A directory of clearing firms in North America

ABN AMRO Inc.

208 S. LaSalle St.,Chicago, IL 60604 abnamroinc.com (312) 855-7600

Ameritrade Holding Corp.

4211 S. 102nd St., Omaha, NE 68127

amtd.com (800) 237-8692

Arnhold and S. Bleichroeder Inc.

1345 Sixth Ave., New York, NY 10105-4300

asbinc.com (212) 698-3000

Banc of America Securities

9 W. 57th St.,New York, NY 10019

(212) 583-8000

The Bear Stearns Cos. Inc.

383 Madison Ave., New York, NY 10179

bearstearns.com (212) 272-2000

BMO Nesbitt Burns Inc. (Bank of Montreal)

1 First Canadian Place, 54th Floor

Toronto, Ontario M5X 1H3

bmonb.com (416) 359-4000

BNP Paribas Brokerage Services Inc.

(BNP Paribas)

555 Croton Road, Fourth Floor

King of Prussia, PA 19406

bnppbs.com (610) 491-1400

BNY Clearing Services LLC

(The Bank of New York Co. Inc.)

111 E. Kilbourn Ave., Milwaukee, WI 53202

bnyclearing.com (414) 225-4100

BNY ESI & Co. Inc.

(The Bank of New York Co. Inc.)

1633 Broadway, 48th Floor, New York, NY 10019, bnyesi.com (212) 468-7500

Brown Brothers Harriman & Co.

59 Wall St., New York, NY 10005

bbhco.com (212) 483-1818

Canaccord Capital Corp.

P.O. Box 10337, 2200-609 Granville St.

Vancouver, British Columbia V7Y 1H2

canaccord.com (604) 643-7300

Capital Institutional Services Inc.

750 N. St. Paul, Suite 2200, Dallas, TX 75201

capis.com (214) 720-0055

CIBC World Markets Corp.

(Canadian Imperial Bank of Commerce)

One World Financial Center, 200 Liberty St.

New York, NY 10281

cibcwm.com (212) 667-7000

City Securities Corp.

135 N. Pennsylvania St., Suite 2200

Indianapolis, IN 46204

citysecurities.com (317) 634-4400

Commerzbank Capital Markets Corp.

(Commerzbank AG)

1251 Sixth Ave., New York, NY 10020-1104

commerzbank.com (212) 703-4000

Crowell Weedon & Co.

One Wilshire Blvd., Los Angeles, CA 90017

crowellweedon.com (213) 620-1850

Dain Rauscher Corp.

(Royal Bank of Canada)

Dain Rauscher Plaza, 60 S. Sixth St.

Minneapolis, MN 55402-4402

dainrauscher.com (612) 371-2711

Daiwa Securities America Inc.

32 Old Slip, One Financial Square

New York, NY 10005-3538

(212) 612-7000

Datek Online Holdings Corp.

399 Thornall St., Edison, NJ 08837

datek.com (732) 516-8000

Davenport & Co. LLC

901 E. Cary St., 11th Floor, Richmond, VA 23219, davenportllc.com (804) 780-2000

D.A. Davidson & Co.

Davidson Building, 8 Third St.

North Great Falls, MT 59401

dadco.com (406) 727-4200

Dresdner Kleinwort Wasserstein

Securities LLC (Dresdner Bank AG)

75 Wall St., New York, NY 10005

drkw.com (212) 429-2800

E*TRADE Securities Inc.

(E*TRADE Group Inc.)

4500 Bohannon Drive, Menlo Park, CA 94025

etrade.com (212) 888-3775

Fahnestock & Co. Inc.

(Fahnestock-Viner Holdings Inc.)

125 Broad St., New York, NY 10004

fahnestock.com (212) 668-8000

Fechtor Detwiler & Co. Inc.

(Detwiler Mitchell & Co.)

225 Franklin St., 20th Floor, Boston, MA 02110, fechtordetwiler.com (617) 451-0100

Ferris Baker Watts Inc.

1700 Pennsylvania Ave. N.W., Suite 700

Washington, DC 20006

fbw.com (202) 661-9500

Fidelity Brokerage Services LLC

(FMR Corp.)

82 Devonshire St., L17C, Boston, MA 02109

fidelity.com (617) 563-7000

First Albany Corp.

30 S. Pearl St., Albany, NY 12207

firstalbany.com (518) 447-8500

First Allied Securities Inc.

525 B St., 17th Floor, San Diego, CA 92101

firstallied.com (800) 499-5489

First Clearing Corp.

(First Union National Bank)

901 E. Byrd St., Fifth Floor, Richmond, VA 23219, firstclearing.com (800) 727-0304

First Security Investments Inc.

303 Market St., Kingston, PA 18704

firstsecurityinvest.com (570) 287-2663

First Southwest Co.

(First Southwest Holdings Inc.)

1700 Pacific Ave., Suite 500, Dallas, TX 75201

firstsw.com (214) 953-4000

Fiserv Correspondent Services Inc.

(Fiserv Inc.)

1125 17th St., Suite 1700, Denver, CO 80202

fiserv.com (303) 291-5500

Fiserv Securities Inc. (Fiserv Inc.)

2005 Market St., 12th Floor

Philadelphia, PA 19103-3212 fiservsecurities.com (215) 636-3000

Fleet Securities Inc.

(Fleet Boston Financial Corp.)

26 Broadway, New York, NY 10004

usclearing.com (212) 747-1400

The Goldman Sachs Group Inc.

85 Broad St., New York, NY 10004

gs.com (212) 902-1000

Bernard Herold & Co. Inc.

555 Madison Ave., New York, NY 10022

heroldinc.com (212) 371-3950

J.J.B. Hilliard, W.L. Lyons Inc.

(PNC Financial Services Group Inc.)

Hilliard Lyons Center, 501 S. Fourth Ave.

Louisville, KY 40202-2517

hilliard.com (502) 588-8400

Howe Barnes Investments Inc.

135 S. LaSalle St., Suite 1500

Chicago, IL 60603-4398

howebarnes.com (312) 655-3000

Wayne Hummer Investments LLC

300 S. Wacker Drive, Chicago, IL 60606-6607

whummer.com (412) 471-4191

Instinet Clearing Services Inc.

(Instinet Corp.)

875 Third Ave., New York, NY 10022

instinet.com (212) 310-9500

Instinet Corp. (Reuters Group PLC)

3 Times Square, New York, NY 10036

instinet.com (212) 310-9500

Investec Ernst & Co.

(Investec Group Ltd.)

One Battery Park Plaza, New York, NY 10004-1478, investecernst.com (212) 898-6200

Janney Montgomery Scott LLC

(The Penn Mutual Life Insurance Co.)

1801 Market St., Philadelphia, PA 19103

jmsonline.com (215) 665-6000

Jefferies Group Inc.

11100 Santa Monica Blvd., Suite 1100, Los Angeles, CA 90025, jefco.com (310) 445-1199

Josephthal & Co. Inc.

(Fahnestock & Co.)

200 Park Ave., New York, NY 10166

josephthal.com (212) 907-4000

C.L. King and Associates Inc.

9 Elk St., Albany, NY 12207

clking.com (518) 431-3500

Kirkpatrick Pettis

(Mutual of Omaha Insurance Co.)

10250 Regency Circle, Suite 400, Omaha, NE 68114, kirkpatrickpettis.com (402) 397-5777

Emmett A. Larkin Co. Inc.

100 Bush St., 10th Floor, San Francisco, CA 94104, elarkin.com (415) 986-2332

Legg Mason Inc.

100 Light St., Baltimore, MD 21202

leggmason.com (410) 539-0000

Lewco Securities Corp. (J.P. Morgan Chase & Co. and The Bank of New York Co. Inc.)

Harborside Financial Center, 34 Exchange Place

Jersey City, NJ 07311-3988 jpmorganchase.com (201) 524-8000

Lynch Jones & Ryan Inc. (Instinet Corp.)

3 Times Square, 14th Floor, New York,

NY 10036, ljr.com (800) 992-7526

Man Financial Inc.

(E.D. & F. Man Group PLC)

440 S. LaSalle St., 20th Floor, Chicago, IL 60605, mansecurities.com (312) 663-7500

Merrill Lynch & Co. Inc.

World Financial Center, 250 Vesey St., New York, NY 10080, ml.com (212) 449-1000

Mesirow Financial Holdings Inc.

350 N. Clark St., Chicago, IL 60610

mesirowfinancial.com (312) 595-6000

Midwood Securities Inc.

One Battery Park Plaza, New York, NY 10004

(212) 742-9600

Morgan Stanley Dean Witter & Co.

1585 Broadway, New York, NY 10036

morganstanley.com (212) 761-4000

Nathan & Lewis Securities Inc.

260 Madison Ave., New York, NY 10016

nlfs.com (212) 354-8800

Neuberger Berman Inc.

650 Third Ave., New York, NY 10258-3698

nb.com (212) 476-9000

David A. Noyes & Co.

208 S. LaSalle St., Chicago, IL 60604

danoyes.com (312) 782-0400

O’Connor & Co. LLC

175 W. Jackson Blvd., Fourth Floor, Chicago, IL

60604, woconnor.com (312) 604-8000

Online Securities Inc.

(Online Securities Holding Inc.)

13921 Park Center Road, Suite 100

Herndon, VA 20171

onlinesecurities.net (703) 234-1500

Parker/Hunter Inc.

600 Grant St., 31st Floor, Pittsburgh, PA 15219, parkerhunter.com (412) 562-8000

Prudential Securities Inc.

(Prudential Financial Inc.)

One Seaport Plaza, 199 Water St., New York, NY 10292, prufn.com (212) 214-1000

Raymond James Financial Inc.

880 Carillon Parkway, St. Petersburg, FL 33716

rjf.com (727) 573-3800

Refco Securities LLC

(Refco Group Ltd. LLC)

One World Financial Center, 200 Liberty St. New York, NY 10281

refco.com (212) 693-7000

Rock Island Securities Inc.

200 W. Jackson Blvd., Suite 2400, Chicago, IL 60604, rock-island.com (312) 895-2680

Salomon Smith Barney Holdings Inc.

(Citigroup Inc.)

388 Greenwich St., New York, NY 10013

salomonsmithbarney.com (212) 816-6000

ScotiaMcLeod (The Bank of Nova Scotia)

Scotia Plaza, 40 King St. W., Toronto, ON M5W 2X6, scotiacapital.com (416) 863-7411

Scott & Stringfellow Inc. (BB&T Corp.)

Mutual Building, 909 E. Main St.

Richmond, VA 23219

scottstringfellow.com (804) 643-1811

Southwest Securities Group Inc.

1201 Elm St., 35th Floor, Dallas, TX 75270

southwestsecurities.com (214) 859-1800

Spear Leeds & Kellogg LP

(The Goldman Sachs Group Inc.)

120 Broadway, New York, NY 10271

slk.com (212) 433-7000

Spelman & Co. Inc.

(SunAmerica Financial Network Inc.)

2355 Northside Drive, Suite 200

San Diego, CA 92108

sentraspelman.com (619) 640-9090

Sterne Agee & Leach Inc.

800 Shades Creek Parkway, Suite 700 Birmingham, AL 35209

sterneagee.com (205) 949-3500

Stifel Nicolaus & Co. Inc.

One Financial Plaza, 501 N. Broadway, St. Louis, MO 63102, stifel.com (314) 342-2000

J. Streicher & Co. LLC

50 Broad St., Suite 3801, New York, NY 10004, (212) 425-2320

Swiss American Securities Inc.

(Credit Suisse)

12 E. 49th St., New York, NY 10017

sasiny.com (212) 612-8700

TD Waterhouse Group Inc.

(The Toronto-Dominion Bank)

100 Wall St., New York, NY 10005

waterhouse.com (212) 806-3500

UBS PaineWebber Inc. (UBS AG)

1285 Sixth Ave., New York, NY 10019

ubspainewebber.com (212) 713-2000

UBS Warburg LLC (UBS AG)

677 Washington Blvd., Stamford, CT 06901

ubsw.com (203) 719-3000

Unified Financial Securities Inc.

431 N. Pennsylvania St.

Indianapolis, IN 46204

ufsonline.com (317) 917-7002

U.S. Bancorp Piper Jaffray Inc.

(U.S. Bancorp)

800 Nicolett Mall

Minneapolis, MN 55402-7020

piperjaffray.com (612) 303-6000

UST Securities Corp. (U.S. Trust Corp.

and Charles Schwab & Co. Inc.)

525 Washington Blvd., Suite 3320, Jersey City, NJ 07310, ustrust.com (201) 418-8331

Vanguard Capital

4660 La Jolla Village Drive, Suite 100

San Diego, CA 92122

vanguardcapital.com (858) 455-5070

Wachovia Securities Inc.

IJL Financial Center

201 N. Tryon St., Suite 2300

Charlotte, NC 28202

ijlwachovia.com (704) 379-9000

Walker Rose Inc.

Anchorage Center, Second Floor

Grand Cayman, Cayman Islands

walkerrose.com (345) 949-2332

Wallstreet Electronica Inc.

7242 S.W. 42nd Terrace, Miami, FL 33155

wallstreete.com (305) 633-1018

Wedbush Morgan Securities Inc. (E*Capital Corp.)

1000 Wilshire Blvd.

Los Angeles, CA 90017-2466

wedbush.com (213) 688-8000

Weiss Peck & Greer LLC

(Robeco Group)

One New York Plaza, New York, NY 10004

wpginvest.com (212) 908-9500

Wells Fargo Investments LLC

420 Montgomery St., 12th Floor

San Francisco, CA 94104

wellsfargo.com (800) 411-4932

World Securities Inc.

517 Main St., Joplin, MO 64801

worldsecurities.com (417) 782-9542

Worldco LLC

110 Wall St., New York, NY 10005

worldcollc.com (212) 601-6001