS, LLCLocation not reported, CT · Cancelled | Location not reported, CT | LLC | Oct 6, 2010 | Cancelled |
| SILVER SPRING INVESTMENT ADVISORS, LLCLocation not reported, CT · Revoked | Location not reported, CT | LLC | Oct 18, 2010 | Revoked |
| THE RESULTS COMPANIES LLCLocation not reported, CT · Cancelled | Location not reported, CT | LLC | Nov 16, 2010 | Cancelled |
| BEARING CIRCLE CAPITAL MANAGEMENT, LLCLocation not reported, CT · Cancelled | Location not reported, CT | LLC | Nov 29, 2010 | Cancelled |
| RMG ICUETV III, LLCLocation not reported, CT · Revoked | Location not reported, CT | LLC | Dec 13, 2010 | Revoked |
| ARDSLEY WORLD INFORMATION TECHNOLOGY FUND, LIMITED PARTNERSHIPLocation not reported, CT · Revoked | Location not reported, CT | Partnership | Jan 21, 2011 | Revoked |
| E-COMMODITY RESEARCH GROUP, LLCLocation not reported, CT · Revoked | Location not reported, CT | LLC | Feb 9, 2011 | Revoked |
| WR ANALYTICS, LIMITED PARTNERSHIPLocation not reported, CT · Revoked | Location not reported, CT | Partnership | Feb 16, 2011 | Revoked |
| WR PLATFORM ADVISORS LIMITED PARTNERSHIPLocation not reported, CT · Revoked | Location not reported, CT | Partnership | Feb 16, 2011 | Revoked |
| WR MANAGED ACCOUNT SERVICES, LIMITED PARTNERSHIPLocation not reported, CT · Revoked | Location not reported, CT | Partnership | Feb 16, 2011 | Revoked |
| WR MANAGED ACCOUNT SERVICES GP, LLCLocation not reported, CT · Revoked | Location not reported, CT | LLC | Feb 17, 2011 | Revoked |
| GRAMERCY GLOBAL EQUITY, LLCLocation not reported, CT · Revoked | Location not reported, CT | LLC | Apr 4, 2011 | Revoked |
| CTP CAMPUS HOUSING (CONNECTICUT) LLCLocation not reported, CT · Cancelled | Location not reported, CT | LLC | Apr 20, 2011 | Cancelled |
| BODY ECHO LLCLocation not reported, CT · Active | Location not reported, CT | LLC | May 10, 2011 | Active |
| PARK AVENUE VALUE PARTNERS LLCLocation not reported, CT · Cancelled | Location not reported, CT | LLC | Sep 16, 2011 | Cancelled |
| PARK AVENUE VALUE PARTNERS FUND GP LLCLocation not reported, CT · Revoked | Location not reported, CT | LLC | Sep 16, 2011 | Revoked |
| PARK AVENUE VALUE PARTNERS FUND I LLCLocation not reported, CT · Cancelled | Location not reported, CT | LLC | Sep 16, 2011 | Cancelled |
| POSTAGE STAMP FARM, LLCLocation not reported, CT · Revoked | Location not reported, CT | LLC | Nov 4, 2011 | Revoked |