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| | | NOTICE BROKER DEALER REGISTERED | | INTRODUCING BROKER REGISTERED | | NFA MEMBER APPROVED |
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| | IB GUARANTEED BY RJ OBRIEN ASSOCIATES LLC
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| | | Firm has on-exchange futures and/or options customer accounts | Yes | | Firm is soliciting customers | Yes | | Firm manages futures or options customer accounts | Yes | | Firm operates commodity pools | No | | Firm is engaged in retail off-exchange foreign currency futures and/or options | No |
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| | 1901 NW 92ND COURT SUITE B DES MOINES, IA 50325 UNITED STATES (515) 251-3100 | | | | |
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| | | NOTICE BROKER DEALER REGISTERED | 04/18/2002 | | COMMODITY TRADING ADVISOR WITHDRAWN | 05/09/2001 | | COMMODITY TRADING ADVISOR REGISTERED | 02/24/1993 | | INTRODUCING BROKER REGISTERED | 02/14/1992 | | NFA MEMBER APPROVED | 02/14/1992 | | INTRODUCING BROKER PENDING | 01/27/1992 | | NFA MEMBER PENDING | 01/27/1992 | | | | | |