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| | | NOTICE BROKER DEALER REGISTERED | | NFA MEMBER APPROVED | | INTRODUCING BROKER REGISTERED |
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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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| | 3905 VINCENNES ROAD SUITE 303 INDIANAPOLIS, IN 46268 UNITED STATES (317) 848-8050 | | | | |
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| | | COMMODITY TRADING ADVISOR WITHDRAWN | 09/13/2006 | | COMMODITY TRADING ADVISOR REGISTERED | 09/11/2002 | | COMMODITY TRADING ADVISOR PENDING | 08/30/2002 | | NOTICE BROKER DEALER REGISTERED | 03/26/2002 | | NFA MEMBER APPROVED | 07/10/1985 | | INTRODUCING BROKER REGISTERED | 07/11/1984 | | | | | |