* Availability is subject to change at any-time, please contact Securities America for questions on specific products. † Servicing Only agreements and compensation vary by Sponsor. Please contact Securities America for questions on

specific products.

1 | P a g e

Approved Product Lists

Mutual Funds (Open End) as of May 1, 2017

SPONSOR SPONSOR #

13D MANAGEMENT LLC 1484

1919 FUNDS 1542

361 FUNDS 1505

AAM 1340

ABERDEEN ASSET MANAGEMENT 1027

ADIRONDACK FUNDS 1266

ADVISORONE FUNDS 591

ADVISORY RESEARCH 1506

AEGIS FUNDS 718

AFBA 5STAR FUNDS 802

AKRE CAPITAL MANAGEMENT 1097

ALGER FUNDS 75

ALLIANCE BERNSTEIN INVESTMENTS 30

ALLIANZ GLOBAL INVESTORS 139

ALPHACENTRIC FUNDS 1504

ALPINE FUNDS 31

ALPS DISTRIBUTORS INC 1129

ALTEGRIS INVESTMENTS - MUTUAL FUNDS 1474

AMANA MUTUAL FUNDS TRUST 418

AMERICAFIRST FUNDS 1526

AMERICAN BEACON FUNDS 419

AMERICAN CENTURY INVESTMENTS 396

AMERICAN FUNDS 34

AMERICAN INDEPENDENCE FUNDS 1041

AMERICAN TRUST FUNDS 895

AMERISTOCK MUTUAL FUNDS 586

AMF FUNDS 764

ANCORA TRUST - AMERICA NORTHCOAST SECURITIES 1400

ANFIELD 1527

ANGEL OAK 1543

* Availability is subject to change at any-time, please contact Securities America for questions on specific products. † Servicing Only agreements and compensation vary by Sponsor. Please contact Securities America for questions on

specific products.

2 | P a g e

Approved Product Lists

Mutual Funds (Open End) as of May 1, 2017

SPONSOR SPONSOR #

API TRUST FUNDS 35

APPLESEED FUND 1114

AQR FUNDS 1485

AQUILA FUNDS 36

ARBITRAGE FUNDS 785

ARIEL FUNDS 379

ARROW FUNDS 1497

ARTISAN FUNDS 280

ASTOR ASSET MGMT MUTUAL FUNDS 1403

ATAC FUND 1544

AUER FUNDS 1025

AUXIER FUNDS 850

AVENUE CAPITAL GROUP 1507

AZZAD FUNDS 1383

BAIRD FUNDS 958

BARON FUNDS 39

BBH FUNDS 776

BECKER 1545

BERKSHIRE FUNDS 631

BHIL DISTRIBUTORS LLC 1404

BLACKROCK FUNDS 535

BLACKSTONE 1569

BMO FUNDS 424

BOSTON PARTNERS 1508

BOSTON TRUST & WALDEN FUNDS 1498

BRANDES INVESTMENT PARTNERS 1125

BRANDYWINE FUNDS 284

BRIDGEWAY FUNDS 420

BRINKER CAPITAL 680

BROADVIEW FUNDS 1488

BROOKFIELD INVESTMENT FUNDS 1546

* Availability is subject to change at any-time, please contact Securities America for questions on specific products. † Servicing Only agreements and compensation vary by Sponsor. Please contact Securities America for questions on

specific products.

3 | P a g e

Approved Product Lists

Mutual Funds (Open End) as of May 1, 2017

SPONSOR SPONSOR #

BROWN ADVISORY FUNDS 805

BROWN CAPITAL MANAGEMENT FUNDS 888

BTS ASSET MANAGEMENT 398

BUFFALO FUNDS 438

CALAMOS INVESTMENTS 46

CALDWELL & ORKIN 501

CALIFORNIA INVESTMENT TRUST 630

CALVERT GROUP OF FUNDS 47

CAMBIAR FUNDS 966

CAPITAL INVESTMENT GROUP 1382

CAPSTONE ASSET PLANNING CO 1395

CATALYST FUNDS 1469

CAUSEWAY FUNDS 745

CBRE CLARION SECURITIES 1500

CENTER COAST CAPITAL 1283

CENTURY FUNDS 421

CGM REALTY FUNDS 350

CHAMPLAIN FUNDS 967

CHASE GROWTH FUNDS 898

CHESAPEAKE FUNDS 889

CITY NATIONAL ROCHDALE INVESTMENT MANAGEMENT 530

CLIPPER FUNDS 352

CNI CHARTER FUNDS 988

COHEN & STEERS 53

COLORADO BOND SHARES 882

COLUMBIA FUNDS 286

COMMERCE FUNDS 749

COMMONWEALTH FUNDS 865

COMMUNITY CAPITAL MANAGEMENT 984

CONSILIUM FUNDS 1541

COPELAND CAPITAL MANAGEMENT LLC 1528

* Availability is subject to change at any-time, please contact Securities America for questions on specific products. † Servicing Only agreements and compensation vary by Sponsor. Please contact Securities America for questions on

specific products.

4 | P a g e

Approved Product Lists

Mutual Funds (Open End) as of May 1, 2017

SPONSOR SPONSOR #

COVERED BRIDGE 1529

CREDIT SUISSE FUNDS 693

CRM FUNDS 577

CULLEN 981

DAVIS FUNDS 257

DEAN FUNDS 739

DELAWARE INVESTMENTS 57

DESTRA CAPITAL INVESTMENTS 1348

DEUTSCHE FUNDS 101

DIAMOND HILL FUNDS 743

DIMENSIONAL FUNDS 287

DIREXION FUNDS 594

DIVIDEND GROWTH ADVISORS 1262

DODGE & COX FUNDS 58

DOMINI SOCIAL INDEX FUNDS 353

DOUBLELINE FUNDS TRUST 1133

DREMAN FUNDS 1277

DREYFUS FUNDS 59

DRIEHAUS CAPITAL MGMT 660

DUNHAM FUNDS - DUNHAM & ASSOCIATES (SAI) 1043

DUPREE MUTUAL FUNDS 444

E.I.I. (EUROPEAN INVESTORS INC.) 1095

EAGLE FUNDS 86

EATON VANCE FUNDS 60

EDGEWOOD FUNDS 1031

EMERALD FUNDS 1489

EMPIRIC FUNDS 546

EQUINOX FUND MANAGEMENT 1368

EURO PACIFIC ASSET MANAGEMENT 1509

EVENTIDE FUNDS 1530

FAIRHOLME FUNDS 781

* Availability is subject to change at any-time, please contact Securities America for questions on specific products. † Servicing Only agreements and compensation vary by Sponsor. Please contact Securities America for questions on

specific products.

5 | P a g e

Approved Product Lists

Mutual Funds (Open End) as of May 1, 2017

SPONSOR SPONSOR #

FAM FUNDS 431

FEDERATED FUNDS 65

FIDELITY ADVISOR FUNDS 66

FIDELITY DISTRIBUTOR CORP 67

FIRST EAGLE FUNDS 516

FIRSTHAND FUNDS 547

FMI FUNDS 801

FORESIDE FUNDS 1130

FORESTER 868

FORESTERS FINANCIAL 70

FPA FUNDS 193

FRANK FUNDS 1350

FRANKLIN TEMPLETON FUNDS 11

FROST FUNDS 1501

FTJ FUNDCHOICE LLC 1004

FUND X 1548

GABELLI FUNDS 78

GE FUNDS 565

GENEVA MANAGEMENT SERVICES 879

GLENMEDE FUNDS 907

GMO FUNDS 777

GOLDMAN SACHS 80

GOOD HARBOR FINANCIAL LLC 1402

GOTHAM FUNDS 1510

GPS FUNDS I/II 752

GRANDEUR PEAK FUNDS 1491

GRANT PARK 1531

GREEN CENTURY 1328

GREENSPRING FUNDS 439

GUGGENHEIM FUNDS DISTRIBUTORS 1118

GUIDESTONE FUNDS 1511

* Availability is subject to change at any-time, please contact Securities America for questions on specific products. † Servicing Only agreements and compensation vary by Sponsor. Please contact Securities America for questions on

specific products.

6 | P a g e

Approved Product Lists

Mutual Funds (Open End) as of May 1, 2017

SPONSOR SPONSOR #

GUINNESS ATKINSON FUNDS 294

HANCOCK HORIZON FUNDS 822

HANLON INVESTMENT MANAGEMENT 955

HARBOR FUNDS 84

HARDING LOEVNER FUNDS 866

HARTFORD FUNDS 475

HATTERAS FUNDS 1267

HEARTLAND FUNDS 85

HENDERSON GLOBAL FUNDS 878

HENNESSY FUNDS 449

HENSSLER FUNDS 849

HIGHLAND FUNDS 926

HIGHMARK FUNDS 450

HILLMAN CAPITAL MANAGEMENT FUNDS 890

HODGES FUND 843

HOLLAND MUTUAL FUNDS 922

HOMESTEAD FUNDS 1325

HOTCHKIS & WILEY 87

HSBC GLOBAL ASSET MANAGEMENT 1064

HUBER FUNDS 1549

HUNDREDFOLD FUNDS 1369

HUNTINGTON FUNDS 88

HUSSMAN FUNDS 746

ICM FUNDS 794

ICON FUNDS 610

INCLINE CAPITAL LLC 1102

INNEALTA CAPITAL 1532

INTEGRITY MUTUAL FUNDS 148

INTREPID FUNDS 1550

INVESCO 28

IRON FUNDS 1327

* Availability is subject to change at any-time, please contact Securities America for questions on specific products. † Servicing Only agreements and compensation vary by Sponsor. Please contact Securities America for questions on

specific products.

7 | P a g e

Approved Product Lists

Mutual Funds (Open End) as of May 1, 2017

SPONSOR SPONSOR #

IRONHORSE CAPITAL LLC 1477

ISI FUNDS 617

IVA FUNDS 1049

IVY FUNDS 94

JACOB INTERNET 633

JAMES ADVANTAGE FUNDS 867

JAMES ALPHA FUNDS 1559

JANUS FUNDS 97

JENSEN FUNDS 721

JOHCM FUNDS 1499

JOHN HANCOCK INVESTMENTS 99

JORDAN FUNDS 928

JP MORGAN CHASE & CO 545

KEELEY FUNDS 297

KINETICS FUNDS 651

LADENBURG THALMANN ASSET MANAGEMENT 1289

LAUDUS FUNDS 824

LAZARD FUNDS 622

LEADER CAPITAL FUNDS 1032

LEGG MASON FUNDS 587

LEUTHOLD FUNDS 798

LIBERTY STREET 1513

LITMAN GREGORY MASTERS FUNDS 1472

LJM FUNDS 1533

LKCM FUNDS 747

LOCORR FUNDS 1551

LONGLEAF PARTNERS FUNDS 303

LOOMIS SAYLES 106

LORD ABBETT & CO 107

LORING WARD ADVISOR SVC (FMLY ASSANTE) 22

LSV FUNDS 1502

* Availability is subject to change at any-time, please contact Securities America for questions on specific products. † Servicing Only agreements and compensation vary by Sponsor. Please contact Securities America for questions on

specific products.

8 | P a g e

Approved Product Lists

Mutual Funds (Open End) as of May 1, 2017

SPONSOR SPONSOR #

MADISON MUTUAL FUNDS 1096

MAINGATE TRUST 1552

MAINSTAY FUNDS 109

MAIRS & POWERS 995

MANAGERS FUNDS 304

MANNING & NAPIER FUNDS 851

MARATHON FUNDS 111

MARKETFIELD FUNDS 1553

MARKETOCRACY 731

MARSICO FUNDS 506

MASSACHUSETTS MUTUAL LIFE INSURANCE CO 222

MASTERS SELECT FUNDS 387

MATRIX ADVISORS FUNDS 908

MATRIX CAPITAL GROUP 1264

MATTHEW 25 FUND 985

MATTHEWS ASIAN FUNDS 112

MEEDER FUNDS 292

MERGER FUNDS 307

MERIDIAN FUNDS 1496

MERITAGE FUNDS 1385

MERK FUNDS 1012

METROPOLITAN WEST FUNDS 691

MFS FUNDS 110

MIDAS FUNDS 434

MMA PRAXIS FUNDS 521

MONETTA MUTUAL FUNDS 310

MORGAN STANLEY FUNDS 603

MUHLENKEMP FUNDS 425

MUTUALHEDGE 1534

NAKOMA 1062

NATIONAL FINANCIAL 1341

* Availability is subject to change at any-time, please contact Securities America for questions on specific products. † Servicing Only agreements and compensation vary by Sponsor. Please contact Securities America for questions on

specific products.

9 | P a g e

Approved Product Lists

Mutual Funds (Open End) as of May 1, 2017

SPONSOR SPONSOR #

NATIONWIDE FUNDS 1002

NATIXIS FUNDS 645

NAVIGATOR FUNDS 1535

NEEDHAM FUNDS 615

NEUBERGER BERMAN FUNDS 124

NEW ALTERNATIVES FUNDS 313

NEW CENTURY PORTFOLIOS 1038

NEWFOUND FUNDS 1470

NICHOLAS FUNDS 315

NO SELLING AGREEMENT 1352

NORTHEAST INVESTORS TRUST 127

NORTHERN FUNDS 644

NORTHERN LIGHTS FUND TRUST 1239

NUANCE INVESTMENTS 1554

NUVEEN FUNDS 128

OAK ASSOCIATES FUNDS 427

OAK RIDGE FUNDS 1515

OAK VALUE FUNDS 542

OAKMARK FUNDS 131

OAKSEED FUNDS 1516

OBERWEIS FUNDS 317

OCM GOLD FUND 925

OLD MUTUAL INVESTMENT PARTNER 874

OLSTEIN FUNDS 620

OPPENHEIMER MGMT CORP 132

OSTERWEIS FUNDS 872

PACIFIC ADVISOR FUNDS 1349

PACIFIC FINANCIAL GROUP 1073

PACIFIC LIFE FUNDS 751

PALMER SQUARE 1517

PARADIGM FUNDS 1272

* Availability is subject to change at any-time, please contact Securities America for questions on specific products. † Servicing Only agreements and compensation vary by Sponsor. Please contact Securities America for questions on

specific products.

10 | P a g e

Approved Product Lists

Mutual Funds (Open End) as of May 1, 2017

SPONSOR SPONSOR #

PARNASSUS FUNDS 259

PATHWAY STRATEGIC ADVISORS 1287

PAX WORLD FUNDS 323

PAYDEN & RYGEL GROUP 469

PEAR TREE FUNDS 558

PERKINS FUNDS 325

PERMANENT PORTFOLIO FUNDS 815

PERRITT CAPITAL MANAGEMENT 842

PGIM INVESTMENTS 326

PIA FUNDS 877

PIMCO FUNDS 1261

PINEBRIDGE MUTUAL FUNDS 524

PINNACLE 1536

PIONEER FUNDS 140

PMC FUNDS 1019

PNC FUNDS 1518

POLARIS FUNDS 992

POLEN CAPITAL 1519

POPULAR FUNDS 1442

PORTFOLIO 21 FUNDS 917

PORTFOLIO STRATEGIES INVESTMENT MANAGERS 714

POWER FUND 1537

PRIMECAP ODYSSEY FUNDS 911

PRINCETON FUND ADVISORS 1454

PRINCIPAL MUTUAL FUNDS 144

PRO FUNDS 555

PROBABILITIES FUND 1538

PROSPECTOR FUNDS INC 1142

PUTNAM FUNDS 146

QUAKER FAMILY OF FUNDS 661

QUASAR DISTRIBUTORS LLC 1131

* Availability is subject to change at any-time, please contact Securities America for questions on specific products. † Servicing Only agreements and compensation vary by Sponsor. Please contact Securities America for questions on

specific products.

11 | P a g e

Approved Product Lists

Mutual Funds (Open End) as of May 1, 2017

SPONSOR SPONSOR #

RAFFERTY CAPITAL MARKETS 1365

RAINIER FUNDS 1557

RAMIUS 1520

RBC GLOBAL ASSET MANAGEMENT. 1558

REDWOOD 1539

REICH & TANG FUNDS 939

RENAISSANCE CAPITAL 614

RESERVE FUNDS 596

REYNOLDS FUNDS 584

RICE HALL JAMES FUNDS 780

RIDGEWORTH FUNDS 623

RIVERNORTH FUNDS 1024

RIVERPARK FUNDS 1503

RMB FUNDS 1521

ROYCE FUNDS 358

RUSSELL INVESTMENT GROUP 713

RYDEX FUNDS 153

SA FUNDS 962

SALIENT PARTNERS 759

SANTA BARBARA FUNDS 653

SARATOGA FUNDS 599

SATUIT CAPITAL MANAGEMENT 963

SATURNA BROKERAGE SERVICES 1263

SCHNEIDER FUNDS 1011

SCHRODERS FUNDS 690

SCHWAB FUNDS 361

SCHWARTZ FUNDS 826

SEI 1293

SELECTED FUNDS 331

SENTINEL FUNDS 157

SHELTON FUNDS 1279

* Availability is subject to change at any-time, please contact Securities America for questions on specific products. † Servicing Only agreements and compensation vary by Sponsor. Please contact Securities America for questions on

specific products.

12 | P a g e

Approved Product Lists

Mutual Funds (Open End) as of May 1, 2017

SPONSOR SPONSOR #

SIERRA TRUST 1426

SILVER PEPPER 1522

SIT FUNDS 333

SMEAD FUNDS 1493

SOUND SHORE FUND 374

SPARROW FUNDS 1001

SSGA (STATE STREET GLOBAL ADVISORS) 457

STADION MONEY MANAGEMENT LLC 881

STEBEN & COMPANY 884

STERLING CAPITAL FUNDS 669

SUNAMERICA FUNDS 164

SWAN FUNDS 1425

T ROWE PRICE FUNDS 165

TCW GALILEO FUNDS 639

TD AMERITRADE 1033

TFS FUNDS 1030

THE CATHOLIC FUNDS 1297

THIRD AVENUE FUNDS 167

THOMAS WHITE FUNDS 459

THOMPSON PLUMB FUNDS 696

THORNBURG FUNDS 168

TIAA-CREF LIFE INSURANCE COMPANY 686

TILSON FUNDS 894

TIMOTHY PLAN 589

TOCQUEVILLE 460

TOEWS FUNDS 1540

TORRAY FUNDS 412

TORTOISE CAPITAL ADVISORS 1556

TOUCHSTONE FUNDS 649

TOWLE & CO 1523

TRANSAMERICA FUNDS 90

* Availability is subject to change at any-time, please contact Securities America for questions on specific products. † Servicing Only agreements and compensation vary by Sponsor. Please contact Securities America for questions on

specific products.

13 | P a g e

Approved Product Lists

Mutual Funds (Open End) as of May 1, 2017

SPONSOR SPONSOR #

TRANSPARENT FUNDS 1285

TRUST FOR PROFESSIONAL MGRS (PTIA) 1524

TURNER INVESTMENT PARTNERS 539

TWEEDY BROWN 340

UBS GLOBAL ASSET MANAGEMENT INC 79

ULTIMUS FUND DISTRIBUTORS 1379

UMB DISTRIBUTORS 1388

UMB SCOUT FUNDS 601

UNIFIED FINANCIAL SECURITIES 1381

USA MUTUALS 761

USAA MUTUAL FUNDS 1355

VALUE LINE FUNDS 342

VAN ECK FUNDS 176

VANGUARD FUNDS 179

VICTORY FUNDS 597

VILLERE FUNDS 919

VIRTUS MUTUAL FUNDS 137

VIVALDI 1525

VOYA INSTITUTIONAL TRUST COMPANY 795

VOYA INVESTMENT MANAGEMENT 637

VOYA RETIREMENT AND INSURANCE COMPANY 1284

VULCAN VALUE PARTNERS 1495

WALTHAUSEN FUNDS 1250

WASATCH FUNDS 185

WEITZ FUNDS 552

WELLS FARGO FUNDS 186

WELLS REAL ESTATE FUNDS 590

WESTCORE FUNDS 262

WESTERN ASSET FUNDS 734

WESTPORT FUNDS 700

WESTWOOD FUNDS 1029

* Availability is subject to change at any-time, please contact Securities America for questions on specific products. † Servicing Only agreements and compensation vary by Sponsor. Please contact Securities America for questions on

specific products.

14 | P a g e

Approved Product Lists

Mutual Funds (Open End) as of May 1, 2017

SPONSOR SPONSOR #

WILLIAM BLAIR FUNDS 368

WILMINGTON FUNDS 1021

WILSHIRE FUNDS 537

WINSLOW GREEN FUNDS 927

WINTERGREEN FUNDS 956

WORLD FUNDS 347

WRIGHT FUNDS 189