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Trademark Assignment Assignor Details

Assignor Name : CETERA FINANCIAL GROUP, INC.
Total Assignments: 11
Assignment: 1
Reel/Frame:4810/0081 View Recorded Assignment View Recorded Assignment   Pages: 7
    Recorded: 06/28/2012
Attorney Dkt #:4975.247
Conveyance: SECURITY INTEREST
Assignor
1
CETERA FINANCIAL GROUP, INC.
Exec Dt:
06/22/2012
Entity Type:
CORPORATION
Citizenship:
DELAWARE
Assignee
1
MADISON CAPITAL FUNDING LLC, AS AGENT
30 SOUTH WACKER DRIVE, SUITE 3700
CHICAGO, ILLINOIS 60606
Entity Type:
LIMITED LIABILITY COMPANY
Citizenship:
DELAWARE
Properties
 
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77051520
3610806
 
77051545
3578407
 
77532815
3764318
 
77683410
3743278
 
77843508
3912040
Correspondence name and address
SHARON PATTERSON, PARALEGAL
GOLDBERG KOHN LTD. 55 E. MONROE ST.
STE. 3300
CHICAGO, IL 60603
Assignment: 2
Reel/Frame:5272/0160 View Recorded Assignment View Recorded Assignment   Pages: 8
    Recorded: 05/01/2014
Conveyance: FIRST LIEN SECURITY AGREEMENT
Assignor
1
CETERA FINANCIAL GROUP, INC.
Exec Dt:
04/29/2014
Entity Type:
CORPORATION
Citizenship:
DELAWARE
Assignee
1
BARCLAYS BANK PLC, AS COLLATERAL AGENT
745 SEVENTH AVENUE, 27TH FLOOR
NEW YORK, NEW YORK 10019
Entity Type:
BANK
Citizenship:
UNITED STATES
Properties
 
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77051520
3610806
 
77051545
3578407
 
77532815
3764318
 
77683410
3743278
 
77843508
3912040
Correspondence name and address
ELAINE CARRERA, LEGAL ASSISTANT
80 PINE STREET
C/O CAHILL GORDON & REINDEL LLP
NEW YORK, NY 10005
Assignment: 3
Reel/Frame:5273/0094 View Recorded Assignment View Recorded Assignment   Pages: 7
    Recorded: 05/02/2014
Conveyance: SECOND LIEN SECURITY AGREEMENT
Assignor
1
CETERA FINANCIAL GROUP, INC.
Exec Dt:
04/29/2014
Entity Type:
CORPORATION
Citizenship:
DELAWARE
Assignee
1
BANK OF AMERICA, N.A., AS COLLATERAL AGENT
901 MAIN ST.,14TH FLOOR
MAIL CODE TX1-492-14-06
DALLAS, TEXAS 75202
Entity Type:
BANK
Citizenship:
UNITED STATES
Properties
 
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77051520
3610806
 
77051545
3578407
 
77532815
3764318
 
77683410
3743278
 
77843508
3912040
Correspondence name and address
ELAINE CARRERA, LEGAL ASSISTANT
80 PINE STREET
C/O CAHILL GORDON & REINDEL LLP
NEW YORK, NY 10005
Assignment: 4
Reel/Frame:5727/0593 View Recorded Assignment View Recorded Assignment   Pages: 12
    Recorded: 02/09/2016
Attorney Dkt #:632/27
Conveyance: SECURITY INTEREST
Assignors
1
RCS CAPITAL CORPORATION
Exec Dt:
02/08/2016
Entity Type:
CORPORATION
Citizenship:
DELAWARE
2
CETERA FINANCIAL GROUP, INC.
Exec Dt:
02/08/2016
Entity Type:
CORPORATION
Citizenship:
DELAWARE
3
CETERA FINANCIAL HOLDINGS, INC.
Exec Dt:
02/08/2016
Entity Type:
CORPORATION
Citizenship:
DELAWARE
4
FAS HOLDINGS, INC.
Exec Dt:
02/08/2016
Entity Type:
CORPORATION
Citizenship:
DELAWARE
5
INVESTORS CAPITAL HOLDINGS, LLC
Exec Dt:
02/08/2016
Entity Type:
LIMITED LIABILITY COMPANY
Citizenship:
DELAWARE
6
LEGEND GROUP HOLDINGS, LLC
Exec Dt:
02/08/2016
Entity Type:
LIMITED LIABILITY COMPANY
Citizenship:
DELAWARE
7
REALTY CAPITAL SECURITIES, LLC
Exec Dt:
02/08/2016
Entity Type:
LIMITED LIABILITY COMPANY
Citizenship:
DELAWARE
8
TRUPOLY, LLC (AS SUCCESSOR TO PROJECT T ACQUISITION, LLC)
Exec Dt:
02/08/2016
Entity Type:
LIMITED LIABILITY COMPANY
Citizenship:
DELAWARE
Assignee
1
BARCLAYS BANK PLC
745 7TH AVENUE
NEW YORK, NEW YORK 10019
Entity Type:
PUBLIC LIMITED COMPANY
Citizenship:
UNITED KINGDOM
Properties
 
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74727482
2122102
 
75251838
2165498
 
75564452
2307318
 
75712649
2562204
 
76025490
2633966
 
76602898
3047858
 
76603171
3066881
 
77038796
3279172
 
77532815
3764318
 
77683410
3743278
 
77794599
3760971
 
77794641
3902615
 
77843508
3912040
 
77942067
3953295
 
78607443
3480600
 
78607447
3214231
 
78607450
3131411
 
78856502
3211043
 
85016918
3953736
 
85021919
3907114
 
85172710
4068476
 
85197603
4078041
 
85204976
4165371
 
85209017
4089914
 
85317881
4083031
 
85324795
4083225
 
85389506
4400652
 
85415379
4227341
 
85433961
4195933
 
85653680
4386540
 
85653688
4386541
 
85653699
4386542
 
85915954
4645920
 
85974525
4689345
 
86036709
4501486
 
86185463
4605004
 
86222883
4664849
 
86300134
4632535
 
86481633
4919272
 
86481835
4919274
 
86505086
4882991
 
86595705
4886991
 
86653538
4887018
 
86685311
5006067
 
86875145
5026839
Correspondence name and address
MARK LANGER
1460 EL CAMINO REAL, 2ND FLOOR
SHEARMAN & STERLING LLP
MENLO PARK, CA 94025
Assignment: 5
Reel/Frame:5800/0508 View Recorded Assignment View Recorded Assignment   Pages: 11
    Recorded: 05/24/2016
Conveyance: FIRST LIEN TRADEMARK SECURITY AGREEMENT
Assignors
1
ARETEC GROUP, INC. (FOMERLY KNOWN AS RCS CAPITAL CORPORATION)
Exec Dt:
05/23/2016
Entity Type:
CORPORATION
Citizenship:
DELAWARE
2
CETERA FINANCIAL GROUP, INC.
Exec Dt:
05/23/2016
Entity Type:
CORPORATION
Citizenship:
DELAWARE
3
CETERA FINANCIAL HOLDINGS, INC.
Exec Dt:
05/23/2016
Entity Type:
CORPORATION
Citizenship:
DELAWARE
4
FAS HOLDINGS, INC.
Exec Dt:
05/23/2016
Entity Type:
CORPORATION
Citizenship:
DELAWARE
5
INVESTORS CAPITAL HOLDINGS, LLC
Exec Dt:
05/23/2016
Entity Type:
LIMITED LIABILITY COMPANY
Citizenship:
DELAWARE
6
LEGEND GROUP HOLDINGS, LLC
Exec Dt:
05/23/2016
Entity Type:
LIMITED LIABILITY COMPANY
Citizenship:
DELAWARE
Assignee
1
BARCLAYS BANK PLC
745 SEVENTH AVENUE
NEW YORK, NEW YORK 10019
Entity Type:
PUBLIC LIMITED COMPANY
Citizenship:
UNITED KINGDOM
Properties
 
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74727482
2122102
 
75251838
2165498
 
75564452
2307318
 
75712649
2562204
 
76025490
2633966
 
76602898
3047858
 
76603171
3066881
 
77038796
3279172
 
77532815
3764318
 
77683410
3743278
 
77794599
3760971
 
77794641
3902615
 
77843508
3912040
 
77942067
3953295
 
78607443
3480600
 
78607447
3214231
 
78607450
3131411
 
78856502
3211043
 
85016918
3953736
 
85021919
3907114
 
85172710
4068476
 
85197603
4078041
 
85204976
4165371
 
85209017
4089914
 
85317881
4083031
 
85324795
4083225
 
85389506
4400652
 
85415379
4227341
 
85433961
4195933
 
85653680
4386540
 
85653688
4386541
 
85653699
4386542
 
85915954
4645920
 
85974525
4689345
 
86036709
4501486
 
86185463
4605004
 
86222883
4664849
 
86300134
4632535
 
86481633
4919272
 
86481835
4919274
 
86505086
4882991
 
86595705
4886991
 
86653538
4887018
 
86685311
5006067
 
86875145
5026839
 
86945467
5099168
Correspondence name and address
MARK LANGER
1460 EL CAMINO REAL, 2ND FLOOR
SHEARMAN & STERLING LLP
MENLO PARK, CA 94025
Assignment: 6
Reel/Frame:5800/0344 View Recorded Assignment View Recorded Assignment   Pages: 11
    Recorded: 05/24/2016
Conveyance: SECOND LIEN TRADEMARK SECURITY AGREEMENT
Assignors
1
ARETEC GROUP, INC. (FOMERLY KNOWN AS RCS CAPITAL CORPORATION)
Exec Dt:
05/23/2016
Entity Type:
CORPORATION
Citizenship:
DELAWARE
2
CETERA FINANCIAL GROUP, INC.
Exec Dt:
05/23/2016
Entity Type:
CORPORATION
Citizenship:
DELAWARE
3
CETERA FINANCIAL HOLDINGS, INC.
Exec Dt:
05/23/2016
Entity Type:
CORPORATION
Citizenship:
DELAWARE
4
FAS HOLDINGS, INC.
Exec Dt:
05/23/2016
Entity Type:
CORPORATION
Citizenship:
DELAWARE
5
INVESTORS CAPITAL HOLDINGS, LLC
Exec Dt:
05/23/2016
Entity Type:
LIMITED LIABILITY COMPANY
Citizenship:
DELAWARE
6
LEGEND GROUP HOLDINGS, LLC
Exec Dt:
05/23/2016
Entity Type:
LIMITED LIABILITY COMPANY
Citizenship:
DELAWARE
Assignee
1
BARCLAYS BANK PLC
745 SEVENTH AVENUE
NEW YORK, NEW YORK 10019
Entity Type:
PUBLIC LIMITED COMPANY
Citizenship:
UNITED KINGDOM
Properties
 
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74727482
2122102
 
75251838
2165498
 
75564452
2307318
 
75712649
2562204
 
76025490
2633966
 
76602898
3047858
 
76603171
3066881
 
77038796
3279172
 
77532815
3764318
 
77683410
3743278
 
77794599
3760971
 
77794641
3902615
 
77843508
3912040
 
77942067
3953295
 
78607443
3480600
 
78607447
3214231
 
78607450
3131411
 
78856502
3211043
 
85016918
3953736
 
85021919
3907114
 
85172710
4068476
 
85197603
4078041
 
85204976
4165371
 
85209017
4089914
 
85317881
4083031
 
85324795
4083225
 
85389506
4400652
 
85415379
4227341
 
85433961
4195933
 
85653680
4386540
 
85653688
4386541
 
85653699
4386542
 
85915954
4645920
 
85974525
4689345
 
86036709
4501486
 
86185463
4605004
 
86222883
4664849
 
86300134
4632535
 
86481633
4919272
 
86481835
4919274
 
86505086
4882991
 
86595705
4886991
 
86653538
4887018
 
86685311
5006067
 
86875145
5026839
 
86945467
5099168
Correspondence name and address
MARK LANGER
1460 EL CAMINO REAL, 2ND FLOOR
SHEARMAN & STERLING LLP
MENLO PARK, CA 94025
Assignment: 7
Reel/Frame:6446/0602 View Recorded Assignment View Recorded Assignment   Pages: 12
    Recorded: 10/01/2018
Attorney Dkt #:37199.09500
Conveyance: SECURITY INTEREST
Assignors
1
ARETEC GROUP, INC.
Formerly: FORMERLY RCS CAPITAL CORPORATION
Exec Dt:
10/01/2018
Entity Type:
CORPORATION
Citizenship:
DELAWARE
2
CETERA FINANCIAL HOLDINGS, INC.
Exec Dt:
10/01/2018
Entity Type:
CORPORATION
Citizenship:
DELAWARE
3
CETERA FINANCIAL GROUP, INC.
Exec Dt:
10/01/2018
Entity Type:
CORPORATION
Citizenship:
DELAWARE
4
FAS HOLDINGS, INC.
Exec Dt:
10/01/2018
Entity Type:
CORPORATION
Citizenship:
DELAWARE
5
INVESTORS CAPITAL HOLDINGS, LLC
Exec Dt:
10/01/2018
Entity Type:
LIMITED LIABILITY COMPANY
Citizenship:
DELAWARE
6
J.P. TURNER & COMPANY, L.L.C.
Exec Dt:
10/01/2018
Entity Type:
LIMITED LIABILITY COMPANY
Citizenship:
GEORGIA
7
SUMMIT FINANCIAL GROUP, INC.
Exec Dt:
10/01/2018
Entity Type:
CORPORATION
Citizenship:
FLORIDA
Assignee
1
UBS AG, STAMFORD BRANCH, AS COLLATERAL AGENT
600 WASHINGTON BOULEVARD
UBS AGENCY SERVICES
STAMFORD, CONNECTICUT 06901
Entity Type:
AKTIENGESELLSCHAFT (AG)
Citizenship:
SWITZERLAND
Properties
 
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74727482
2122102
 
75129498
2194574
 
75251838
2165498
 
76403377
4342766
 
76519933
4638801
 
76602898
3047858
 
76603171
3066881
 
77387832
3504418
 
77532815
3764318
 
77553195
3598192
 
77843508
3912040
 
77870072
3806932
 
77942067
3953295
 
85016918
3953736
 
85021919
3907114
 
85197603
4078041
 
85204976
4165371
 
85317881
4083031
 
85324795
4083225
 
85389506
4400652
 
85415379
4227341
 
85433961
4195933
 
85653680
4386540
 
85653688
4386541
 
85653699
4386542
 
85915954
4645920
 
85974525
4689345
 
86036709
4501486
 
86185463
4605004
 
86222883
4664849
 
86300134
4632535
 
86481633
4919272
 
86481835
4919274
 
86505086
4882991
 
86595705
4886991
 
86653538
4887018
 
86875145
5026839
 
86903088
5261935
 
86945467
5099168
 
86958103
5125829
 
87976488
5403517
 
87977015
5445179
 
87978425
5582430
Correspondence name and address
KRISTIN YOHANNAN, ESQ.
1850 K STREET, NW, SUITE 1100
MILBANK, TWEED, HADLEY & MCCLOY, LLP
WASHINGTON, DC 20006
Assignment: 8
Reel/Frame:6446/0614 View Recorded Assignment View Recorded Assignment   Pages: 12
    Recorded: 10/01/2018
Attorney Dkt #:37199.09500
Conveyance: SECURITY INTEREST
Assignors
1
ARETEC GROUP, INC.
Formerly: FORMERLY RCS CAPITAL CORPORATION
Exec Dt:
10/01/2018
Entity Type:
CORPORATION
Citizenship:
DELAWARE
2
CETERA FINANCIAL HOLDINGS, INC.
Exec Dt:
10/01/2018
Entity Type:
CORPORATION
Citizenship:
DELAWARE
3
CETERA FINANCIAL GROUP, INC.
Exec Dt:
10/01/2018
Entity Type:
CORPORATION
Citizenship:
DELAWARE
4
FAS HOLDINGS, INC.
Exec Dt:
10/01/2018
Entity Type:
CORPORATION
Citizenship:
DELAWARE
5
INVESTORS CAPITAL HOLDINGS, LLC
Exec Dt:
10/01/2018
Entity Type:
LIMITED LIABILITY COMPANY
Citizenship:
DELAWARE
6
J.P. TURNER & COMPANY, L.L.C.
Exec Dt:
10/01/2018
Entity Type:
LIMITED LIABILITY COMPANY
Citizenship:
GEORGIA
7
SUMMIT FINANCIAL GROUP, INC.
Exec Dt:
10/01/2018
Entity Type:
CORPORATION
Citizenship:
FLORIDA
Assignee
1
UBS AG, STAMFORD BRANCH, AS COLLATERAL AGENT
600 WASHINGTON BOULEVARD
UBS AGENCY SERVICES
STAMFORD, CONNECTICUT 06901
Entity Type:
AKTIENGESELLSCHAFT (AG)
Citizenship:
SWITZERLAND
Properties
 
Ser. #
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Ser. #
Reg. #
 
Ser. #
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Ser. #
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Ser. #
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74727482
2122102
 
75129498
2194574
 
75251838
2165498
 
76403377
4342766
 
76519933
4638801
 
76602898
3047858
 
76603171
3066881
 
77387832
3504418
 
77532815
3764318
 
77553195
3598192
 
77843508
3912040
 
77870072
3806932
 
77942067
3953295
 
85016918
3953736
 
85021919
3907114
 
85197603
4078041
 
85204976
4165371
 
85317881
4083031
 
85324795
4083225
 
85389506
4400652
 
85415379
4227341
 
85433961
4195933
 
85653680
4386540
 
85653688
4386541
 
85653699
4386542
 
85915954
4645920
 
85974525
4689345
 
86036709
4501486
 
86185463
4605004
 
86222883
4664849
 
86300134
4632535
 
86481633
4919272
 
86481835
4919274
 
86505086
4882991
 
86595705
4886991
 
86653538
4887018
 
86875145
5026839
 
86903088
5261935
 
86945467
5099168
 
86958103
5125829
 
87976488
5403517
 
87977015
5445179
 
87978425
5582430
Correspondence name and address
KRISTIN YOHANNAN, ESQ.
1850 K STREET, NW, SUITE 1100
MILBANK, TWEED, HADLEY & MCCLOY, LLP
WASHINGTON, DC 20006
Assignment: 9
Reel/Frame:6718/0631 View Recorded Assignment View Recorded Assignment   Pages: 7
    Recorded: 08/13/2019
Attorney Dkt #:37199.09500
Conveyance: SECURITY INTEREST
Assignor
1
CETERA FINANCIAL GROUP, INC.
Exec Dt:
08/12/2019
Entity Type:
CORPORATION
Citizenship:
DELAWARE
Assignee
1
UBS AG, STAMFORD BRANCH, AS COLLATERAL AGENT
600 WASHINGTON BOULEVARD
UBS AGENCY SERVICES
STAMFORD, CONNECTICUT 06901
Entity Type:
AKTIENGESELLSCHAFT (AG)
Citizenship:
SWITZERLAND
Properties
 
Ser. #
Reg. #
 
Ser. #
Reg. #
 
Ser. #
Reg. #
 
 
 
74524952
1937957
 
75587728
2323605
 
77454610
3543213
Correspondence name and address
JAVIER J. RAMOS
1850 K STREET, NW, SUITE 1100
MILBANK, LLP
WASHINGTON, DC 20006
Assignment: 10
Reel/Frame:6718/0645 View Recorded Assignment View Recorded Assignment   Pages: 7
    Recorded: 08/13/2019
Attorney Dkt #:37199.09500
Conveyance: SECURITY INTEREST
Assignor
1
CETERA FINANCIAL GROUP, INC.
Exec Dt:
08/12/2019
Entity Type:
CORPORATION
Citizenship:
DELAWARE
Assignee
1
UBS AG, STAMFORD BRANCH, AS COLLATERAL AGENT
600 WASHINGTON BOULEVARD
UBS AGENCY SERVICES
STAMFORD, CONNECTICUT 06901
Entity Type:
AKTIENGESELLSCHAFT (AG)
Citizenship:
SWITZERLAND
Properties
 
Ser. #
Reg. #
 
Ser. #
Reg. #
 
Ser. #
Reg. #
 
 
 
74524952
1937957
 
75587728
2323605
 
77454610
3543213
Correspondence name and address
JAVIER J. RAMOS
1850 K STREET, NW, SUITE 1100
MILBANK, LLP
WASHINGTON, DC 20006
Assignment: 11
Reel/Frame:8280/0503 View Recorded Assignment View Recorded Assignment   Pages: 10
    Recorded: 12/06/2023
Attorney Dkt #:30045.00642
Conveyance: SECURITY INTEREST
Assignors
1
CETERA FINANCIAL HOLDINGS, INC.
Exec Dt:
11/27/2023
Entity Type:
CORPORATION
Citizenship:
DELAWARE
2
CETERA FINANCIAL GROUP, INC.
Exec Dt:
11/27/2023
Entity Type:
CORPORATION
Citizenship:
DELAWARE
3
SUMMIT FINANCIAL GROUP, INC.
Exec Dt:
11/27/2023
Entity Type:
CORPORATION
Citizenship:
FLORIDA
4
1ST GLOBAL, INC.
Exec Dt:
11/27/2023
Entity Type:
CORPORATION
Citizenship:
TEXAS
5
AVANTAX, INC.
Exec Dt:
11/27/2023
Entity Type:
CORPORATION
Citizenship:
DELAWARE
6
AVANTAX WEALTH MANAGEMENT, INC.
Exec Dt:
11/27/2023
Entity Type:
CORPORATION
Citizenship:
TEXAS
7
AWM DATA LLC
Exec Dt:
11/27/2023
Entity Type:
LIMITED LIABILITY COMPANY
Citizenship:
DELAWARE
Assignee
1
THE BANK OF NEW YORK MELLON TRUST COMPANY, N.A., AS NOTES COLLATERAL AGENT
2 N. LASALLE STREET, SUITE 700
CHICAGO, ILLINOIS 60602
Entity Type:
NATIONAL BANKING ASSOCIATION
Citizenship:
UNITED STATES
Properties
 
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Reg. #
 
Ser. #
Reg. #
 
Ser. #
Reg. #
 
75025932
2047321
 
75129498
2194574
 
75883958
2415760
 
76403377
4342766
 
76487179
2932354
 
76495138
3403949
 
76519933
4638801
 
76602898
3047858
 
76603171
3066881
 
77429724
3671163
 
77532815
3764318
 
77663930
3724746
 
77843508
3912040
 
77942067
3953295
 
85016918
3953736
 
85021919
3907114
 
85204976
4165371
 
85389506
4400652
 
85415379
4227341
 
85433961
4195933
 
85556889
4393223
 
85578791
4498626
 
85653680
4386540
 
85653688
4386541
 
85653699
4386542
 
85792185
4417333
 
85796937
4476961
 
85974525
4689345
 
86036709
4501486
 
86149491
4648020
 
86222883
4664849
 
86529660
5010645
 
86653538
4887018
 
86903088
5261935
 
86945467
5099168
 
86978636
4970809
 
87295382
5351985
 
87579339
5863594
 
87976488
5403517
 
87977015
5445179
 
87978425
5582430
 
87980349
5759226
 
87981984
6211579
 
87981985
6211580
 
88284463
5999940
 
88311944
5916738
 
88383261
6201268
 
88478796
7218995
 
88650720
6302233
 
88774704
6224011
 
88776558
6224012
 
88776569
6183646
 
88977846
6241750
 
88981422
6398089
 
90016282
6343887
 
90237242
6489927
 
97364504
7072599
 
98166865
NONE
 
98166869
NONE
Correspondence name and address
JAVIER J. RAMOS, ESQ.
1850 K STREET, NW, SUITE 1100
MILBANK, LLP
WASHINGTON, DC 20006

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