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Trademark Assignment Abstract of Title

Total Assignments: 15
Serial #:
77038796
Filing Dt:
11/07/2006
Reg #:
3279172
Reg. Dt:
08/14/2007
Mark:
ETF SELECT
Assignment: 1
Reel/Frame:
4647/0491   Recorded: 10/24/2011Pages: 6
Conveyance:
ASSIGNS THE ENTIRE INTEREST
Assignors:
ADVANCED EQUITIES FINANCIAL CORP.
Exec Dt:
10/24/2011
Entity Type:
CORPORATION
Citizenship:
DELAWARE
ADVANCED EQUITIES, INC.
Exec Dt:
10/24/2011
Entity Type:
CORPORATION
Citizenship:
ILLINOIS
Assignee:
FAS HOLDINGS, INC.
655 W. BROADWAY, 12TH FLOOR
SAN DIEGO, CALIFORNIA 92101
Entity Type:
CORPORATION
Citizenship:
DELAWARE
Correspondent:
TRENT MARTINET
1550 17TH ST. STE. 500
DENVER, CO 80202
Assignment: 2
Reel/Frame:
4666/0341   Recorded: 11/28/2011Pages: 9
Conveyance:
SECURITY INTEREST
Assignor:
FAS HOLDINGS, INC.
Exec Dt:
11/01/2011
Entity Type:
CORPORATION
Citizenship:
DELAWARE
Assignee:
FIFTH THIRD BANK
222 SOUTH RIVERSIDE PLAZA
32ND FLOOR
CHICAGO, ILLINOIS 60606
Entity Type:
BANK
Citizenship:
UNITED STATES
Correspondent:
NEAL, GERBER & EISENBERG
2 NORTH LASALLE STREET
SUITE 1700
CHICAGO, IL 60602-3801
Assignment: 3
Reel/Frame:
5660/0682   Recorded: 11/04/2015Pages: 12
Conveyance:
SECOND LIEN SECURITY AGREEMENT
Assignors:
RCS CAPITAL CORPORATION
Exec Dt:
10/26/2015
Entity Type:
CORPORATION
Citizenship:
DELAWARE
CETERA FINANCIAL HOLDINGS, INC.
Exec Dt:
10/26/2015
Entity Type:
CORPORATION
Citizenship:
DELAWARE
FAS HOLDINGS, INC.
Exec Dt:
10/26/2015
Entity Type:
CORPORATION
Citizenship:
DELAWARE
LEGEND GROUP HOLDINGS, LLC
Exec Dt:
10/26/2015
Entity Type:
LIMITED LIABILITY COMPANY
Citizenship:
DELAWARE
J.P. TURNER & COMPANY, LLC
Exec Dt:
10/26/2015
Entity Type:
LIMITED LIABILITY COMPANY
Citizenship:
GEORGIA
INVESTORS CAPITAL HOLDINGS, LLC
Exec Dt:
10/26/2015
Entity Type:
LIMITED LIABILITY COMPANY
Citizenship:
DELAWARE
Assignee:
BANK OF AMERICA, N.A., AS COLLATERAL AGENT
901 MAIN STREET, 14TH FLOOR MAIL CODE TX1-492-14-06
DALLAS, TEXAS 75202-3714
Entity Type:
ASSOCIATION
Citizenship:
UNITED STATES
Correspondent:
ELAINE CARRERA, LEGAL ASSISTANT
80 PINE STREET
C/O CAHILL GORDON & REINDAL LLP
NEW YORK, NY 10005
Assignment: 4
Reel/Frame:
5657/0423   Recorded: 11/02/2015Pages: 12
Conveyance:
FIRST LIEN SECURITY AGREEMENT
Assignors:
RCS CAPITAL CORPORATION
Exec Dt:
10/28/2015
Entity Type:
CORPORATION
Citizenship:
DELAWARE
CETERA FINANCIAL HOLDINGS, INC.
Exec Dt:
10/28/2015
Entity Type:
CORPORATION
Citizenship:
DELAWARE
FAS HOLDINGS, INC.
Exec Dt:
10/28/2015
Entity Type:
CORPORATION
Citizenship:
DELAWARE
LEGEND GROUP HOLDINGS, LLC
Exec Dt:
10/28/2015
Entity Type:
LIMITED LIABILITY COMPANY
Citizenship:
DELAWARE
J.P. TURNER & COMPANY, LLC
Exec Dt:
10/28/2015
Entity Type:
LIMITED LIABILITY COMPANY
Citizenship:
GEORGIA
INVESTORS CAPITAL HOLDINGS, LLC
Exec Dt:
10/28/2015
Entity Type:
LIMITED LIABILITY COMPANY
Citizenship:
DELAWARE
Assignee:
BARCLAYS BANK PLC, AS COLLATERAL AGENT
745 SEVENTH AVENUE, 27TH FLOOR
NEW YORK, NEW YORK 10019
Entity Type:
BANK
Citizenship:
UNITED STATES
Correspondent:
ELAINE CARRERA, LEGAL ASSISTANT
80 PINE STREET
C/O CAHILL GORDON & REINDAL LLP
NEW YORK, NY 10005
Assignment: 5
Reel/Frame:
5711/0670   Recorded: 01/19/2016Pages: 7
Conveyance:
NOTICE OF SUCCESSION OF AGENCY
Assignor:
BANK OF AMERICA, N.A.
Exec Dt:
01/14/2016
Entity Type:
ASSOCIATION
Citizenship:
UNITED STATES
Assignee:
WILMINGTON TRUST, NATIONAL ASSOCIATION, AS SUCCESSOR AGENT
50 SOUTH SIXTH STREET, SUITE 1290
MINNEAPOLIS, MINNESOTA 55402
Entity Type:
ASSOCIATION
Citizenship:
UNITED STATES
Correspondent:
ELAINE CARRERA, LEGAL ASSISTANT
80 PINE STREET
C/O CAHILL GORDON & REINDAL LLP
NEW YORK, NY 10005
Assignment: 6
Reel/Frame:
5727/0593   Recorded: 02/09/2016Pages: 12
Conveyance:
SECURITY INTEREST
Assignors:
RCS CAPITAL CORPORATION
Exec Dt:
02/08/2016
Entity Type:
CORPORATION
Citizenship:
DELAWARE
CETERA FINANCIAL GROUP, INC.
Exec Dt:
02/08/2016
Entity Type:
CORPORATION
Citizenship:
DELAWARE
CETERA FINANCIAL HOLDINGS, INC.
Exec Dt:
02/08/2016
Entity Type:
CORPORATION
Citizenship:
DELAWARE
FAS HOLDINGS, INC.
Exec Dt:
02/08/2016
Entity Type:
CORPORATION
Citizenship:
DELAWARE
INVESTORS CAPITAL HOLDINGS, LLC
Exec Dt:
02/08/2016
Entity Type:
LIMITED LIABILITY COMPANY
Citizenship:
DELAWARE
LEGEND GROUP HOLDINGS, LLC
Exec Dt:
02/08/2016
Entity Type:
LIMITED LIABILITY COMPANY
Citizenship:
DELAWARE
REALTY CAPITAL SECURITIES, LLC
Exec Dt:
02/08/2016
Entity Type:
LIMITED LIABILITY COMPANY
Citizenship:
DELAWARE
TRUPOLY, LLC (AS SUCCESSOR TO PROJECT T ACQUISITION, LLC)
Exec Dt:
02/08/2016
Entity Type:
LIMITED LIABILITY COMPANY
Citizenship:
DELAWARE
Assignee:
BARCLAYS BANK PLC
745 7TH AVENUE
NEW YORK, NEW YORK 10019
Entity Type:
PUBLIC LIMITED COMPANY
Citizenship:
UNITED KINGDOM
Correspondent:
MARK LANGER
1460 EL CAMINO REAL, 2ND FLOOR
SHEARMAN & STERLING LLP
MENLO PARK, CA 94025
Assignment: 7
Reel/Frame:
5738/0356   Recorded: 02/23/2016Pages: 5
Conveyance:
RELEASE OF SECURITY INTEREST
Assignor:
FIFTH THIRD BANK
Exec Dt:
02/22/2016
Entity Type:
BANKING CORPORATION
Citizenship:
OHIO
Assignee:
FAS HOLDINGS, INC.
655 W. BROADWAY, 12TH FLOOR
SAN DIEGO, CALIFORNIA 92101
Entity Type:
CORPORATION
Citizenship:
DELAWARE
Correspondent:
GLENN A. GUNDERSEN
2929 ARCH STREET
DECHERT LLP, CIRA CENTRE
PHILADELPHIA, PA 19104-2808
Assignment: 8
Reel/Frame:
5800/0417   Recorded: 05/25/2016Pages: 8
Conveyance:
RELEASE BY SECURED PARTY
Assignor:
WILMINGTON TRUST, NATIONAL ASSOCIATION
Exec Dt:
05/23/2016
Entity Type:
CORPORATION
Citizenship:
DELAWARE
Assignees:
ARETEC GROUP, INC. (FORMERLY KNOWN AS RCS CAPITAL CORPORATION)
245 PARK AVENUE
39TH FLOOR
NEW YORK, NEW YORK 10170
Entity Type:
CORPORATION
Citizenship:
DELAWARE
CETERA FINANCIAL HOLDINGS, INC.
200 N. SEPULVEDA BLVD.
SUITE 1200
EL SEGUNDO, CALIFORNIA 90245
Entity Type:
CORPORATION
Citizenship:
DELAWARE
FAS HOLDINGS, INC.
655 WEST BROADWAY
12TH FLOOR
SAN DIEGO, CALIFORNIA 92101
Entity Type:
CORPORATION
Citizenship:
DELAWARE
LEGEND GROUP HOLDINGS, LLC
4600 EAST PARK DRIVE
SUITE 300
PALM BEACH GARDES, FLORIDA 33410
Entity Type:
LIMITED LIABILITY COMPANY
Citizenship:
DELAWARE
INVESTORS CAPITAL HOLDINGS, LLC
6 KIMBALL LANE
SUITE 150
LYNNFIELD, MASSACHUSETTS 01940
Entity Type:
LIMITED LIABILITY COMPANY
Citizenship:
DELAWARE
J. P. TURNER & COMPANY, LLC
ONE BUCKHEAD PLAZA, 11TH FLOOR
3060 PEACHTREE ROAD N.W.
ATLANTA, GEORGIA 30305
Entity Type:
LIMITED LIABILITY COMPANY
Citizenship:
GEORGIA
Correspondent:
ALAN WANG
DECHERT LLP
1095 AVENUE OF AMERICAS
NEW YORK, NY 10036-6797
Assignment: 9
Reel/Frame:
5800/0736   Recorded: 05/25/2016Pages: 10
Conveyance:
RELEASE BY SECURED PARTY
Assignor:
BARCLAYS BANK PLC
Exec Dt:
05/23/2016
Entity Type:
PUBLIC LIMITED COMPANY
Citizenship:
NONE
Assignees:
ARETEC GROUP INC. (FORMERLY KNOWN AS RCS CAPTITAL CORPORATION)
245 PARK AVENUE
39TH FLOOR
NEW YORK, NEW YORK 10170
Entity Type:
CORPORATION
Citizenship:
DELAWARE
CETERA FINANCIAL HOLDINGS, INC.
200 N. SEPULVEDA BLVD.
SUITE 1200
EL SEGUNDO, CALIFORNIA 90245
Entity Type:
CORPORATION
Citizenship:
DELAWARE
CETERA FINANCIAL GROUP, INC.
200 N. SEPULVEDA BLVD.
SUITE 1200
EL SEGUNDO, CALIFORNIA 90245
Entity Type:
CORPORATION
Citizenship:
DELAWARE
FAS HOLDINGS, INC
655 WEST BROADWAY
12TH FLOOR
SAN DIEGO, CALIFORNIA 92101
Entity Type:
CORPORATION
Citizenship:
DELAWARE
LEGEND GROUP HOLDINGS, LLC
4600 EAST PARK DRIVE
SUITE 300
PALM BEACH GARDENS, FLORIDA 33410
Entity Type:
LIMITED LIABILITY COMPANY
Citizenship:
DELAWARE
INVESTORS CAPITAL HOLDINGS, LLC
6 KIMBALL LANE
SUITE 150
LYNNFIELD, MASSACHUSETTS 01940
Entity Type:
LIMITED LIABILITY COMPANY
Citizenship:
DELAWARE
REALTY CAPITAL SECURITIES, LLC
THREE COPLEY PLACE
SUITE 3300
BOSTON, MASSACHUSETTS 02116
Entity Type:
LIMITED LIABILITY COMPANY
Citizenship:
DELAWARE
TRUPOLY, LLC
405 PARK AVENUE
12TH FLOOR
NEW YORK, NEW YORK 10022
Entity Type:
LIMITED LIABILITY COMPANY
Citizenship:
DELAWARE
Correspondent:
ALAN WANG
DECHERT LLP
1095 AVENUE OF AMERICAS
NEW YORK, NY 10036-6797
Assignment: 10
Reel/Frame:
5800/0751   Recorded: 05/26/2016Pages: 7
Conveyance:
RELEASE OF SECOND LIEN TRADEMARK SECURITY AGREEMENT
Assignor:
WILMINGTON TRUST, NATIONAL ASSOCIATION
Exec Dt:
05/23/2016
Entity Type:
NATIONAL BANKING ASSOCIATION
Citizenship:
UNITED STATES
Assignee:
ARETEC GROUP, INC.
405 PARK AVENUE
NEW YORK, NEW YORK 10036
Entity Type:
CORPORATION
Citizenship:
DELAWARE
Correspondent:
JOANNA MCCALL
1025 VERMONT AVE NW, SUITE 1130
NATIONAL CORPORATE RESEARCH, LTD
WASHINGTON, DC 20005
Assignment: 11
Reel/Frame:
5802/0437   Recorded: 05/25/2016Pages: 8
Conveyance:
RELEASE BY SECURED PARTY
Assignor:
BARCLAYS BANK PLC
Exec Dt:
05/23/2016
Entity Type:
PUBLIC LIMITED COMPANY
Citizenship:
UNITED STATES
Assignees:
ARETEC GROUP, INC. (FORMERLY KNOWN AS RCS CAPITAL CORPORATION)
245 PARK AVENUE
39TH FLOOR
NEW YORK, NEW YORK 10170
Entity Type:
CORPORATION
Citizenship:
DELAWARE
CETERA FINANCIAL HOLDINGS, INC.
200 N. SEPULVEDA BLVD.
SUITE 1200
EL SEGUNDO, CALIFORNIA 90245
Entity Type:
CORPORATION
Citizenship:
DELAWARE
FAS HOLDINGS, INC.
655 WEST BROADWAY
12TH FLOOR
SAN DIEGO, CALIFORNIA 92101
Entity Type:
CORPORATION
Citizenship:
DELAWARE
LEGEND GROUP HOLDINGS, LLC
4600 EAST PARK DRIVE
SUITE 300
PALM BEACH GARDENS, FLORIDA 33410
Entity Type:
LIMITED LIABILITY COMPANY
Citizenship:
DELAWARE
INVESTORS CAPITAL HOLDINGS, LLC
6 KIMBALL LANE
SUITE 150
LYNNFIELD, MASSACHUSETTS 01940
Entity Type:
LIMITED LIABILITY COMPANY
Citizenship:
DELAWARE
Correspondent:
ALAN WANG
DECHERT LLP
1095 AVENUE OF AMERICAS
NEW YORK, NY 10036-6797
Assignment: 12
Reel/Frame:
5800/0508   Recorded: 05/24/2016Pages: 11
Conveyance:
FIRST LIEN TRADEMARK SECURITY AGREEMENT
Assignors:
ARETEC GROUP, INC. (FOMERLY KNOWN AS RCS CAPITAL CORPORATION)
Exec Dt:
05/23/2016
Entity Type:
CORPORATION
Citizenship:
DELAWARE
CETERA FINANCIAL GROUP, INC.
Exec Dt:
05/23/2016
Entity Type:
CORPORATION
Citizenship:
DELAWARE
CETERA FINANCIAL HOLDINGS, INC.
Exec Dt:
05/23/2016
Entity Type:
CORPORATION
Citizenship:
DELAWARE
FAS HOLDINGS, INC.
Exec Dt:
05/23/2016
Entity Type:
CORPORATION
Citizenship:
DELAWARE
INVESTORS CAPITAL HOLDINGS, LLC
Exec Dt:
05/23/2016
Entity Type:
LIMITED LIABILITY COMPANY
Citizenship:
DELAWARE
LEGEND GROUP HOLDINGS, LLC
Exec Dt:
05/23/2016
Entity Type:
LIMITED LIABILITY COMPANY
Citizenship:
DELAWARE
Assignee:
BARCLAYS BANK PLC
745 SEVENTH AVENUE
NEW YORK, NEW YORK 10019
Entity Type:
PUBLIC LIMITED COMPANY
Citizenship:
UNITED KINGDOM
Correspondent:
MARK LANGER
1460 EL CAMINO REAL, 2ND FLOOR
SHEARMAN & STERLING LLP
MENLO PARK, CA 94025
Assignment: 13
Reel/Frame:
5800/0344   Recorded: 05/24/2016Pages: 11
Conveyance:
SECOND LIEN TRADEMARK SECURITY AGREEMENT
Assignors:
ARETEC GROUP, INC. (FOMERLY KNOWN AS RCS CAPITAL CORPORATION)
Exec Dt:
05/23/2016
Entity Type:
CORPORATION
Citizenship:
DELAWARE
CETERA FINANCIAL GROUP, INC.
Exec Dt:
05/23/2016
Entity Type:
CORPORATION
Citizenship:
DELAWARE
CETERA FINANCIAL HOLDINGS, INC.
Exec Dt:
05/23/2016
Entity Type:
CORPORATION
Citizenship:
DELAWARE
FAS HOLDINGS, INC.
Exec Dt:
05/23/2016
Entity Type:
CORPORATION
Citizenship:
DELAWARE
INVESTORS CAPITAL HOLDINGS, LLC
Exec Dt:
05/23/2016
Entity Type:
LIMITED LIABILITY COMPANY
Citizenship:
DELAWARE
LEGEND GROUP HOLDINGS, LLC
Exec Dt:
05/23/2016
Entity Type:
LIMITED LIABILITY COMPANY
Citizenship:
DELAWARE
Assignee:
BARCLAYS BANK PLC
745 SEVENTH AVENUE
NEW YORK, NEW YORK 10019
Entity Type:
PUBLIC LIMITED COMPANY
Citizenship:
UNITED KINGDOM
Correspondent:
MARK LANGER
1460 EL CAMINO REAL, 2ND FLOOR
SHEARMAN & STERLING LLP
MENLO PARK, CA 94025
Assignment: 14
Reel/Frame:
6446/0817   Recorded: 10/01/2018Pages: 13
Conveyance:
RELEASE OF SECURITY INTEREST IN FIRST LIEN TRADEMARK COLLATERAL
Assignor:
BARCLAYS BANK PLC
Exec Dt:
10/01/2018
Entity Type:
PUBLIC LIMITED COMPANY
Citizenship:
UNITED KINGDOM
Assignees:
ARETEC GROUP, INC.
200 N. PACIFIC COAST HWY., SUITE 1200
EL SEGUNDO, CALIFORNIA 90245-4399
Entity Type:
CORPORATION
Citizenship:
DELAWARE
CETERA FINANCIAL HOLDINGS, INC.
200 N. PACIFIC COAST HWY., SUITE 1200
EL SEGUNDO, CALIFORNIA 90245-4399
Entity Type:
CORPORATION
Citizenship:
DELAWARE
INVESTORS CAPITAL HOLDINGS, LLC
200 N. PACIFIC COAST HWY., SUITE 1200
EL SEGUNDO, CALIFORNIA 90245-4399
Entity Type:
LIMITED LIABILITY COMPANY
Citizenship:
DELAWARE
LEGEND GROUP HOLDINGS, LLC
4600 EAST PARK DRIVE, SUITE 300
PALM BEACH GARDENS, FLORIDA 33410
Entity Type:
LIMITED LIABILITY COMPANY
Citizenship:
DELAWARE
J.P. TURNER & COMPANY, L.L.C.
200 N. PACIFIC COAST HWY., SUITE 1200
EL SEGUNDO, CALIFORNIA 90245-4399
Entity Type:
LIMITED LIABILITY COMPANY
Citizenship:
GEORGIA
Correspondent:
MAX GOODMAN C/O WILLKIE FARR & GALLAGHER
787 SEVENTH AVENUE
NEW YORK, NY 10019
Assignment: 15
Reel/Frame:
6446/0903   Recorded: 10/01/2018Pages: 13
Conveyance:
RELEASE OF SECURITY INTEREST IN SECOND LIEN TRADEMARK COLLATERAL
Assignor:
BARCLAYS BANK PLC
Exec Dt:
10/01/2018
Entity Type:
PUBLIC LIMITED COMPANY
Citizenship:
UNITED KINGDOM
Assignees:
ARETEC GROUP, INC.
200 N. PACIFIC COAST HWY., SUITE 1200
EL SEGUNDO, CALIFORNIA 90245-4399
Entity Type:
CORPORATION
Citizenship:
DELAWARE
CETERA FINANCIAL HOLDINGS, INC.
200 N. PACIFIC COAST HWY., SUITE 1200
EL SEGUNDO, CALIFORNIA 90245-4399
Entity Type:
CORPORATION
Citizenship:
DELAWARE
INVESTORS CAPITAL HOLDINGS, LLC
200 N. PACIFIC COAST HWY., SUITE 1200
EL SEGUNDO, CALIFORNIA 90245-4399
Entity Type:
LIMITED LIABILITY COMPANY
Citizenship:
DELAWARE
LEGEND GROUP HOLDINGS, LLC
4600 EAST PARK DRIVE, SUITE 300
PALM BEACH GARDENS, FLORIDA 33410
Entity Type:
LIMITED LIABILITY COMPANY
Citizenship:
DELAWARE
J.P. TURNER & COMPANY, L.L.C.
200 N. PACIFIC COAST HWY., SUITE 1200
EL SEGUNDO, CALIFORNIA 90245-4399
Entity Type:
LIMITED LIABILITY COMPANY
Citizenship:
GEORGIA
Correspondent:
MAX GOODMAN C/O WILLKIE FARR & GALLAGHER
787 SEVENTH AVENUE
NEW YORK, NY 10019

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