As Of                Filer                Filing    For·On·As Docs:Size              Issuer               Agent

 2/27/15  Putnam Convertible Secs Fund      485BPOS¶    2/28/15    8:3.3M                                   McMunn Associates Inc/FA
          → Putnam Convertible Securities Fund ⇒ Class A Shares (PCONX) — Class B Shares (PCNBX) — Class C Shares — Class I — Class M Shares (PCNMX) — Class R Shares (PCVRX) — Class Y Shares (PCGYX)

Document/Exhibit                   Description                      Pages   Size 

 1: 485BPOS     Putnam Convertible Securites Fund                   HTML   1.47M 
 8: COVER     ¶ Comment-Response or Cover Letter to the SEC         HTML      6K 
 2: EX-99.E UNDR CONTR  Miscellaneous Exhibit                       HTML     93K 
 3: EX-99.E UNDR CONTR  Miscellaneous Exhibit                       HTML      9K 
 4: EX-99.I LEGAL OPININ  Miscellaneous Exhibit                     HTML     10K 
 5: EX-99.J OTHER OPININ  Miscellaneous Exhibit                     HTML      6K 
 6: EX-99.M 12B-1 PLAN  Miscellaneous Exhibit                       HTML     93K 
 7: EX-99.M 12B-1 PLAN  Miscellaneous Exhibit                       HTML      9K 

Dealer Sales Dealer Name
1ST DISCOUNT BROKERAGE, INC.
1ST GLOBAL CAPITAL CORP.
A. P. SECURITIES, INC.
A.G. QUINTAL INVESTMENT COMPANY INC.
AARON CAPITAL INCORPORATED
ABACUS INTERNATIONAL CAPITAL CORP.
ABACUS INVESTMENTS, INC
ABEL/NOSER CORP.
ABRAMSON FINANCIAL, LLC
ACA/PRUDENT INVESTORS PLANNING
ACAP FINANCIAL INC.
ACCELERATED CAPITAL GROUP, INC.
ACCESS FINANCIAL GROUP, INC.
ACCESS INVESTMENTS, INC
ACE DIVERSIFIED CAPITAL, INC.
ACP SECURITIES, LLC
ACTINVER SECURITIES, INC.
ADCAP SECURITIES LLC
ADIRONDACK TRADING GROUP LLC
ADP BROKER-DEALER, INC.
ADVANCE CAPITAL SERVICES, INC.
ADVANCED ADVISOR GROUP, LLC
ADVISORS CLEARING NETWORK, INC.
ADVISORY GROUP EQUITY SERVICES LTD.
AEGIS CAPITAL CORP.
AEGIS INVESTMENTS, INC.
AK CAPITAL LLC
AKAR CAPITAL MANAGEMENT, INC.
ALAMO CAPITAL
ALEXANDER CAPITAL, L.P.
ALEXANDER INVESTMENT SERVICES CO.
ALLEGHENY INVESTMENTS, LTD.
ALLEGIANCE CAPITAL LLC
ALLEGIS INVESTMENT SERVICES, LLC
ALLEN & COMPANY OF FLORIDA, INC.
ALLEN C. EWING & CO.
ALLEN, MOONEY & BARNES BROKERAGE SVCS
ALLIANCE ADVISORY & SECURITIES, INC.
ALLIANCE FINANCIAL GROUP, INC.
ALLIANT SECURITIES, INC. TURNER, NORD,
ALLIED ASSET MANAGEMENT, INC.
ALLISON-WILLIAMS COMPANY
ALMAX FINANCIAL SOLUTIONS, LLC
ALPINE SECURITIES CORPORATION
ALTON SECURITIES GROUP INC.
AMEGY INVESTMENTS, INC.
AMERICA NORTHCOAST SECURITIES, INC.
AMERICAN CAPITAL PARTNERS, LLC
AMERICAN DIVERSIFIED FINANCIAL GROUP LLC
AMERICAN EQUITY INVESTMENT CORPORATION

AMERICAN FINANCIAL ASSOCIATES, INC.
AMERICAN FINANCIAL SECURITIES, INC.
AMERICAN FUNDS & TRUSTS INCORPORATED
AMERICAN HERITAGE SECURITIES, INC.
AMERICAN INDEPENDENT SECURITIES GROUP,
AMERICAN INVESTORS CO
AMERICAN INVESTORS GROUP, INC.
AMERICAN MUNICIPAL SECURITIES, INC.
AMERICAN NETWORK SECURITIES CORP.
AMERICAN PORTFOLIOS FINANCIAL SERVICES,
AMERICAN TRUST INVESTMENT SERVICES, INC.
AMERICAN WEALTH MANAGEMENT, INC.
AMERIPRISE FINANCIAL SERVICES, INC.
AMERIPRISE FINANCIAL SERVICES, INC.
AMERITAS INVESTMENT CORP
AMERIVET SECURITIES, INC.
ANDREW GARRETT INC.
ANOVEST FINANCIAL SERVICES, INC.
AON BENFIELD SECURITIES, INC.
AOS, INC.
APEX CLEARING CORPORATION
ARBOR COURT CAPITAL, LLC
ARETE WEALTH MANAGEMENT, LLC
ARIVE CAPITAL MARKETS
ARLINGTON SECURITIES, INCORPORATED
ARQUE CAPITAL, LTD.
ARVEST INVESTMENTS, INC.
ASHTON YOUNG, INC.
ASIA PACIFIC FINANCIAL MANAGEMENT GROUP,
ASPEN EQUITY PARTNERS, LLC
ASSOCIATED INVESTMENT SERVICES, INC.
ATIS, INC
ATLANTIC SECURITIES, INC.
AUFHAUSER SECURITIES, INC.
AURORA FINANCIAL
AURORA SECURITIES
AUSDAL FINANCIAL PARTNERS, INC.
AVALON INVESTMENT & SECURITIES GROUP,
AVENTURA SECURITIES, LLC
AVISEN SECURITIES, INC.
AVONDALE PARTNERS, LLC
AXA ADVISORS, LLC
AXIOM CAPITAL MANAGEMENT, INC.
B. C. ZIEGLER AND COMPANY
B.B. GRAHAM & COMPANY, INC.
BAIRD, PATRICK & CO., INC.
BAKER & COMPANY
BAKER TILLY CAPITAL, LLC
BALLEW INVESTMENTS, INC.
BANK OF AMERICA NT & SA
BANKERS & INVESTORS CO.

BANKOH INVESTMENT SERVICES, INC.
BARCLAYS CAPITAL INC.
BARRETT & COMPANY, INC.
BARRINGTON RESEARCH ASSOCIATES, INC.
BATES SECURITIES, INC.
BAY MUTUAL FINANCIAL, LLC
BB&T SECURITIES, LLC
BCG SECURITIES, INC.
BEACONSFIELD FINANCIAL SERVICES, INC.
BEAR STEARNS SECURITIES CORP
BEARD FINANCIAL SERVICES, INC.
BEDMINSTER FINANCIAL GROUP, LIMITED
BENCHMARK INVESTMENTS, INC.
BENJAMIN F. EDWARDS & COMPANY, INC.
BENJAMIN SECURITIES, INC.
BERGHOFF & COMPANY, INC.
BERNARD HEROLD & CO., INC.
BERNARDI SECURITIES, INC.
BERTHEL, FISHER & CO FINANCIAL SERVICES,
BESTVEST INVESTMENTS, LTD.
BFT FINANCIAL GROUP, LLC
BILL FEW SECURITIES, INC.
BISHOP, ROSEN & CO., INC.
BLACK OAK SECURITIES, INC.
BLAKESLEE AND BLAKESLEE INC.
BLEY INVESTMENTS GROUP, INC.
BLUE CREEK SECURITIES INC
BMO HARRIS FINANCIAL ADVISORS, INC.
BNP PARIBAS SECURITIES CORP.
BODELL OVERCASH ANDERSON & CO., INC.
BOENNING & SCATTERGOOD, INC.
BOLTON GLOBAL CAPITAL
BORNHOFT GROUP
BPU INVESTMENT MANAGEMENT, INC.
BRANDON INVESTMENTS, INC.
BRANDT, KELLY & SIMMONS SECURITIES, LLC
BRAZOS SECURITIES, INC.
BRIGHTON SECURITIES CORP.
BRILL SECURITIES, INC.
BRINKER CAPITAL
BRISTOL FINANCIAL SERVICES, INC
BROKER DEALER FINANCIAL SERVICES CORP.
BROKERAGESELECT
BROKERS INTERNATIONAL FINANCIAL SERVICES
BROOKLIGHT PLACE SECURITIES, INC.
BROWN ASSOCIATES, INC.
BROWN, LISLE/CUMMINGS, INC.
BRYAN FUNDING, INC.
BTS SECURITIES CORPORATION
BUCK KWASHA SECURITIES LLC
BUCKMAN, BUCKMAN & REID, INC.

BUCKRAM SECURITIES LTD
BUELL SECURITIES CORP.
BURKE, LAWTON, BREWER & BURKE, LLC
BUTTONWOOD PARTNERS, INC.
C A BOTZUM & CO.
C C F INVESTMENTS, INC.
C R I SECURITIES
C. G. MENK & ASSOCIATES, INC.
C. R. DAVIS & COMPANY
CABOT LODGE SECURITIES LLC
CADARET, GRANT & CO., INC.
CALDWELL INTERNATIONAL SECURITIES
CALDWELL SECURITIES, INC
CALLAWAY FINANCIAL SERVICES, INC.
CALTON & ASSOCIATES, INC.
CAMBRIDGE INVESTMENT RESEARCH, INC.
CAMDEN FINANCIAL SERVICES
CANTELLA & CO., INC.
CANTONE RESARCH INC.
CAPE FEAR SECURITIES, INC.
CAPE SECURITIES INC.
CAPFINANCIAL SECURITIES, LLC.
CAPITAL BROKERAGE CORPORATION
CAPITAL CITY SECURITIES, LLC
CAPITAL DIRECTIONS, INC.
CAPITAL FINANCIAL SERVICES, INC.
CAPITAL GUARDIAN, LLC
CAPITAL INVESTMENT BROKERAGE, INC.
CAPITAL INVESTMENT GROUP, INC.
CAPITAL MANAGEMENT SECURITIES, INC.
CAPITAL ONE INVESTMENT SERVICES LLC
CAPITAL PORTFOLIO MANAGEMENT, INC.
CAPITAL RESEARCH BROKERAGE SERVICES, LLC
CAPITAL SECURITIES INVESTMENT
CAPITAL SYNERGY PARTNERS
CAPITOL SECURITIES MANAGEMENT, INC.
CAPROCK SECURITIES, INC.
CARDINAL INVESTMENTS, INC.
CAREY, THOMAS, HOOVER, & BREAULT, INC.
CARL M HENNIG & CO
CARL P. SHERR & CO., LLC
CARTER, TERRY & COMPANY, INC.
CARTHAGE GROUP INC.
CARTY & COMPANY, INC.
CARY STREET PARTNERS LLC
CASCADE FINANCIAL MANAGEMENT, INC.
CASCADE INVESTMENT GROUP, INC.
CASTLE HILL CAPITAL PARTNERS, INC.
CBIZ FINANCIAL SOLUTIONS, INC.
CCO INVESTMENT SERVICES CORP.
CELADON FINANCIAL GROUP LLC

CENTARA CAPITAL SECURITIES, INC.
CENTAURUS FINANCIAL, INC.
CENTENNIAL SECURITIES COMPANY, INC.
CENTER STREET SECURITIES, INC.
CENTERRE CAPITAL LLC
CENTRAL STATES CAPITAL MARKETS, LLC
CEROS FINANCIAL SERVICES, INC.
CERTUSSECURITIES, INC.
CETERA ADVISOR NETWORKS LLC
CETERA ADVISORS LLC
CETERA FINANCIAL SPECIALISTS LLC
CETERA INVESTMENT SERVICES LLC
CFD INVESTMENTS, INC.
CFS SECURITIES, INC.
CHAMPION CAPITAL CORPORATION
CHAPIN DAVIS, INC.
CHARLES JORDAN & CO., LLC
CHARLES SCHWAB & CO., INC.
CHAUNER SECURITIES, INC.
CHELSEA FINANCIAL SERVICES
CHESTER HARRIS & COMPANY, INCORPORATED
CHURCH, GREGORY, ADAMS SECURITIES
CIRCLE TRUST COMPANY
CITIGROUP GLOBAL MARKETS INC.
CITY NATIONAL SECURITIES, INC.
CITY SECURITIES CORPORATION
CLARK DODGE & CO., INC.
CLARK NOBIL & COMPANY
CLARK SECURITIES, INC.
CLARY INVESTMENT AND INSURANCE PLANNING
CLASSIC, LLC
CLEARY GULL INC.
CLIENT ONE SECURITIES LLC
CLINGER & CO., INC.
CNA INVESTOR SERVICES, INC.
CNS SECURITIES, LLC
COASTAL EQUITIES, INC.
COBURN & MEREDITH, INC.
COKER & PALMER, INC.
COLONIAL SECURITIES, INC.
COLONY PARK FINANCIAL SERVICES LLC.
COLORADO FINANCIAL SERVICE CORPORATION
COMERICA SECURITIES,INC.
COMMONWEALTH FINANCIAL GROUP, INC.
COMMONWEALTH FINANCIAL NETWORK
COMMUNITYAMERICA FIN SOLUTIONS, LLC
COMPASS SECURITIES CORPORATION
COMPREHENSIVE ASSET MGMT AND SERVICING
CONCORDE INVESTMENT SERVICES, LLC
CONFIDENTIAL MGMT FINANCIAL SERVICES,
CONNERS & CO., INC.

CONOVER SECURITIES CORPORATION
CONSOLIDATED FINANCIAL INVESTMENTS, INC.
CONSOLIDATED SECURITIES
CONSTELLATION WEALTH ADVISORS LLC
CONTINENTAL INVESTORS SERVICES, INC.
COOMBE FINANCIAL SERVICES, INC
COOPER MALONE MCCLAIN, INC.
COORDINATED CAPITAL SECURITIES, INC.
COR CLEARING LLC
CORECAP INVESTMENTS, INC
CORINTHIAN PARTNERS, L.L.C.
CORNERSTONE FINANCIAL SERVICES, INC.
CORPORATE INVESTMENTS GROUP, INC.
CORRELL CO. INVESTMENT SERVICES CORP.
COSSE' INTERNATIONAL SECURITIES, INC.
COUGHLIN & COMPANY INC.
COUNTRY CLUB FINANCIAL SERVICES, INC.
CP CAPITAL SECURITIES, INC.
CRAIG-HALLUM CAPITAL GROUP LLC
CREATIVE RESOURCES BROKER SERVICES, LLC
CREDIT SUISSE SECURITIES (USA) LLC
CRESAP, INC.
CRESCENT SECURITIES GROUP, INC.
CRESSMAN ESSER SECURITIES, INC.
CREWS & ASSOCIATES, INC.
CROWN CAPITAL SECURITIES, L.P.
CUNA BROKERAGE SERVICES, INC.
CURBSTONE FINANCIAL MANAGEMENT
CURREN & COMPANY
CUSO FINANCIAL SERVICES, L.P.
CUTTER AND COMPANY BROKERAGE, INC.
CV BROKERAGE, INC
CW SECURITIES, LLC
D. B. MCKENNA & CO., INC.
D.A. DAVIDSON & CO.
D.H. HILL SECURITIES, LLLP
D.M. KELLY & COMPANY
DALTON STRATEGIC INVESTMENT SERVICES
DART, PAPESH & COMPANY, INCORPORATED
DARWOOD ASSOCIATES INCORPORATED
DAUTRICH, SEILER FINANCIAL SERVICES,
DAVENPORT & COMPANY LLC
DAVID A. NOYES & COMPANY
DAVID HARRIS & CO., INC.
DAVID LERNER ASSOCIATES, INC.
DAVINCI CAPITAL MANAGEMENT INC.
DAWSON JAMES SECURITIES, INC.
DEAWM DISTRIBUTORS, INC.
DELTA TRUST INVESTMENTS, INC.
DEMPSEY FINANCIAL NETWORK, INC.
DEMPSEY LORD SMITH, LLC

DESPAIN FINANCIAL CORPORATION
DESTINY CAPITAL SECURITIES CORPORATION
DETWILER FENTON & CO.
DETWILER FENTON WEALTH MANAGEMENT INC
DEUTSCHE BANK SECURITIES INC.
DEVENIR, LLC
DFP EQUITIES, INC.
DFPG INVESTMENTS, INC.
DIAMANT INVESTMENT CORPORATION
DILLON - GAGE SECURITIES, INC.
DINOSAUR SECURITIES, L.L.C.
DIVERSIFIED CAPITAL CORPORATION
DIVERSIFIED RESOURCES, LLC
DIVERSIFIED SECURITIES, INCORPORATED
DMG SECURITIES,INC.
DOMINICK & DOMINICK LLC
DOMINION INVESTOR SERVICES, INC.
DON ALEXANDER INVESTMENTS, INC.
DONEGAL SECURITIES, INC.
DORN & CO., INC.
DORSEY & COMPANY, INC.
DOUBLE EAGLE SECURITIES OF AMERICA, INC
DOUGHERTY & COMPANY LLC
DP ASSET MANAGEMENT, INC.
DUNCAN-WILLIAMS, INC
DUNDEE SECURITIES INC.
DYNASTY CAPITAL PARTNERS, INC.
E*TRADE CLEARING, LLC
E. E. POWELL & COMPANY INC.
E.S. FINANCIAL SERVICES, INC.
EAGLE EQUITIES, INC.
EAGLE LEDGE CAPITAL, LLC
EAGLEVIEW SECURITIES, INC
EARLYBIRDCAPITAL, INC.
EASTERN POINT SECURITIES, INC.
EBH SECURITIES, INC.
ECM SECURITIES CORP.
ECONOMY SECURITIES, INCORPORATED
EDI FINANCIAL, INC.
EDWARD JONES
EDWIN C. BLITZ INVESTMENTS, INC
EFC FINANCIAL SERVICES, LLC
EK RILEY INVESTMENTS, LLC
ELE WEALTH ADVISORS, INC.
ELISH & ELISH INC.
EMERGENT FINANCIAL GROUP, INC.
EMERGING GROWTH EQUITIES, LTD.
EMERSON EQUITY LLC
EMPLOYEE BENEFITS INVESTMENT GROUP, INC.
ENSEMBLE FINANCIAL SERVICES, INC.
ENVOY SECURITIES, LLC

EQUABLE SECURITIES CORPORATION
EQUINOX SECURITIES, INC.
EQUITY INVESTMENT SERVICES, INC
EQUITY SERVICES, INC.
ESPOSITO SECURITIES, LLC
ESSEX FINANCIAL SERVICES, INC.
ESSEX NATIONAL SECURITIES, LLC
ESSEX SECURITIES LLC
ETC BROKERAGE SERVICES, LLC
EURO PACIFIC CAPITAL, INC.
E-W INVESTMENTS, INC.
EXCEL SECURITIES & ASSOCIATES, INC
FAIRPORT CAPITAL, INC.
FAMILY INVESTORS COMPANY
FAMILY MANAGEMENT SECURITIES, LLC
FARMERS FINANCIAL SOLUTIONS, LLC
FAS CORP.
FB EQUITY SALES CORPORATION OF MICHIGAN
FBT INVESTMENTS, INC.
FCG ADVISORS, LLC
FEDERATED SECURITIES, INC.
FELDSTEIN FINANCIAL GROUP, LLC
FELTL & COMPANY
FENWICK SECURITIES, INC.
FIDUCIARY ADVISORS, LLC
FIELDPOINT PRIVATE SECURITIES LLC
FINANCE 500, INC
FINANCIAL AMERICA SECURITIES, INC.
FINANCIAL NORTHEASTERN SECURITIES, INC
FINANCIAL PLANNING CONSULTANTS, INC
FINANCIAL SECURITY MANAGEMENT,
FINANCIAL SERVICES INTERNATIONAL CORP
FINANCIAL TELESIS
FINANCIAL WEST GROUP
FINTEGRA, LLC
FINTRUST BROKERAGE SERVICES, LLC
FIRST ALLIED SECURITIES, INC
FIRST AMERICAN SECURITIES, INC.
FIRST ASSET FINANCIAL INC
FIRST BANKERS' BANC SECURITIES, INC
FIRST BROKERAGE AMERICA, L.L.C
FIRST CANTERBURY SECURITIES, INC
FIRST CITIZENS FINANCIAL PLUS, INC.
FIRST CITIZENS INVESTOR SERVICES, INC.
FIRST CITIZENS SECURITIES CORPORATION
FIRST CLEARING, LLC
FIRST COMMAND FINANCIAL PLANNING, INC.
FIRST DALLAS SECURITIES, INC.
FIRST EMPIRE SECURITIES, INC.
FIRST FINANCIAL EQUITY CORPORATION
FIRST FINANCIAL SECURITIES OF AMERICA,

FIRST GEORGETOWN SECURITIES, INC.
FIRST HEARTLAND CAPITAL, INC
FIRST HONOLULU SECURITIES, INC
FIRST INDEPENDENT FINANCIAL SERVICES,
FIRST INVESTORS CORPORATION
FIRST KENTUCKY SECURITIES CORPORATION
FIRST LIBERTIES SECURITIES, INC
FIRST MANHATTAN CO
FIRST MIDWEST SECURITIES, INC
FIRST NATIONAL CAPITAL MARKETS, INC.
FIRST REPUBLIC SECURITIES COMPANY, LLC
FIRST SAVINGS SECURITIES, INC.
FIRST SOUTHEAST INVESTOR SERVICES, INC.
FIRST STATE FINANCIAL MANAGEMENT, INC.
FIRST WESTERN ADVISORS
FIRST WESTERN SECURITIES, INC.
FIRSTRADE SECURITIES INC.
FLORIDA ATLANTIC SECURITIES CORP
FMN CAPITAL CORPORATION
FMSBONDS, INC
FNBB CAPITAL MARKETS, LLC
FOLGER NOLAN FLEMING DOUGLAS
FOLIOFN INVESTMENTS, INC
FOOTHILL SECURITIES, INC
FORDHAM FINANCIAL MANAGEMENT, INC
FORESIGHT INVESTMENTS, LLC
FOREST SECURITIES,INC
FORESTERS EQUITY SERVICES, INC
FORTUNE FINANCIAL SERVICES, INC
FOUNDERS FINANCIAL SECURITIES LLC
FOURTH STREET FINANCIAL GROUP, INC
FRANKLIN TEMPLETON FINANCIAL SERVICES
FREEDOM INVESTORS CORP
FREIMARK BLAIR & COMPANY, INC
FROST BROKERAGE SERVICES, INC
FSB PREMIER WEALTH MANAGEMENT, INC.
FSC SECURITIES CORPORATION
FTB ADVISORS, INC
FULCRUM SECURITIES, LLC
FUND INVESTORS, INC
G - W BROKERAGE GROUP, INC.
G. A. REPPLE & COMPANY
G.F. INVESTMENT SERVICES, LLC
G.L.S. & ASSOCIATES, INC
G.RESEARCH, INC
GAGE-WILEY & CO., INC
GARDEN STATE SECURITIES, INC.
GARDNER FINANCIAL SERVICES, INC.
GARY GOLDBERG & CO., INC.
GATEWAY FINANCIAL AGENCY CORPORATION
GBS RETIREMENT SERVICES, INC

GENEOS WEALTH MANAGEMENT, INC
GENERAL SECURITIES CORP
GEORGE K. BAUM & COMPANY
GERSON, HOROWITZ, GREEN SECURITIES CORP
GFA SECURITIES, LLC
GILFORD SECURITIES INCORPORATED
GILL CAPITAL PARTNERS
GIRARD SECURITIES, INC.
GLADOWSKY CAPITAL MANAGEMENT CORP.
GLEN EAGLE ADVISORS LLC
GLOBAL BROKERAGE SERVICES, INC
GLOBAL INVESTOR SERVICES, L.C
GLOBAL MARKETS, LLC
GLOBALINK SECURITIES, INC.
GLP INVESTMENT SERVICES, LLC
GOELZER INVESTMENT MANAGEMENT, INC
GOLD COAST SECURITIES, INC
GOLDK INVESTMENT SERVICES, INC
GOLDMAN SACHS EXECUTION &
GOODWIN SECURITIES, INC
GOOGINS & ANTON, INC
GOULD, AMBROSON & ASSOCIATES LTD
GRADIENT SECURITIES, LLC
GRAMERCY SECURITIES, INC
GRANT WILLIAMS L.P
GRB FINANCIAL LLC
GREAT AMERICAN ADVISORS, INC.
GREAT AMERICAN INVESTORS, INC
GREAT NATION INVESTMENT CORPORATION
GREENBERG FINANCIAL GROUP
GREENBRIER DIVERSIFIED, INC
GREENMAN PARKER CONNALLY GREENMAN
GREENTREE INVESTMENT SERVICES, INC
GREGORY J. SCHWARTZ & CO., INC.
GRF CAPITAL INVESTORS, INC.
GRIFFINEST ASIA SECURITIES, LLC
GRODSKY ASSOCIATES, INC.
GUZMAN & COMPANY
GVC CAPITAL LLC
GW & WADE ASSET MANAGEMENT COMPANY, LLC
GWFS EQUITIES, INC.
GWN SECURITIES INC.
H C WAINWRIGHT & CO
H D VEST INVESTMENT SERVICES INC
H. BECK, INC.
H. C. DENISON CO.
H. KAWANO & CO., INC.
H.D. BRENT & COMPANY, INC.
HALLIDAY FINANCIAL, LLC
HAMILTON CAVANAUGH INVESTMENT BROKERS,
HANCOCK INVESTMENT SERVICES, INC.

HANCOCK SECURITIES GROUP, LLC
HAND SECURITIES, INC
HANSON MCCLAIN RETIREMENT NETWORK, LLC
HANTZ FINANCIAL SERVICES, INC.
HAPOALIM SECURITIES USA, INC.
HARBOR FINANCIAL SERVICES, LLC
HARBOR INVESTMENT ADVISORY, LLC
HARBOR LIGHT SECURITIES, LLC
HARBOUR INVESTMENTS, INC.
HARGER AND COMPANY, INC.
HAROLD DANCE INVESTMENTS
HARTFORD SECURITIES DISTRIBUTION CMPY
HARVEST FINANCIAL CORPORATION
HARVESTONS SECURITIES, INC.
HAZARD & SIEGEL, INC.
HAZLETT, BURT & WATSON, INC.
HBW SECURITIES LLC
HEALTHCARE COMMUNITY SECURITIES
HEARTLAND INVESTMENT ASSOCIATES, INC.
HEFREN-TILLOTSON, INC.
HEIM, YOUNG & ASSOCIATES, INC.
HENLEY & COMPANY LLC
HENNION & WALSH, INC.
HERBERT J. SIMS & CO. INC.
HERITAGE CAPITAL GROUP, INC.
HERNDON PLANT OAKLEY, LTD.
HEWITT FINANCIAL SERVICES LLC
HIGH POINT CAPITAL GROUP, INC.
HIGHLAND FINANCIAL, LTD.
HIGHLANDER CAPITAL GROUP, INC.
HIGHTOWER SECURITIES, LLC
HOLLOWAY & ASSOCIATES, INC.
HORAN SECURITIES, INC.
HORIZON FINANCIAL INVESTMENT CORPORATION
HORNOR, TOWNSEND & KENT, INC.
HP SECURITIES, INC.
HSBC SECURITIES (USA) INC.
HUCKIN FINANCIAL GROUP, INC.
HUDSON HERITAGE CAPITAL MANAGEMENT, INC.
HUNTER ASSOCIATES, INC.
HUNTER SCOTT FINANCIAL , LLC
HUNTLEIGH SECURITIES CORPORATION
HYUNDAI SECURITIES (AMERICA) INC.
IBN FINANCIAL SERVICES, INC.
ICMA RC SERVICES INC
IFS SECURITIES
IMS SECURITIES, INC.
INDEPENDENCE CAPITAL CO., INC.
INDEPENDENT FINANCIAL GROUP, LLC
INDIANA MERCHANT BANKING AND BROKERAGE
INDIANA SECURITIES LLC

INFINITY FINANCIAL SERVICES
ING INVESTMENT ADVISORS, LLC
INGALLS & SNYDER, LLC
INNOVATION PARTNERS LLC
INSIGHT SECURITIES, INC
INSTITUTIONAL SECURITIES CORPORATION
INTEGRAL FINANCIAL LLC
INTEGRATED FINANCIAL PLANNING SERVICES
INTEGRATED TRADING AND INVESTMENTS, INC.
INTEGRITY BROKERAGE SERVICES, INC.
INTERCAROLINA FINANCIAL SERVICES, INC.
INTERNATIONAL ASSETS ADVISORY, LLC
INTERNATIONAL MONEY MANAGEMENT GROUP,
INTERNATIONAL RESEARCH SECURITIES, INC.
INTERPACIFIC INVESTORS SERVICES, INC.
INTERRA CLEARING SERVICES INC
INTERVEST INTERNATIONAL EQUITIES
INVERNESS SECURITIES, LLC
INVESTACORP, INC.
INVESTMENT ARCHITECTS, INC.
INVESTMENT NETWORK, INC.
INVESTMENT PERSPECTIVES SECURITIES, LTD.
INVESTMENT PLACEMENT GROUP
INVESTMENT PLANNERS, INC.
INVESTMENT PROFESSIONALS, INC.
INVESTMENT SECURITY CORPORATION
INVESTMENTS BY PLANNERS, INC.
INVESTMENTS FOR YOU, INC.
INVESTORS BROKERAGE OF TEXAS, LTD.
INVESTORS CAPITAL CORP.
INVESTORS PLANNING SERVICES, CORP
INVESTORS PROPERTIES, INC.
ISAAK BOND INVESTMENTS, INC.
J J B HILLIARD
J R M SECURITIES
J. ALDEN ASSOCIATES, INC.
J. D. SEIBERT & COMPANY, INC.
J. J. & M. GELDZAHLER
J.A. GLYNN INVESTMENTS, LLC.
J.D. NICHOLAS & ASSOCIATES, INC.
J.H. DARBIE & CO., INC.
J.K. FINANCIAL SERVICES, INC.
J.P. MORGAN SECURITIES LLC
J.P. MORGAN SECURITIES LLC
J.P. TURNER & COMPANY, L.L.C.
J.W. COLE FINANCIAL, INC.
JACK V. BUTTERFIELD INVESTMENT COMPANY
JACKSON & SMITH INVESTMENT SECURITIES, LLC
JACQUES FINANCIAL, LLC
JAMES FOX SECURITIES, INC.
JAMES I. BLACK & COMPANY

JAMES T. BORELLO & CO.
JAMES W HUMBARD
JANNEY MONTGOMERY SCOTT LLC
JBS LIBERTY SECURITIES, INC.
JDL SECURITIES CORPORATION
JEFFERIES LLC
JETTRADE, INC.
JHS CAPITAL ADVISORS INC
JOHN HANCOCK FUNDS INC
JOHN JAMES INVESTMENTS LTD
JOHNSON SECURITIES, INC.
JOHNSTON, LEMON & CO. INCORPORATED
JOSEPH GUNNAR & CO. LLC
JRL CAPITAL CORPORATION
K. W. CHAMBERS & CO.
KAISER AND COMPANY
KALOS CAPITAL, INC.
KASHNER DAVIDSON SECURITIES CORPORATION
KCD FINANCIAL, INC.
KCG SECURITIES, LLC
KEELEY INVESTMENT CORP
KENNETH, JEROME & CO.,INC.
KENSINGTON CAPITAL CORP.
KERCHEVILLE & COMPANY, INC
KEVIN HART KORNFIELD & COMPANY, INC.
KEY INVESTMENT SERVICES LLC
KEY WEST INVESTMENTS, LLC
KEYBANC CAPITAL MARKETS INC.
KEYSTONE CAPITAL CORPORATION
KINETICS FUNDS DISTRIBUTORS, INC
KMS FINANCIAL SERVICES, INC.
KOONCE SECURITIES, INC.
KOVACK SECURITIES INC.
KOVITZ SECURITIES, LLC
KUYKENDALL & SCHNEIDER, INC.
KW SECURITIES CORPORATION
L & M FINANCIAL SERVICES INC
L. B. FISHER & COMPANY
L.M. KOHN & COMPANY
L.O. THOMAS & CO. INC.
LABRUNERIE FINANCIAL SERVICES, INC.
LADENBURG THALMANN & CO. INC.
LAIDLAW & COMPANY (UK) LTD
LANDAAS & COMPANY
LANDOLT SECURITIES, INC.
LANTERN INVESTMENTS, INC.
LARA, MAY & ASSOCIATES, LLC
LARADORBECKER SECURITIES CORPORATION
LARIMER CAPITAL CORPORATION
LARSON FINANCIAL SECURITIES, LLC
LASALLE ST SECURITIES, L.L.C

LAWSON FINANCIAL CORPORATION
LAZARD CAPITAL MARKETS LLC
LAZARD FRERES & CO. LLC
LEBENTHAL & CO., LLC
LEERINK PARTNERS LLC
LEGACY ASSET SECURITIES, INC.
LEGEND EQUITIES CORPORATION
LEGEND SECURITIES, INC.
LEHMAN BROTHERS INC
LEIGH BALDWIN & CO., LLC
LENOX FINANCIAL SERVICES, INC.
LEONARD SECURITIES, INC
LESKO SECURITIES INC
LEUMI INVESTMENT SERVICES INC.
LEWIS FINANCIAL GROUP, L.C.
LEXINGTON INVESTMENT COMPANY, INC.
LIBERTY CAPITAL INVESTMENT CORPORATION
LIBERTY GROUP, LLC
LIBERTY PARTNERS FINANCIAL SERVICES, LLC
LIEBLONG & ASSOCIATES, INC.
LIFEMARK SECURITIES CORP.
LINCOLN DOUGLAS INVESTMENTS, LLC
LINCOLN FINANCIAL ADVISORS CORPORATION
LINCOLN FINANCIAL SECURITIES CORPORATION
LINCOLN INVESTMENT PLANNING, INC.
LION STREET FINANCIAL,LLC
LOCKTON FINANCIAL ADVISORS, LLC
LOMBARD SECURITIES INCORPORATED
LONG ISLAND FINANCIAL GROUP, INC.
LORIA FINANCIAL GROUP, LLC
LORING WARD SECURITIES INC.
LOWELL & COMPANY, INC.
LOYAL3 SECURITIES INC.
LPL FINANCIAL CORPORATION
LUCIA SECURITIES, LLC
LUCIEN, STIRLING & GRAY FINANCIAL
M HOLDINGS SECURITIES, INC.
M. E. ALLISON & CO., INC.
M. GRIFFITH INVESTMENT SERVICES, INC.
M. H. LEBLANG, INC.
M. ZUCKER, INC
MACK INVESTMENT SECURITIES, INC.
MADISON AVENUE SECURITIES, INC.
MAINE SECURITIES CORPORATION
MAITLAND SECURITIES, INC.
MANARIN SECURITIES CORPORATION
MANNA CAPITAL MANAGEMENT
MAPLEWOOD INVESTMENT ADVISORS, INC.
MARC J. LANE & COMPANY
MARSCO INVESTMENT CORPORATION
MARTIN NELSON & CO., INC.

MASON SECURITIES, INC.
MATRIX CAPITAL GROUP, INC.
MAXIM GROUP LLC
MAXWELL SIMON, INC
MAYHILL AGENCY, LLC
MBSC SECURITIES CORPORATION
MCADAMS WRIGHT RAGEN, INC
MCCLURG CAPITAL CORPORATION
MCCOURTNEY-BRECKENRIDGE & COMPANY
MCCRACKEN ADVISORY PARTNERS CORPORATION
MCDERMOTT INVESTMENT SERVICES, LLC
MCDONALD PARTNERS LLC
MCDUFFIE/MORRIS FINANCIAL GROUP, INC.
MCG SECURITIES LLC
MCLAUGHLIN RYDER INVESTMENTS, INC.
MCNALLY FINANCIAL SERVICES CORPORATION
MEANS INVESTMENT CO., INC
MERCAP SECURITIES, LLC
MERCER ALLIED COMPANY, L.P.
MERIDIEN FINANCIAL GROUP, INC.
MERITUS FINANCIAL GROUP, INC
MERRILL LYNCH PIERCE
MERRIMAC CORPORATE SECURITIES, INC.
MESIROW FINANCIAL, INC.
METLIFE SECURITIES INC.
MEYERS ASSOCIATES, L.P.
MFS FUND DISTRIBUTORS, INC
MGO SECURITIES CORP.
MHA FINANCIAL CORP
MICHIGAN SECURITIES, INC.
MID ATLANTIC CAPITAL CORPORATION
MIDAMERICA FINANCIAL SERVICES, INC.
MID-ATLANTIC SECURITIES, INC.
MIDDLEGATE SECURITIES LTD.
MIDWESTERN SECURITIES TRADING COMPANY,
MINISTRY PARTNERS SECURITIES, LLC
MINSHALL & COMPANY INC.
MITSUBISHI UFJ MORGAN STANLEY SECURITIES
MIZUHO INVESTORS SECURITIES
MMC SECURITIES CORP.
MML DISTRIBUTORS, LLC
MML INVESTORS SERVICES, LLC
MOLONEY SECURITIES CO., INC.
MONARCH CAPITAL GROUP, LLC
MONETA SECURITIES CORPORATION
MONEY CONCEPTS CAPITAL CORP
MONEY MANAGEMENT ADVISORY, INC.
MONTAGE SECURITIES, LLC
MOORS & CABOT, INC.
MORGAN KEEGAN & CO INC
MORGAN STANLEY SMITH BARNEY LLC

MORGAN WILSHIRE SECURITIES, INC.
MORRIS GROUP, INC.
MORTON SEIDEL & COMPANY, INC.
MOUNTAIN RIVER SECURITIES
MSC - BD, LLC
MSCS FINANCIAL SERVICES LLC
MULTI-BANK SECURITIES, INC.
MULTIPLE FINANCIAL SERVICES, INC.
MUNICIPAL CAPITAL MARKETS GROUP, INC.
MURPHY & DURIEU
MUTUAL FUNDS ASSOCIATES INC.
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
MUTUAL SECURITIES, INC.
MUTUAL TRUST CO. OF AMERICA SECURITIES
MV SECURITIES GROUP, INC.
MWA FINANCIAL SERVICES INC.
N.I.S. FINANCIAL SERVICES, INC.
NANCY BARRON & ASSOCIATES, INC.
NATIONAL ALLIANCE SECURITIES, LLC
NATIONAL PENSION & GROUP CONSULTANTS,
NATIONAL PLANNING CORPORATION
NATIONAL SECURITIES CORPORATION
NATIONS FINANCIAL GROUP, INC.
NATIONWIDE INVESTMENT SERVICES
NATIONWIDE PLANNING ASSOCIATES INC.
NATIONWIDE SECURITIES, LLC
NEIDIGER, TUCKER, BRUNER, INC.
NELNET CAPITAL LLC
NELSON IVEST BROKERAGE SERVICES, INC.
NELSON SECURITIES,INC.
NESTLERODE & LOY, INC.
NETHERLAND SECURITIES, INC.
NETWORK 1 FINANCIAL SECURITIES INC.
NEUBERGER BERMAN LLC
NEW ENGLAND SECURITIES CORPORATION
NEW HORIZONS ASSET MANAGEMENT GROUP, LLC
NEWBRIDGE SECURITIES CORPORATION
NEWPORT COAST SECURITIES, INC.
NEWPORT GROUP SECURITIES, INC.
NEXT FINANCIAL GROUP, INC.
NFP ADVISOR SERVICES, LLC
NGC FINANCIAL, LLC
NI ADVISORS
NIA SECURITIES, L.L.C.
NIAGARA INTERNATIONAL CAPITAL LIMITED
NICOL INVESTORS CORPORATION
NMS FINANCIAL SERVICES, LLC
NOBLE FINANCIAL CAPITAL MARKETS
NORTH NASSAU ADVISORS, LLC
NORTH RIDGE SECURITIES CORP.
NORTH STAR INVESTMENT SERVICES, INC.

NORTH WOODWARD FINANCIAL CORP.
NORTHEAST SECURITIES, INC.
NORTHERN CAPITAL SECURITIES CORPORATION
NORTHERN LIGHTS DISTRIBUTORS, LLC
NORTHERN SECURITIES, INC.
NORTHLAND SECURITIES, INC.
NORTHWEST INVESTMENT ADVISORS, INC.
NORTHWESTERN MUTUAL INVESTMENT SERVICES,
NPB FINANCIAL GROUP, LLC
NYLIFE DISTRIBUTORS LLC
NYLIFE SECURITIES LLC
O N EQUITY SALES CORP
OAK GROVE INVESTMENT SERVICES, INC.
OAK TREE SECURITIES, INC.
OAKBRIDGE FINANCIAL SERVICES, INC.
OBERWEIS SECURITIES, INC.
OFG FINANCIAL SERVICES, INC.
OHANESIAN / LECOURS, INC.
OLMSTED & MULHALL, INC.
OMEGA SECURITIES, INC.
OMNI FINANCIAL SECURITIES, INC.
ONEAMERICA SECURITIES, INC.
ONEIDA WEALTH MANAGEMENT, INC.
OPPENHEIMER & CO. INC.
OPTIONSXPRESS, INC.
ORIENTAL FINANCIAL SERVICES CORP.
OSCAR GRUSS & SON INCORPORATED
PACIFIC FINANCIAL ASSOCIATES, INC.
PACKERLAND BROKERAGE SERVICES, INC.
PAINTER, SMITH AND AMBERG INC.
PARADIGM EQUITIES, INC.
PARK AVENUE SECURITIES LLC
PARK CITY CAPITAL, INC.
PARKLAND SECURITIES, LLC
PARSONEX SECURITIES, INC.
PAULSON INVESTMENT COMPANY, INC.
PEACHTREE CAPITAL CORPORATION
PEAK BROKERAGE SERVICES, LLC
PENATES GROUP, INC.
PENROD FINANCIAL SERVICES, INC.
PENSION SERVICE ASSOCIATES SECURITIES
PENTEGRA DISTRIBUTORS INC.
PEOPLE'S SECURITIES, INC.
PERKINS, SMART & BOYD, INC.
PERRYMAN SECURITIES, INC.
PERSHING LLC
PETERSEN INVESTMENTS, INC.
PFA SECURITY ASSET MANAGEMENT, INC.
PFLUEGER & BAERWALD INC.
PFS INVESTMENTS INC.
PHILADELPHIA INVESTORS, LTD.

PHILIP J. GREENBLATT SECURITIES LTD
PHILLIPS & COMPANY SECURITIES INC.
PHX FINANCIAL, INC.
PINNACLE EQUITY MANAGEMENT, INC.
PINNACLE INVESTMENTS, LLC
PIPER JAFFRAY & CO.
PLAN B INVESTMENTS, INC.
PLAN PROFESSIONALS LIMITED
PLANMEMBER SECURITIES CORPORATION
PLANNED FINANCIAL PROGRAMS, INC.
PLANNED INVESTMENT CO., INC.
PLANNERS FINANCIAL SERVICES, INC.
PNC CAPITAL MARKETS LLC
PNC INVESTMENTS LLC
PODESTA & CO.
POLAR INVESTMENT COUNSEL, INC.
PORT SECURITIES, INC.
PORTFOLIO ADVISORS ALLIANCE, INC.
PORTFOLIO BROKERAGE SERVICES, INC.
PORTFOLIO RESOURCES GROUP, INC.
PORTSMOUTH FINANCIAL SERVICES
PPI EMPLOYEE BENEFITS
PREFERRED CLIENT GROUP, INC.
PREMIER SECURITIES OF AMERICA, INC.
PRESIDENTIAL BROKERAGE, INC.
PRIMESOLUTIONS SECURITIES, INC.
PRIMEX
PRINCOR FINANCIAL SERVICES INC
PRIVATE CLIENT SERVICES, LLC
PRIVATE PORTFOLIO, INC.
PROEQUITIES, INC.
PROF BROKER-DEALER FINANCIAL PLANNING,
PROFESSIONAL TRADING SERVICES BROKERAGE,
PROFINANCIAL, INC.
PROSPERA FINANCIAL SERVICES, INC.
PROTECTED INVESTORS OF AMERICA
PROVIDENT PRIVATE CAPITAL PARTNERS, INC.
PRUCO SECURITIES, LLC.
PRUDENTIAL RETIREMENT
PSA EQUITIES, INC.
PTI SECURITIES & FUTURES L.P.
PUPLAVA SECURITIES, INC.
PURSHE KAPLAN STERLING INVESTMENTS, INC.
PWA SECURITIES, INC.
PYRAMID FUNDS CORPORATION
QUAYLE & CO SECURITIES
QUEENS ROAD SECURITIES, LLC
QUEST CAPITAL STRATEGIES, INC.
QUEST SECURITIES, INC.
QUESTAR CAPITAL CORPORATION
QUINCY CASS ASSOCIATES, INCORPORATED

R & R PLANNING GROUP LTD
R. SEELAUS & CO.,INC.
R.M. DUNCAN SECURITIES, INC.
R.M. STARK & CO., INC.
RAFFERTY CAPITAL MARKETS INC
RAMIREZ & CO INC
RAPHAEL ARYEH
RAYMOND JAMES & ASSOCIATES, INC.
RAYMOND JAMES (USA) LTD.
RAYMOND JAMES FINANCIAL SERVICES, INC.
RBC CAPITAL MARKETS CORP
RD CAPITAL GROUP, INC.
RDM INVESTMENT SERVICES, INC.
RED CAPITAL MARKETS INC
REDWINE & COMPANY, INC.
REGAL SECURITIES, INC.
REGIONAL INVESTMENT SERVICES, INC.
REGISTER FINANCIAL ASSOCIATES, INC.
REGULUS ADVISORS, LLC
RELIANCE WORLDWIDE INVESTMENTS, LLC
RENSSELAER SECURITIES CORP.
REPEX & CO., INC.
RESOURCE HORIZONS GROUP LLC
RETIREMENT PLANNING, INC.
REVERE SECURITIES LLC
RHODES SECURITIES, INC.
RICE PONTES CAPITAL, INC.
RICHARDS, MERRILL & PETERSON, INC.
RICHFIELD ORION INTERNATIONAL, INC.
RIDGEWAY & CONGER, INC.
RIEDL FIRST SECURITIES COMPANY OF KANSAS
RIM SECURITIES LLC
RJJ PASADENA SECURITIES, INC.
RNR SECURITIES, L.L.C.
ROBERT R. MEREDITH & CO., INC.
ROBERT W. BAIRD & CO. INCORPORATED
ROBERTS & RYAN INVESTMENTS INC.
ROBINSON & LUKENS, INC.
ROBINSON & ROBINSON, INC.
ROCKWELL GLOBAL CAPITAL LLC
RODGERS BROTHERS, INC.
ROGAN & ASSOCIATES, INC.
ROMANO BROTHERS AND COMPANY
ROOSEVELT & CROSS, INCORPORATED
ROOSEVELT EQUITY CORPORATION
ROSS SECURITIES CORPORATION
ROSS, SINCLAIRE & ASSOCIATES, LLC
ROTH CAPITAL PARTNERS, LLC
ROTHMAN SECURITIES, INC.
ROTHSCHILD INVESTMENT CORPORATION
ROYAL ALLIANCE ASSOCIATES, INC.

ROYAL SECURITIES COMPANY
RYAN FINANCIAL, INC.
S.G. LONG & COMPANY
S.L. REED & COMPANY
SAFEGUARD SECURITIES, INC.
SAGE, RUTTY & CO., INC.
SAGEPOINT FINANCIAL INC
SAMCO CAPITAL MARKETS, INC.
SANCTUARY SECURITIES, LLC
SANDERS MORRIS HARRIS INC.
SANDLAPPER SECURITIES, LLC
SANTANDER SECURITIES LLC
SAPERSTON ASSET MANAGEMENT, INC.
SATURNA BROKERAGE SERVICES, INC
SAXONY SECURITIES, INC.
SCF SECURITIES, INC.
SCH ENTERPRISES, INC.
SCHLITT INVESTOR SERVICES, INC.
SCOTT JAMES GROUP, INC.
SCOTT T. TAYLOR, LTD.
SCOTTRADE, INC.
SCOTTSDALE CAPITAL ADVISORS CORP
SDDCO BROKERAGE ADVISORS LLC
SEARLE & CO.
SECU BROKERAGE SERVICES, INC.
SECURE PLANNING, INC.
SECUREVEST FINANCIAL GROUP
SECURIAN FINANCIAL SERVICES, INC.
SECURITIES AMERICA, INC.
SECURITIES CAPITAL CORPORATION
SECURITIES EQUITY GROUP
SECURITIES MANAGEMENT AND RESEARCH, INC.
SECURITIES RESEARCH, INC.
SECURITIES SERVICE NETWORK, INC.
SEI INVESTMENTS DISTRIBUTION CO.
SEI TRUST
SELKIRK INVESTMENTS, INC.
SENATE SECURITIES
SENTINEL SECURITIES, INC.
SFA FINANCIAL, LLC
SHAREHOLDERS SERVICE GROUP, INC.
SHAREMASTER
SHEARSON FINANCIAL SERVICES, LLC
SIGMA FINANCIAL CORPORATION
SIGNAL SECURITIES, INC.
SIGNATOR FINANCIAL SERVICES, INC.
SIGNATOR INVESTORS, INC.
SIGNATURE SECURITIES GROUP CORPORATION
SII INVESTMENTS, INC.
SILBER BENNETT FINANCIAL, INC.
SILICON VALLEY SECURITIES, INC.

SILVER OAK SECURITIES, INCORPORATED
SISUNG SECURITIES CORPORATION
SKA SECURITIES, INC.
SLAVIC INVESTMENT CORPORATION
SMBC FRIEND SECURITIES CO. LTD
SMC FINANCIAL, INC.
SMITH HAYES FINANCIAL SERVICES
SMITH, BROWN & GROOVER, INC.
SMITH, MOORE & CO.
SNC CAPITAL MANAGEMENT CORP.
SNOWDEN ACCOUNT SERVICES, INC.
SOCIETE GENERALE AMERICAS SECS
SOMERSET SECURITIES, INC.
SORRENTO PACIFIC FINANCIAL, LLC
SORSBY FINANCIAL CORP.
SOURCE CAPITAL GROUP, INC.
SOUTHEAST INVESTMENTS, N.C., INC.
SOUTHERN PACIFIC SECURITIES, INC.
SOUTHERN TRUST SECURITIES, INC.
SOUTHWEST SECURITIES, INC.
SOVEREIGN LEGACY SECURITIES, INC.
SPENCER EDWARDS, INC.
SPENCER-WINSTON SECURITIES CORPORATION
SPIRE SECURITIES, LLC
SPROTT GLOBAL RESOURCE INVESTMENTS
ST. BERNARD FINANCIAL SERVICES, INC.
ST. GERMAIN SECURITIES, INC.
STACEY BRAUN FINANCIAL SERVICES, INC.
STANCORP EQUITIES, INC.
STANDARD INVESTMENT CHARTERED
STANNARD FINANCIAL SERVICES, LLC
STATETRUST INVESTMENTS INC.
STEELPOINT SECURITIES, LLC
STEPHEN A. KOHN & ASSOCIATES, LTD.
STEPHENS INC
STERLING MONROE SECURITIES, LLC
STERN FISHER EDWARDS INC
STERNE AGEE FINANCIAL SERVICES
STERNE, AGEE & LEACH, INC.
STIFEL, NICOLAUS & COMPANY, INCORPORATED
STOCKCROSS FINANCIAL SERVICES, INC.
STONEWALL INVESTMENTS, INC.
SUCCESS TRADE SECURITIES, INC.
SUMMIT BROKERAGE SERVICES, INC.
SUMMIT EQUITIES, INC.
SUNBELT SECURITIES, INC.
SUN'S BROTHERS SECURITIES INC.
SUNSET FINANCIAL SERVICES, INC.
SUNSTREET SECURITIES, LLC
SUNTRUST INVESTMENT SERVICES, INC.
SUPERIOR FINANCIAL SERVICES, INC.

SWARTWOOD, HESSE INC.
SWBC INVESTMENT SERVICES, LLC
SWENEY CARTWRIGHT & COMPANY
SWS FINANCIAL SERVICES, INC.
SYCAMORE FINANCIAL GROUP
SYKES FINANCIAL SERVICES LLC
SYMPHONIC SECURITIES LLC
SYNDICATED CAPITAL, INC.
SYNOVUS SECURITIES, INC.
T.R. WINSTON & COMPANY, LLC
T.S. PHILLIPS INVESTMENTS, INC.
TAG SECURITIES, INC.
TANDEM SECURITIES, INC.
TAYLOR CAPITAL MANAGEMENT INC
TCADVISORS NETWORK INC.
TCFG WEALTH MANAGEMENT, LLC
TD AMERITRADE CLEARING, INC.
TECKMEYER FINANCIAL SERVICES, L.L.C.
TFS SECURITIES, INC.
THE BAKER GROUP, LP
THE CAPITAL GROUP SECURITIES, INC.
THE GARBACZ GROUP INC.
THE GMS GROUP, LLC
THE HUNTINGTON INVESTMENT COMPANY
THE INVESTMENT CENTER, INC.
THE JEFFREY MATTHEWS FINANCIAL GROUP,
THE KELT GROUP, LLC
THE LEADERS GROUP, INC.
THE LOGAN GROUP SECURITIES
THE OAK RIDGE FINANCIAL SERVICES GROUP,
THE SECURITIES CENTER, INC.
THE STRATEGIC FINANCIAL ALLIANCE, INC.
THE TAVENNER COMPANY
THE WINDMILL GROUP, INC.
THE WINNING EDGE FINANCIAL GROUP, INC.
THOMPSON DAVIS & CO., INC.
THORNHILL SECURITIES, INC.
THORNTON FARISH INC.
THOROUGHBRED FINANCIAL SERVICES, LLC
THRIVENT INVESTMENT MANAGEMENT INC.
THURSTON, SPRINGER, MILLER, HERD & TITAK
TIAA-CREF INDIVIDUAL & INSTITUTIONAL
TIMECAPITAL SECURITIES CORPORATION
TITAN SECURITIES
TLS FINANCIAL SERVICES, INC.
TOCQUEVILLE SECURITIES L.P.
TOUCHSTONE SECURITIES, INC.
TRADE MANAGE CAPITAL, INC.
TRADE-PMR INC.
TRADERFIELD SECURITIES INC.
TRADESTATION SECURITIES, INC.

TRADITION ASIEL SECURITIES INC.
TRANSAM SECURITIES, INC.
TRANSAMERICA FINANCIAL ADVISORS, INC
TREVOR, COLE, REID, & MONROE, INC.
TRG ADVISORS, INC.
TRIAD ADVISORS, INC.
TRICOR FINANCIAL, LLC
TRIDENT PARTNERS LTD.
TRUBEE, COLLINS & CO., INC.
TRUSTCORE INVESTMENTS, INC.
TRUSTFIRST INC.
TRUSTMONT FINANCIAL GROUP, INC.
U. S. BOSTON CAPITAL CORPORATION
U.S. BROKERAGE, INC.
U.S. INVESTORS, INC.
UBS FINANCIAL SERVICES INC.
UBS SECURITIES LLC
UHLMANN PRICE SECURITIES, LLC
UMB FINANCIAL SERVICES, INC.
UMPQUA INVESTMENTS, INC.
UNIFIED FINANCIAL SECURITIES, INC.
UNION CAPITAL COMPANY
UNIONBANC INVESTMENT SERVICES, LLC
UNITED BROKERAGE SERVICES, INC
UNITED PLANNERS' FINANCIAL SERVICES OF
UNIVEST INVESTMENTS, INC
UNIVEST SECURITIES, INC.
UPROMISE INVESTMENTS, INC.
USA FINANCIAL SECURITIES CORPORATION
USAA INVESTMENT MANAGEMENT COMPANY
USCA SECURITIES LLC
USI SECURITIES, INC.
V. M. MANNING & CO., INC.
VALIC FINANCIAL ADVISORS, INC.
VALLEY NATIONAL INVESTMENTS, INC.
VALMARK SECURITIES, INC.
VALOR FINANCIAL SECURITIES LLC
VANDERBILT SECURITIES, LLC
VANGUARD CAPITAL
VANGUARD MARKETING CORPORATION
VARIABLE INVESTMENT ADVISORS, INC.
VAUGHAN AND COMPANY SECURITIES, INC.
VBC SECURITIES, LLC
VECTORGLOBAL WMG
VERITAS INDEPENTDENT PARTNERS, LLC
VERITY INVESTMENTS, INC.
VESTECH SECURITIES, INC.
VESTOR CAPITAL SECURITIES, LLC
VFINANCE INVESTMENTS, INC
VIEWTRADE SECURITIES, INC.
VINING SPARKS IBG LIMITED

VISION BROKERAGE SERVICES LLC
VISION FINANCIAL MARKETS LLC
VISUN SECURITIES CORPORATION
VORPAHL WING SECURITIES
VOYA FINANCIAL ADVISORS, INC
VOYA FINANCIAL PARTNERS, LLC
VSR FINANCIAL SERVICES, INC.
W H COLSON SECURITIES
W&S BROKERAGE SERVICES, INC
W.R. HAMBRECHT + CO., LLC
WADDELL & REED, INC.
WADSWORTH INVESTMENT CO., INC.
WALL STREET FINANCIAL GROUP, INC.
WALL STREET STRATEGIES, INC.
WARD'S FINANCIAL SERVICES, LTD.
WARNER FINANCIAL INTERNATIONAL
WASHINGTON SECURITIES CORPORATION
WAVELAND CAPITAL PARTNERS LLC
WAYNE HUMMER INVESTMENTS L.L.C.
WBB SECURITIES, LLC
WEALTHSTONE EQUITIES, INC.
WEDBUSH SECURITIES INC.
WEITZEL FINANCIAL SERVICES, INC.
WELLER, ANDERSON & CO., LTD.
WELLFLEET INVESTMENTS LLC
WELLINGTON SHIELDS & CO., LLC
WELLS FARGO SECURITIES LLC
WESBANCO SECURITIES, INC.
WESCOM FINANCIAL SERVICES
WESTCHESTER CAPITAL PLANNING, INC.
WESTCO INVESTMENT CORP.
WESTERN EQUITY GROUP, INC.
WESTERN FINANCIAL CORPORATION
WESTERN GROWERS FINANCIAL SERVICES, INC.
WESTERN INTERNATIONAL SECURITIES, INC.
WESTFIELD INVESTMENT GROUP, INC.
WESTMINSTER FINANCIAL SECURITIES, INC.
WESTON SECURITIES CORPORATION
WESTPARK CAPITAL, INC.
WESTPORT CAPITAL MARKETS, LLC
WESTPORT RESOURCES INVESTMENT SERVICES,
WESTROCK CAPITAL MANAGEMENT, INC.
WFG INVESTMENTS, INC.
WHEELHOUSE SECURITIES CORPORATION
WHITE MOUNTAIN CAPITAL, LLC
WHITE, WELD & CO. SECURITIES, LLC
WHITEHALL-PARKER SECURITIES, INC.
WHITEWOOD GROUP, INC
WIC CORP.
WILBANKS SECURITIES, INC.
WILEY BROS.-AINTREE CAPITAL, LLC

WILLIAM BLAIR & COMPANY L.L.C.
WILLIAM C. BURNSIDE & COMPANY, INC.
WILLOW COVE INVESTMENT GROUP, INC.
WILMINGTON CAPITAL SECURITIES, LLC
WILMINGTON TR RET AND INST SVC CO
WILSON STEPHENSON INCORPORATED
WILSON-DAVIS & CO., INC.
WINDHAM FINANCIAL SERVICES, INC.
WINSLOW, EVANS & CROCKER, INC.
WISCONSIN DISCOUNT SECURITIES
WOLF A. POPPER, INC.
WOOD (ARTHUR W.) COMPANY, INC.
WOODBURY FINANCIAL SERVICES, INC.
WOODLANDS SECURITIES CORPORATION
WOODMEN FINANCIAL SERVICES, INC.
WOODSTOCK FINANCIAL GROUP, INC.
WORLD CAPITAL BROKERAGE, INC.
WORLD CHOICE SECURITIES, INC.
WORLD EQUITY GROUP, INC.
WORLD TRADE FINANCIAL CORPORATION
WORLD TREND FINANCIAL PLANNING SERVICES,
WORTH FINANCIAL GROUP INC.
WRP INVESTMENTS, INC.
WULFF, HANSEN & CO.
WUNDERLICH SECURITIES, INC.
WWK INVESTMENTS, INC.
YORK SECURITIES, INC.
ZEUS SECURITIES, INC.
ZIONS DIRECT, INC.
ZIV INVESTMENT COMPANY

  As Of               Filer                 Filing    For·On·As Docs:Size             Issuer                      Filing Agent

 2/26/24  Putnam Conv Securities Fund       485BPOS     2/29/24   28:6.2M                                   McMunn Assocs Inc./FA
 2/28/23  Putnam Conv Securities Fund       485BPOS     2/28/23   22:4.9M                                   McMunn Assocs Inc./FA
 2/23/22  Putnam Conv Securities Fund       485BPOS     2/28/22   26:5.4M                                   McMunn Assocs Inc./FA
 2/26/21  Putnam Conv Securities Fund       485BPOS     2/28/21   23:4.1M                                   McMunn Assocs Inc./FA
 2/26/21  Putnam Conv Securities Fund       485BPOS     2/28/21   23:4.7M                                   McMunn Assocs Inc./FA