Rodney V. Thompson
Preston Wealth Management, LLC and Alexander Preston Cole
Notice of Intent: Success Trade Securities, Inc., Success Trade Inc., and Fuad Ahmed
KBR Capital Markets, LLC
KA Associates, Inc. Administrative Consent Agreement and Order
Obsidian Financial Group, LLC
RBC Capital Markets, LLC
This order provided temporary relief from the registration requirements for “exempt reporting advisers.” The order was in effect from January 1 through December 31, 2014.
Berg Faircloth Investment Advisors Corp. and Ricky Landon Faircloth
Merrill Lynch, Pierce, Fenner and Smith, Inc.