# EDGAR Filing Document

**Accession Number:** 0000752798
**File Stem:** 0000752798-23-000006
**Filing Date:** 2023-3
**Character Count:** 29429
**Document Hash:** aa2ac8942fe5c806b70ed6f3b288a6dd
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0000752798-23-000006.hdr.sgml**: 20230419

**ACCESSION NUMBER**: 0000752798-23-000006

**CONFORMED SUBMISSION TYPE**: MA-A

**PUBLIC DOCUMENT COUNT**: 1

**CONFORMED PERIOD OF REPORT**: 20221231

**FILED AS OF DATE**: 20230328

**DATE AS OF CHANGE**: 20230419

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** CONCOURSE FINANCIAL GROUP SECURITIES, INC.
- **CENTRAL INDEX KEY:** 0000752798
- **IRS NUMBER:** 630879387
- **STATE OF INCORPORATION:** AL
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** MA-A
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 867-01146
- **FILM NUMBER:** 23828509

**BUSINESS ADDRESS:**
- **STREET 1:** 2801 HIGHWAY 280 SOUTH
- **CITY:** BIRMINGHAM
- **STATE:** AL
- **ZIP:** 35223
- **BUSINESS PHONE:** (205) 268-7085

**MAIL ADDRESS:**
- **STREET 1:** 2801 HIGHWAY 280 SOUTH
- **CITY:** BIRMINGHAM
- **STATE:** AL
- **ZIP:** 35223

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** PROEQUITIES, INC.
- **DATE OF NAME CHANGE:** 20210714

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** CONCOURSE FINANCIAL GROUP SECURITIES, INC.
- **DATE OF NAME CHANGE:** 20210713

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** PROEQUITIES, INC.
- **DATE OF NAME CHANGE:** 20020129

### UNITED STATES SECURITIES AND EXCHANGE COMMISSION
**Washington, D.C. 20549**

## FORM MA: UNIFORM APPLICATION FOR MUNICIPAL ADVISOR REGISTRATION

### Filer and Contact Information

**Filer CIK:** 0000752798

**Filer CCC:** XXXXXXXX

**Contact Name:** Harold Blaine Miller

**Contact Phone:** 205-268-5910

**Contact Email:** blaine.miller@concoursefinancial.com

**Notification Emails:** bo.hailey@concoursefinancial.com, rory.hartley@concoursefinancial.com, laura.miller@concoursefinancial.com

### Type of Filing

**Selected Filing Type:** Annual Update

### Item 1: Identifying Information

**A. Full Legal Name of the Firm:** CONCOURSE FINANCIAL GROUP SECURITIES, INC.

**&nbsp;&nbsp;&nbsp;Organization CRD No.:** 15708

**&nbsp;&nbsp;&nbsp;Is applicant a Sole Proprietor?:** No

**&nbsp;&nbsp;&nbsp;Has the municipal legal name changed since the last filing?:** No

**&nbsp;&nbsp;&nbsp;Has the applicant had any previous DBA names?:** Yes

**&nbsp;&nbsp;&nbsp;Does the applicant have any additional DBA names?:** No

**C. IRS Employer Identification Number:** 63-0879387

**D. Registrations:**

- **Municipal Advisor (Temporary):** SEC File No: 866-00264-00

- **Municipal Advisor:** SEC File No: 867-00264-00

- **Broker-Dealer:** SEC File No: 008-32590, CRD No: 15708

- **SEC-Registered Investment Adviser:** SEC File No: 801-56010, CRD No: 15708

**E. Principal Office and Place of Business:** 2801 HIGHWAY 280 SOUTH, BIRMINGHAM, AL, 35223

**Telephone Number:** 205-268-3369

**Mailing Address is Different from Principal Office:** Yes

**Mailing Address:** P.O. BOX 518, BIRMINGHAM, AL, 35201-0518

**F. Website:** www.concoursefinancial.com

**G. Chief Compliance Officer (CCO):**

**Name:** HAROLD BLAINE MILLER

**Address:** 2801 U.S. Highway 280 South, Birmingham, AL, 35223

**Phone Number:** 800-288-3035

**Email:** blaine.miller@concoursefinancial.com

**H. Business Affiliates:**

- **Name:** Investment Distributors,Inc.

  - **Issuing Agency:** Securities and Exchange Commission

  - **Jurisdiction:** 

- **Name:** Protective Life Corporation

  - **Issuing Agency:** Securities and Exchange Commission

  - **Jurisdiction:** 

**I. Location of Books and Records:** Yes

### Item 2: Form of Organization

**A. Applicant's form of organization:** Corporation

**B. Month of Applicant's Annual Fiscal Year End:** December

**C. State, Other U.S. Jurisdiction, or Foreign Jurisdiction Under Which Applicant is Organized:** AL

**D. Date of Organization:** 07-11-1984

**E. Is the applicant a public reporting company?:** No

### Item 3: Successions

**Is the applicant succeeding to the business of a registered municipal advisor?** No

### Item 4: Information About Applicant's Business

**A. Number of Employees:** 642

**B. Municipal Advisory Activities - Employees:** 2

**C. Registered Representatives - MAA Employees also registered reps of a broker-dealer:** 2

**&nbsp;&nbsp;&nbsp;MAA Employees also associated with an investment adviser:** 1

**D. Public Relations Company?:** No

**E. Soliciting on Behalf of an Affiliate - Number of firms:** 0

**F. Types of Clients - Number of clients served as municipal advisor:** 3

**&nbsp;&nbsp;&nbsp;Types of Clients:** Municipal Entities, Non-profit organizations, Corporations or other businesses

**G. Solicitation of Municipal Entities and Obligated Persons - Municipal Entities:** 0

**&nbsp;&nbsp;&nbsp;Obligated Persons:** 0

**&nbsp;&nbsp;&nbsp;Total Solicited:** 0

**H. Types of Persons Solicited:** 
Not Applicable
, Not Applicable

**I. Compensation Arrangements (Municipal Advisory):** 
Hourly Charges
Fixed Fees
Contingent Fees
, Hourly Charges, Fixed Fees, Contingent Fees

**J. Compensation Arrangements (Solicitation):** 
Not Applicable
, Not Applicable

**K. Does the applicant receive compensation in the context of its municipal advisory business from other than its municipal entity or obligated person clients?:** No

**L. Applicant Business Relating to Municipal Securities:** Advice Insurance Of MS, Advice Investment Of Proceeds MS, Advice ME Investments, Advice ME Other Investments, Advice Guaranteed IC, Advice Use Of MD, Advice On Selection

### Item 5: Other Business Activities

- **Broker-Dealer:** Actively Engaged: Yes, Primary Business: Yes

- **Investment Advisor:** Actively Engaged: Yes, Primary Business: Yes

**Is applicant engaged in any other non-municipal advisor business?** No

### Item 6: Financial Industry and Other Activities of Associated Persons

**Types of associated persons:** Broker-dealer municipal securities dealer or government securities broker or dealer, Investment Company, Investment Adviser, Insurance company or agency, Insurance company or agency, Broker-dealer municipal securities dealer or government securities broker or dealer, Broker-dealer municipal securities dealer or government securities broker or dealer, Broker-dealer municipal securities dealer or government securities broker or dealer, Investment Adviser, Broker-dealer municipal securities dealer or government securities broker or dealer, Investment Adviser, Investment Adviser, Insurance company or agency

**Total Associated Persons:** 7

### Item 7: Participation or Interest in Client Transactions

- **Buy or sell municipal securities from or to municipal advisory clients for the firm's own account?:** No

- **Buy or sell municipal securities from or to third-parties on behalf of clients?:** No

- **Enter into derivatives transactions with clients for the firm's own account?:** No

- **Recommend to clients to buy/sell securities in which the firm has a financial interest?:** No

- **Recommend to clients products/services of an affiliated person?:** No

- **Recommend to clients securities of an issuer with which the firm has other relationships?:** No

- **Have discretionary authority to buy/sell municipal securities for clients?:** No

- **Have discretionary authority to buy/sell any other securities or investments for clients?:** No

- **Have discretionary authority to determine the broker-dealer to be used for client transactions?:** No

- **Have discretionary authority to determine the commission paid to a broker-dealer?:** No

- **Recommend broker-dealers to clients?:** No

- **&nbsp;&nbsp;&nbsp;If yes, are any of these broker-dealers an associated person of the applicant?:** —

- **Compensate any person for client referrals?:** No

- **Receive compensation from any person for client referrals?:** No

### Item 8: Owners, Officers, and Other Control Persons

**A. (2) Does any person not named in Item 1-A or Schedules A, B, or C, directly or indirectly, control the applicant's management or policies?** No

**B. (1) Is any person in Schedule A, B, or C, or in Section 8-A of Schedule D a public reporting company?** No

### Item 9: Disclosure Information

**Criminal Disclosure:**

- **Applicant/Advisory Affiliate Convicted/Pled Guilty to Felony?:** No

- **Applicant/Advisory Affiliate Charged with Felony?:** No

- **Organization Convicted/Pled Guilty to Felony?:** No

- **Organization Charged with Felony?:** No

**Regulatory Disclosure:**

- **SEC/CFTC Found False Statement?:** No

- **SEC/CFTC Found Violation?:** No

- **SEC/CFTC Found Cause of Denial/Suspension?:** No

- **SEC/CFTC Entered Order?:** No

- **SEC/CFTC Imposed Civil Penalty?:** No

- **SRO Found Unethical Conduct?:** No

- **SRO Found Violation?:** Yes

- **SRO Found Cause of Denial/Suspension?:** No

- **SRO Barred/Suspended/Fined > $2,500?:** Yes

- **SRO Denied/Suspended/Revoked Registration?:** No

- **Foreign Authority Found False Statement?:** No

- **Foreign Authority Found Violation?:** Yes

- **Foreign Authority Found Cause of Suspension?:** No

- **Foreign Authority Disciplined?:** No

- **Authorization to Act as Attorney/Accountant Revoked?:** No

- **Subject of a Regulatory Complaint?:** No

**Civil Disclosure:**

- **Enjoined in Connection with Municipal Advisory Activity?:** No

- **Found to Have Violated Regulations?:** No

- **Civil Proceeding Dismissed Pursuant to Settlement?:** No

- **Named in Civil Proceeding Alleging Violation?:** No

### Item 10: Small Businesses

**Does the applicant have annual receipts of less than $7,000,000?** No

**Is the applicant affiliated with a person that has annual receipts of more than $7,000,000?** No

### Schedule A: Direct Owners and Executive Officers

| Name                        | Title/Status                             | Date Acquired   | Ownership Code    | Control Person?   | IRS Number   | CRD Number   |
|:---|:---|:---|:---|:---|:---|:---|
| Protective Life Corporation | Parent Company                           | 08-01-1984      | E - 75% or more   | Yes               |  |  |
| Rory Marshall Hartley       | Managing Director, Protective Securities | 12-01-2004      | NA - less than 5% | Yes               |  | 1464251      |
| Harold Blaine Miller        | Chief Compliance Officer                 | 12-01-2021      | NA - less than 5% | Yes               |  | 4214267      |
| Darren Cyril Guerrera       | Chief Financial Officer                  | 04-01-2015      | NA - less than 5% | No                |  | 2541120      |
| Elizabeth Giltz Anderson    | President/CEO                            | 07-06-2020      | NA - less than 5% | Yes               |  | 2209248      |
| Aaron Christopher Seurkamp  | SVP & President, Retirement Division     | 06-29-2018      | NA - less than 5% | Yes               |  | 4751862      |
| James Carl Wagner           | Director                                 | 08-25-2020      | NA - less than 5% | Yes               |  | 4261922      |
| Doyle James Williams        | Director                                 | 07-28-2020      | NA - less than 5% | Yes               |  | 2991654      |
| Bobby Farrar Hailey         | Chief Supervision Officer                | 02-16-2022      | NA - less than 5% | Yes               |  | 5736735      |
| Barbara Nelson Pugh         | Director                                 | 01-01-2021      | NA - less than 5% | Yes               |  | 7498540      |

### Schedule B: Indirect Owners

| Owning Entity                             | Name                                          | Title/Status   | Date Acquired   | Ownership Code   | Control Person?   | IRS Number   |
|:---|:---|:---|:---|:---|:---|:---|
| Protective Life Corporation               | The Dai-Ichi Life International Holdings, LLC | complete       | 01-01-2023      | E - 75% or more  | Yes               |  |
| Dai-Ichi Life International Holdings, LLC | Dai-Ichi Life Holdings, Inc.                  | complete       | 02-01-2015      | E - 75% or more  | Yes               |  |

### Schedule C: Amendments to Schedules A and B

| Type   | Ownership   | Owning Entity                             | Name                                          | Title/Status                             | Date Acquired   | Ownership Code    | Control Person?   | IRS Number   | CRD Number   |
|:---|:---|:---|:---|:---|:---|:---|:---|:---|:---|
|  | Direct      |  | Protective Life Corporation                   | Parent Company                           | 08-01-1984      | E - 75% or more   | Yes               |  |  |
|  | Indirect    | Protective Life Corporation               | The Dai-Ichi Life International Holdings, LLC | complete                                 | 01-01-2023      | E - 75% or more   | Yes               |  |  |
|  | Indirect    | Dai-Ichi Life International Holdings, LLC | Dai-Ichi Life Holdings, Inc.                  | complete                                 | 02-01-2015      | E - 75% or more   | Yes               |  |  |
|  | Direct      |  | Rory Marshall Hartley                         | Managing Director, Protective Securities | 12-01-2004      | NA - less than 5% | Yes               |  | 1464251      |
|  | Direct      |  | Harold Blaine Miller                          | Chief Compliance Officer                 | 12-01-2021      | NA - less than 5% | Yes               |  | 4214267      |
|  | Direct      |  | Darren Cyril Guerrera                         | Chief Financial Officer                  | 04-01-2015      | NA - less than 5% | No                |  | 2541120      |
|  | Direct      |  | Elizabeth Giltz Anderson                      | President/CEO                            | 07-06-2020      | NA - less than 5% | Yes               |  | 2209248      |
|  | Direct      |  | Aaron Christopher Seurkamp                    | SVP & President, Retirement Division     | 06-29-2018      | NA - less than 5% | Yes               |  | 4751862      |
|  | Direct      |  | James Carl Wagner                             | Director                                 | 08-25-2020      | NA - less than 5% | Yes               |  | 4261922      |
| Delete | Direct      |  | Doyle James Williams                          | Director                                 | 07-28-2020      | NA - less than 5% | Yes               |  | 2991654      |
|  | Direct      |  | Bobby Farrar Hailey                           | Chief Supervision Officer                | 02-16-2022      | NA - less than 5% | Yes               |  | 5736735      |
|  | Direct      |  | Barbara Nelson Pugh                           | Director                                 | 01-01-2021      | NA - less than 5% | Yes               |  | 7498540      |
| NewAdd | Direct      |  | David A Perry                                 | Director                                 | 10-01-2022      | NA - less than 5% | No                |  | 7320685      |

### Disclosure Reporting Pages (DRPs)

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for ProEquities, Inc.

- **CRD Number:** 15708

- **Disclosure Number:** 1710672

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for ProEquities, Inc.

- **CRD Number:** 15708

- **Disclosure Number:** 1660731

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for ProEquities, Inc.

- **CRD Number:** 15708

- **Disclosure Number:** 1655899

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for ProEquities, Inc.

- **CRD Number:** 15708

- **Disclosure Number:** 1652036

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for ProEquities, Inc.

- **CRD Number:** 15708

- **Disclosure Number:** 1650848

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for ProEquities, Inc.

- **CRD Number:** 15708

- **Disclosure Number:** 1647345

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for ProEquities, Inc.

- **CRD Number:** 15708

- **Disclosure Number:** 1647344

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for ProEquities, Inc.

- **CRD Number:** 15708

- **Disclosure Number:** 1645223

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for ProEquities, Inc.

- **CRD Number:** 15708

- **Disclosure Number:** 1645222

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for ProEquities, Inc.

- **CRD Number:** 15708

- **Disclosure Number:** 1645221

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for ProEquities, Inc.

- **CRD Number:** 15708

- **Disclosure Number:** 1640582

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for ProEquities, Inc.

- **CRD Number:** 15708

- **Disclosure Number:** 1640581

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for ProEquities, Inc.

- **CRD Number:** 15708

- **Disclosure Number:** 1640580

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for ProEquities, Inc.

- **CRD Number:** 15708

- **Disclosure Number:** 1635699

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for ProEquities, Inc.

- **CRD Number:** 15708

- **Disclosure Number:** 1635697

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for ProEquities, Inc.

- **CRD Number:** 15708

- **Disclosure Number:** 1635696

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for ProEquities, Inc.

- **CRD Number:** 15708

- **Disclosure Number:** 1635695

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for ProEquities, Inc.

- **CRD Number:** 15708

- **Disclosure Number:** 1635694

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for ProEquities, Inc.

- **CRD Number:** 15708

- **Disclosure Number:** 1635693

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for ProEquities, Inc.

- **CRD Number:** 15708

- **Disclosure Number:** 1634276

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for ProEquities, Inc.

- **CRD Number:** 15708

- **Disclosure Number:** 1631406

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for ProEquities, Inc.

- **CRD Number:** 15708

- **Disclosure Number:** 1631404

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for ProEquities, Inc.

- **CRD Number:** 15708

- **Disclosure Number:** 1631403

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for ProEquities, Inc.

- **CRD Number:** 15708

- **Disclosure Number:** 1631402

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for ProEquities, Inc.

- **CRD Number:** 15708

- **Disclosure Number:** 1631401

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for ProEquities, Inc.

- **CRD Number:** 15708

- **Disclosure Number:** 1631400

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for ProEquities, Inc.

- **CRD Number:** 15708

- **Disclosure Number:** 1631399

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for ProEquities, Inc.

- **CRD Number:** 15708

- **Disclosure Number:** 1631398

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for ProEquities, Inc.

- **CRD Number:** 15708

- **Disclosure Number:** 1631397

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for ProEquities, Inc.

- **CRD Number:** 15708

- **Disclosure Number:** 1631375

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for ProEquities, Inc.

- **CRD Number:** 15708

- **Disclosure Number:** 1628418

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for ProEquities, Inc.

- **CRD Number:** 15708

- **Disclosure Number:** 1628164

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for ProEquities, Inc.

- **CRD Number:** 15708

- **Disclosure Number:** 1626038

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for ProEquities, Inc.

- **CRD Number:** 15708

- **Disclosure Number:** 1625517

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for ProEquities, Inc.

- **CRD Number:** 15708

- **Disclosure Number:** 1624794

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for ProEquities, Inc.

- **CRD Number:** 15708

- **Disclosure Number:** 1624777

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for ProEquities, Inc.

- **CRD Number:** 15708

- **Disclosure Number:** 1621633

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for ProEquities, Inc.

- **CRD Number:** 15708

- **Disclosure Number:** 1621631

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for ProEquities, Inc.

- **CRD Number:** 15708

- **Disclosure Number:** 1621630

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for ProEquities, Inc.

- **CRD Number:** 15708

- **Disclosure Number:** 1621629

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for ProEquities, Inc.

- **CRD Number:** 15708

- **Disclosure Number:** 1621628

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for ProEquities, Inc.

- **CRD Number:** 15708

- **Disclosure Number:** 1621627

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for ProEquities, Inc.

- **CRD Number:** 15708

- **Disclosure Number:** 1621626

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for ProEquities, Inc.

- **CRD Number:** 15708

- **Disclosure Number:** 1621486

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for ProEquities, Inc.

- **CRD Number:** 15708

- **Disclosure Number:** 1606903

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for ProEquities, Inc.

- **CRD Number:** 15708

- **Disclosure Number:** 1534277

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for ProEquities, Inc.

- **CRD Number:** 15708

- **Disclosure Number:** 1527908

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 35490

  - **Filed On (AP):** Form ADV/BD/U4 for Investment Distributors, Inc.

  - **Disclosure Number:** 1489143

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for ProEquities, Inc.

- **CRD Number:** 15708

- **Disclosure Number:** 1448387

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 4257

  - **Filed On (AP):** Form ADV/BD/U4 for Investors Brokerage Services, Inc.

  - **Disclosure Number:** 1322607

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

  - **Associated Person:** —

  - **CRD Number:** 4257

  - **Filed On (AP):** Form ADV/BD/U4 for Investors Brokerage Services,Inc.

  - **Disclosure Number:** 1322605

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 30007

  - **Filed On (AP):** Form ADV/BD/U4 for First Variable Capital Services

  - **Disclosure Number:** 1279771

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for ProEquities, Inc.

- **CRD Number:** 15708

- **Disclosure Number:** not yet assigned

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for ProEquities, Inc.

- **CRD Number:** 15708

- **Disclosure Number:** 1801860

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for ProEquities, Inc.

- **CRD Number:** 15708

- **Disclosure Number:** 1843440

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for ProEquities, Inc.

- **CRD Number:** 15708

- **Disclosure Number:** 1895013

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for ProEquities, Inc.

- **CRD Number:** 15708

- **Disclosure Number:** 1902154

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for ProEquities, Inc.

- **CRD Number:** 15708

- **Disclosure Number:** 1917141

**Regulatory DRP for: Applicant (Responding to Questions: 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for ProEquities, Inc.

- **CRD Number:** 15708

- **Disclosure Number:** 1916769

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for ProEquities, Inc.

- **CRD Number:** 15708

- **Disclosure Number:** 1917141

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for ProEquities, Inc.

- **CRD Number:** 15708

- **Disclosure Number:** 1925673

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for ProEquities, Inc.

- **CRD Number:** 15708

- **Disclosure Number:** 21242

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for ProEquities, Inc.

- **CRD Number:** 15708

- **Disclosure Number:** 1943597

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for ProEquities, Inc.

- **CRD Number:** 15708

- **Disclosure Number:** 1939522

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for ProEquities, Inc.

- **CRD Number:** 15708

- **Disclosure Number:** 1801860

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for ProEquities, Inc.

- **CRD Number:** 15708

- **Disclosure Number:** 1196648

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for ProEquities, Inc.

- **CRD Number:** 15708

- **Disclosure Number:** 1086657

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for ProEquities, Inc.

- **CRD Number:** 15708

- **Disclosure Number:** 120504

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for ProEquities, Inc.

- **CRD Number:** 15708

- **Disclosure Number:** 1986718

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for ProEquities, Inc.

- **CRD Number:** 15708

- **Disclosure Number:** 2020191

**Regulatory DRP for: Applicant (Responding to Questions: 9-C1, 9-C2, 9-C4, 9-C5)**

- **Filed On (Applicant):** Form ADV/BD/U4 for ProEquities, Inc.

- **CRD Number:** 15708

- **Disclosure Number:** 2019924

**Regulatory DRP for: Applicant (Responding to Questions: 9-G)**

- **Filed On (Applicant):** Form ADV/BD/U4 for ProEquities, Inc.

- **CRD Number:** 15708

- **Disclosure Number:** 2037399

### Execution Page

**Signature:** Blaine Miller

**Signer Name:** Blaine Miller

**Title:** Chief Compliance Officer

**Date:** 03-28-2023

**CRD Number:** 4214267