Joseph Edwin Rackley

LPL Financial LLC is a SEC-registered investment advisor and wealth management firm headquartered in Fort Mill, South Carolina. The firm was founded in 1989 as Linsco/Private Ledger Corp. They are a direct subsidiary of LPL Holdings, Inc., owned by LPL Financial Holdings, Inc. (NASDAQ: LPLA). LPL Financial offers various types of advisory services and programs to individual and institutional clients.

Wachovia Securities LLC offered equity, fixed income, and structured products. It was founded in 2001 and was headquartered in St. Louis, MO.