Important Notice National Securities Clearing Corporation
A#:
8352
P&S #:
7927
Date:
03/17/2017
To:
From:
ALL PARTICIPANTS OPERATIONS PARTNER/OFFICER; MANAGER P&S DEPARTMENT; CASHIER; ACATS PARTICIPANTS; FUND/SERV PARTICIPANTS; MUNICIPAL BOND COMPARISON PARTICIPANTS ACCOUNT ADMINISTRATION
Subject:
CHANGES IN THE LIST OF PARTICIPANTS
Attention:
Effective with the opening of business on March 21, 2017, Schroder Fund Advisors, LLC will change its primary account number from 4956 to 4853. As a result, the following account changes will occur:
The following firm will retire from all services, as detailed below: Last Trade Date, March 20, 2017: Schroder Fund Advisors, LLC
No.
4956
The following firm will change its name, as detailed below: First Trade Date, March 21, 2017: From: Schroder Fund ADVISORS LLC/Schroder Fund Advisors International Division To: Schroder Fund Advisors, LLC
No. No.
4853 4853
The following firms will retire from all services, as detailed below: Last Trade Date, March 14, 2017: Northern Lights Distributors LLC/Adaptive Allocation Fund Northern Lights Distributors, LLC/Breithorn Long/Short Fund
No. No.
6694 3167
Last Trade Date, March 15, 2017: Realty Capital Securities, LLC Realty Capital Securities, LLC Realty Capital Securities, LLC Realty Capital Securities, LLC State Street Bank & Trust Company/Xerox/Boeing Voluntary Investment Plan
No. No. No. No. No.
3833 1053 1046 1042 8046
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Non-Confidential
Last Trade Date, March 16, 2017: The Bank of New York Mellon/RRZ Public Markets, Inc. MUNI Alpha Identifier: The Bank of New York Mellon/South Trust Bank of Alabama MUNI Alpha Identifier:
No. 6033 RRZP No. 6523 SALA
Last Trade Date, March 17, 2017: Northern Lights Distributors, LLC/Global Opportunities Capital Appreciation Fund
No.
The following firms will no longer participate in the MF – Profile service, as detailed below: Last Trade Date, March 16, 2017: GWFS Equities, Inc./Orchard Trust Company LLC No. 3702
Last Trade Date, March 20, 2017: Unified Financial Securities, LLC/Hirtle Callaghan Trust
No.
6574
No.
0681
No.
0681
The following firm will begin participation in the MF – Profile service, as detailed below: First Trade Date, March 16, 2017: ALPS Distributors Inc./Goehring & Rozencwajg No.
8378
The following firm will change their name only, as detailed below: First Trade Date, March 15, 2017: From: Valic Financial Advisors, Inc./Account 2 To: Valic Financial Advisors, Inc/Valic Retirement Services Co. – VRSCO For 0681
The following firms will begin participation in the Alternative Investment Products service, as detailed below: First Trade Date, March 17, 2017: Wells Fargo Clearing Services, LLC No. 9467 Steadfast Capital Markets Group, LLC No. 7292
First Trade Date, March 21, 2017: Hamilton Point Investments LLC Sealy & Company, LLC SS&C Technologies, Inc
2
3164
No. No. No.
1039 1242 4657
The following Data Services Only member will begin participation in the Insurance Processing service, as detailed below: First Trade Date, March 17, 2016: United Of Omaha Life Insurance Company/Retirement Division No. 1980
The following additional number has been assigned to GWFS Equities, Inc. (#5330) for the purpose of utilizing DTCC Payment aXis service, as detailed below: First Trade Date, March 17, 2017: GWFS Equities, Inc./Great-West Life & Annuity Ins Co - Mutual Fund Payment File No. 1230 Contact: Robin Gugel Phone: (303) 737-4456
The following additional number has been assigned to GWFS Equities, Inc. (#5330) for the purpose of utilizing DTCC Payment aXis service, as detailed below: First Trade Date, March 20, 2017: GWFS Equities, Inc./Great-West Life & Annuity Ins Co of NY Third Party Payments No. 1233 Contact: Robin Gugel Phone: (303) 737-4456
Please update the NSCC Directory dated March 2017 (for OTC Executed-By List and for Municipal Bond Comparison System) as detailed below:
Clearing Broker Identifiers
Executing Broker Identifiers
Alpha
Numeric Alpha
Clearing Broker Change, Effective First Trade Date, March 20, 2017 From: First Ballantyne, LLC To: First Ballantyne, LLC
SALI WSGD
0750 8199
FBLT FBLT
Add First Trade Date, March 16, 2017 Bids Trading LP
MLCO
0161
BTDG
3
Numeric
Please update the NSCC Directory dated March 2017 (for OTC Executed-By List) as detailed below:
Clearing Broker Identifiers
Executing Broker Identifiers
Alpha
Numeric
Alpha
Delete Last Trade Date, March 14, 2017 Electronic Transaction Clearing, Inc.
ETDP
3361
ETCJ
Add First Trade Date, March 16, 2017 Electronic Transaction Clearing, Inc.
ETDP
3361
ETEH
Add First Trade Date, March 20, 2017 Sumridge Partners, LLC
SMRD
0443
PERS
Please update the NSCC Directory dated March 2017 (for Municipal Bond Comparison System) as detailed below:
Clearing Broker Identifiers Alpha Numeric Delete Last Trade Date, March 17, 2017 Newoak Capital Markets LLC Communityamerica Financial Solutions, LLC
NEWO CAFS
0443 0443
If you have any questions regarding this notice, please E-mail
[email protected].
4
Numeric
Executing Broker Identifiers Alpha Numeric PERS PERS