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Trademark Assignment Abstract of Title

Total Assignments: 18
Serial #:
Filing Dt:
04/19/2010
Reg #:
Reg. Dt:
05/03/2011
Registrant:
Cetera Financial Holdings, Inc.
Mark:
C CETERA FINANCIAL GROUP
Assignment: 1
Reel/Frame:
4806/0706   Recorded: 06/22/2012Pages: 7
Conveyance:
SECURITY INTEREST
Assignor:
Exec Dt:
06/22/2012
Entity Type:
CORPORATION
Citizenship:
DELAWARE
Assignee:
30 SOUTH WACKER DRIVE, SUITE 3700
CHICAGO, ILLINOIS 60606
Entity Type:
LIMITED LIABILITY COMPANY
Citizenship:
DELAWARE
Correspondent:
SHARON PATTERSON, PARALEGAL
GOLDBERG KOHN LTD., 55 E. MONROE ST.
STE. 3300
CHICAGO, IL 60603
Assignment: 2
Reel/Frame:
5087/0006   Recorded: 08/07/2013Pages: 5
Conveyance:
RELEASE OF SECURITY INTEREST
Assignor:
Exec Dt:
08/07/2013
Entity Type:
LIMITED LIABILITY COMPANY
Citizenship:
DELAWARE
Assignee:
200 N. SEPULVEDA BLVD. SUITE 1200
EI SEGUNDO, CALIFORNIA 90245
Entity Type:
CORPORATION
Citizenship:
DELAWARE
Correspondent:
ELAINE CARRERA, LEGAL ASSISTANT
80 PINE STREET
C/O CAHILL GORDON & REINDEL LLP
NEW YORK, NY 10005
Assignment: 3
Reel/Frame:
5087/0560   Recorded: 08/08/2013Pages: 8
Conveyance:
SECURITY AGREEMENT
Assignor:
Exec Dt:
08/07/2013
Entity Type:
CORPORATION
Citizenship:
DELAWARE
Assignee:
500 STANTON CHRISTIANA RD ., OPS 2, FL. 3
NEWARK, DELAWARE 19713-2107
Entity Type:
BANK
Citizenship:
UNITED STATES
Correspondent:
ELAINE CARRERA, LEGAL ASSISTANT
80 PINE STREET
C/O CAHILL GORDON & REINDEL LLP
NEW YORK, NY 10005
Assignment: 4
Reel/Frame:
5271/0146   Recorded: 04/30/2014Pages: 8
Conveyance:
RELEASE OF SECURITY INTEREST
Assignor:
Exec Dt:
04/29/2014
Entity Type:
BANK
Citizenship:
UNITED STATES
Assignees:
200 N. SEPULVEDA BLVD., SUITE 1200
EL SEGUNDO, CALIFORNIA 90245
Entity Type:
CORPORATION
Citizenship:
DELAWARE
200 N. SEPULVEDA BLVD., SUITE 1200
EL SEGUNDO, CALIFORNIA 90245
Entity Type:
CORPORATION
Citizenship:
DELAWARE
Correspondent:
ELAINE CARRERA, LEGAL ASSISTANT
80 PINE STREET
C/O CAHILL GORDON & REINDEL LLP
NEW YORK, NY 10005
Assignment: 5
Reel/Frame:
5273/0119   Recorded: 05/02/2014Pages: 8
Conveyance:
SECOND LIEN SECURITY AGREEMENT
Assignor:
Exec Dt:
04/29/2014
Entity Type:
CORPORATION
Citizenship:
DELAWARE
Assignee:
901 MAIN ST., 14TH FLOOR
MAIL CODE TX1-492-14-06
DALLAS, TEXAS 75202
Entity Type:
BANK
Citizenship:
UNITED STATES
Correspondent:
ELAINE CARRERA, LEGAL ASSISTANT
80 PINE STREET
C/O CAHILL GORDON & REINDEL LLP
NEW YORK, NY 10005
Assignment: 6
Reel/Frame:
5273/0392   Recorded: 05/01/2014Pages: 7
Conveyance:
FIRST LIEN SECURITY AGREEMENT
Assignor:
Exec Dt:
04/29/2014
Entity Type:
CORPORATION
Citizenship:
DELAWARE
Assignee:
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 & REINDEL LLP
NEW YORK, NY 10005
Assignment: 7
Reel/Frame:
5711/0618   Recorded: 01/19/2016Pages: 7
Conveyance:
NOTICE OF SUCCESSION OF AGENCY
Assignor:
Exec Dt:
01/14/2016
Entity Type:
ASSOCIATION
Citizenship:
UNITED STATES
Assignee:
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: 8
Reel/Frame:
5727/0593   Recorded: 02/09/2016Pages: 12
Conveyance:
SECURITY INTEREST
Assignors:
Exec Dt:
02/08/2016
Entity Type:
CORPORATION
Citizenship:
DELAWARE
Exec Dt:
02/08/2016
Entity Type:
CORPORATION
Citizenship:
DELAWARE
Exec Dt:
02/08/2016
Entity Type:
CORPORATION
Citizenship:
DELAWARE
Exec Dt:
02/08/2016
Entity Type:
CORPORATION
Citizenship:
DELAWARE
Exec Dt:
02/08/2016
Entity Type:
LIMITED LIABILITY COMPANY
Citizenship:
DELAWARE
Exec Dt:
02/08/2016
Entity Type:
LIMITED LIABILITY COMPANY
Citizenship:
DELAWARE
Exec Dt:
02/08/2016
Entity Type:
LIMITED LIABILITY COMPANY
Citizenship:
DELAWARE
Exec Dt:
02/08/2016
Entity Type:
LIMITED LIABILITY COMPANY
Citizenship:
DELAWARE
Assignee:
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: 9
Reel/Frame:
5800/0618   Recorded: 05/26/2016Pages: 6
Conveyance:
RELEASE OF SECOND LIEN TRADEMARK SECURITY AGREEMENT
Assignor:
Exec Dt:
05/23/2016
Entity Type:
NATIONAL BANKING ASSOCIATION
Citizenship:
UNITED STATES
Assignee:
200 N. SEPULVEDA BLVD., SUITE 1200
EL SEGUNDO, CALIFORNIA 90245
Entity Type:
CORPORATION
Citizenship:
DELAWARE
Correspondent:
JOANNA MCCALL
1025 VERMONT AVE NW, SUITE 1130
NATIONAL CORPORATE RESEARCH, LTD
WASHINGTON, DC 20005
Assignment: 10
Reel/Frame:
5800/0736   Recorded: 05/25/2016Pages: 10
Conveyance:
RELEASE BY SECURED PARTY
Assignor:
Exec Dt:
05/23/2016
Entity Type:
PUBLIC LIMITED COMPANY
Citizenship:
NONE
Assignees:
245 PARK AVENUE
39TH FLOOR
NEW YORK, NEW YORK 10170
Entity Type:
CORPORATION
Citizenship:
DELAWARE
200 N. SEPULVEDA BLVD.
SUITE 1200
EL SEGUNDO, CALIFORNIA 90245
Entity Type:
CORPORATION
Citizenship:
DELAWARE
200 N. SEPULVEDA BLVD.
SUITE 1200
EL SEGUNDO, CALIFORNIA 90245
Entity Type:
CORPORATION
Citizenship:
DELAWARE
655 WEST BROADWAY
12TH FLOOR
SAN DIEGO, CALIFORNIA 92101
Entity Type:
CORPORATION
Citizenship:
DELAWARE
4600 EAST PARK DRIVE
SUITE 300
PALM BEACH GARDENS, FLORIDA 33410
Entity Type:
LIMITED LIABILITY COMPANY
Citizenship:
DELAWARE
6 KIMBALL LANE
SUITE 150
LYNNFIELD, MASSACHUSETTS 01940
Entity Type:
LIMITED LIABILITY COMPANY
Citizenship:
DELAWARE
THREE COPLEY PLACE
SUITE 3300
BOSTON, MASSACHUSETTS 02116
Entity Type:
LIMITED LIABILITY COMPANY
Citizenship:
DELAWARE
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: 11
Reel/Frame:
5807/0673   Recorded: 05/25/2016Pages: 6
Conveyance:
RELEASE BY SECURED PARTY
Assignor:
Exec Dt:
05/23/2016
Entity Type:
NATIONAL ASSOCIATION
Citizenship:
UNITED STATES
Assignee:
200 N. SEPULVEDA BLVD.
SUITE 1200
EL SEGUNDO, CALIFORNIA 90245
Entity Type:
CORPORATION
Citizenship:
DELAWARE
Correspondent:
ALAN WANG
DECHERT LLP
1095 AVENUE OF AMERICAS
NEW YORK, NY 10036-6797
Assignment: 12
Reel/Frame:
5807/0679   Recorded: 05/25/2016Pages: 6
Conveyance:
RELEASE BY SECURED PARTY
Assignor:
Exec Dt:
05/23/2016
Entity Type:
BANK
Citizenship:
UNITED STATES
Assignee:
200 N. SEPULVEDA BLVD.
SUITE 1200
EL SEGUNDO, CALIFORNIA 90245
Entity Type:
CORPORATION
Citizenship:
DELAWARE
Correspondent:
ALAN WANG
DECHERT LLP
1095 AVENUE OF AMERICAS
NEW YORK, NY 10036-6797
Assignment: 13
Reel/Frame:
5800/0508   Recorded: 05/24/2016Pages: 11
Conveyance:
FIRST LIEN TRADEMARK SECURITY AGREEMENT
Assignors:
Exec Dt:
05/23/2016
Entity Type:
CORPORATION
Citizenship:
DELAWARE
Exec Dt:
05/23/2016
Entity Type:
CORPORATION
Citizenship:
DELAWARE
Exec Dt:
05/23/2016
Entity Type:
CORPORATION
Citizenship:
DELAWARE
Exec Dt:
05/23/2016
Entity Type:
CORPORATION
Citizenship:
DELAWARE
Exec Dt:
05/23/2016
Entity Type:
LIMITED LIABILITY COMPANY
Citizenship:
DELAWARE
Exec Dt:
05/23/2016
Entity Type:
LIMITED LIABILITY COMPANY
Citizenship:
DELAWARE
Assignee:
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:
5800/0344   Recorded: 05/24/2016Pages: 11
Conveyance:
SECOND LIEN TRADEMARK SECURITY AGREEMENT
Assignors:
Exec Dt:
05/23/2016
Entity Type:
CORPORATION
Citizenship:
DELAWARE
Exec Dt:
05/23/2016
Entity Type:
CORPORATION
Citizenship:
DELAWARE
Exec Dt:
05/23/2016
Entity Type:
CORPORATION
Citizenship:
DELAWARE
Exec Dt:
05/23/2016
Entity Type:
CORPORATION
Citizenship:
DELAWARE
Exec Dt:
05/23/2016
Entity Type:
LIMITED LIABILITY COMPANY
Citizenship:
DELAWARE
Exec Dt:
05/23/2016
Entity Type:
LIMITED LIABILITY COMPANY
Citizenship:
DELAWARE
Assignee:
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: 15
Reel/Frame:
6446/0817   Recorded: 10/01/2018Pages: 13
Conveyance:
RELEASE OF SECURITY INTEREST IN FIRST LIEN TRADEMARK COLLATERAL
Assignor:
Exec Dt:
10/01/2018
Entity Type:
PUBLIC LIMITED COMPANY
Citizenship:
UNITED KINGDOM
Assignees:
200 N. PACIFIC COAST HWY., SUITE 1200
EL SEGUNDO, CALIFORNIA 90245-4399
Entity Type:
CORPORATION
Citizenship:
DELAWARE
200 N. PACIFIC COAST HWY., SUITE 1200
EL SEGUNDO, CALIFORNIA 90245-4399
Entity Type:
CORPORATION
Citizenship:
DELAWARE
200 N. PACIFIC COAST HWY., SUITE 1200
EL SEGUNDO, CALIFORNIA 90245-4399
Entity Type:
LIMITED LIABILITY COMPANY
Citizenship:
DELAWARE
4600 EAST PARK DRIVE, SUITE 300
PALM BEACH GARDENS, FLORIDA 33410
Entity Type:
LIMITED LIABILITY COMPANY
Citizenship:
DELAWARE
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: 16
Reel/Frame:
6446/0903   Recorded: 10/01/2018Pages: 13
Conveyance:
RELEASE OF SECURITY INTEREST IN SECOND LIEN TRADEMARK COLLATERAL
Assignor:
Exec Dt:
10/01/2018
Entity Type:
PUBLIC LIMITED COMPANY
Citizenship:
UNITED KINGDOM
Assignees:
200 N. PACIFIC COAST HWY., SUITE 1200
EL SEGUNDO, CALIFORNIA 90245-4399
Entity Type:
CORPORATION
Citizenship:
DELAWARE
200 N. PACIFIC COAST HWY., SUITE 1200
EL SEGUNDO, CALIFORNIA 90245-4399
Entity Type:
CORPORATION
Citizenship:
DELAWARE
200 N. PACIFIC COAST HWY., SUITE 1200
EL SEGUNDO, CALIFORNIA 90245-4399
Entity Type:
LIMITED LIABILITY COMPANY
Citizenship:
DELAWARE
4600 EAST PARK DRIVE, SUITE 300
PALM BEACH GARDENS, FLORIDA 33410
Entity Type:
LIMITED LIABILITY COMPANY
Citizenship:
DELAWARE
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: 17
Reel/Frame:
6446/0602   Recorded: 10/01/2018Pages: 12
Conveyance:
SECURITY INTEREST
Assignors:
Formerly: FORMERLY RCS CAPITAL CORPORATION
Exec Dt:
10/01/2018
Entity Type:
CORPORATION
Citizenship:
DELAWARE
Exec Dt:
10/01/2018
Entity Type:
CORPORATION
Citizenship:
DELAWARE
Exec Dt:
10/01/2018
Entity Type:
CORPORATION
Citizenship:
DELAWARE
Exec Dt:
10/01/2018
Entity Type:
CORPORATION
Citizenship:
DELAWARE
Exec Dt:
10/01/2018
Entity Type:
LIMITED LIABILITY COMPANY
Citizenship:
DELAWARE
Exec Dt:
10/01/2018
Entity Type:
LIMITED LIABILITY COMPANY
Citizenship:
GEORGIA
Exec Dt:
10/01/2018
Entity Type:
CORPORATION
Citizenship:
FLORIDA
Assignee:
600 WASHINGTON BOULEVARD
UBS AGENCY SERVICES
STAMFORD, CONNECTICUT 06901
Entity Type:
AKTIENGESELLSCHAFT (AG)
Citizenship:
SWITZERLAND
Correspondent:
KRISTIN YOHANNAN, ESQ.
1850 K STREET, NW, SUITE 1100
MILBANK, TWEED, HADLEY & MCCLOY, LLP
WASHINGTON, DC 20006
Assignment: 18
Reel/Frame:
6446/0614   Recorded: 10/01/2018Pages: 12
Conveyance:
SECURITY INTEREST
Assignors:
Formerly: FORMERLY RCS CAPITAL CORPORATION
Exec Dt:
10/01/2018
Entity Type:
CORPORATION
Citizenship:
DELAWARE
Exec Dt:
10/01/2018
Entity Type:
CORPORATION
Citizenship:
DELAWARE
Exec Dt:
10/01/2018
Entity Type:
CORPORATION
Citizenship:
DELAWARE
Exec Dt:
10/01/2018
Entity Type:
CORPORATION
Citizenship:
DELAWARE
Exec Dt:
10/01/2018
Entity Type:
LIMITED LIABILITY COMPANY
Citizenship:
DELAWARE
Exec Dt:
10/01/2018
Entity Type:
LIMITED LIABILITY COMPANY
Citizenship:
GEORGIA
Exec Dt:
10/01/2018
Entity Type:
CORPORATION
Citizenship:
FLORIDA
Assignee:
600 WASHINGTON BOULEVARD
UBS AGENCY SERVICES
STAMFORD, CONNECTICUT 06901
Entity Type:
AKTIENGESELLSCHAFT (AG)
Citizenship:
SWITZERLAND
Correspondent:
KRISTIN YOHANNAN, ESQ.
1850 K STREET, NW, SUITE 1100
MILBANK, TWEED, HADLEY & MCCLOY, LLP
WASHINGTON, DC 20006

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