* 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