| NFA ASSOCIATE MEMBER TEMPORARY BAR LIFTED | 05/11/2012 |
| NFA MEMBER TEMPORARY BAR LIFTED | 05/11/2012 |
| PRINCIPAL TEMPORARY BAR LIFTED | 05/11/2012 |
| NFA ASSOCIATE MEMBER TEMPORARY BAR | 05/11/2010 |
| NFA MEMBER TEMPORARY BAR | 05/11/2010 |
| PRINCIPAL TEMPORARY BAR | 05/11/2010 |
| |
| AVS CARTER FINANCIAL INC |
| ASSOCIATED PERSON WITHDRAWN | 12/22/2009 |
| NFA ASSOCIATE MEMBER WITHDRAWN | 12/22/2009 |
| PRINCIPAL WITHDRAWN | 12/22/2009 |
| PRINCIPAL APPROVED | 03/30/2009 |
| PRINCIPAL PENDING | 11/18/2008 |
| ASSOCIATED PERSON REGISTERED | 10/22/2008 |
| NFA ASSOCIATE MEMBER APPROVED | 10/20/2008 |
| ASSOCIATED PERSON TEMPORARY LICENSE | 10/20/2008 |
| ONE WORLD FINANCIAL CONSULTANTS INC |
| PRINCIPAL PENDING STATUS WITHDRAWN | 04/03/2007 |
| NFA ASSOCIATE MEMBER PENDING STATUS WITHDRAWN | 04/03/2007 |
| ASSOCIATED PERSON PENDING STATUS WITHDRAWN | 04/03/2007 |
| PRINCIPAL PENDING | 02/09/2007 |
| NFA ASSOCIATE MEMBER PENDING | 02/09/2007 |
| ASSOCIATED PERSON PENDING | 02/09/2007 |