[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.
---------------------------------------------------------------------------

    \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.
---------------------------------------------------------------------------

    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