| 1 | 2014-08-15 | — | university of Texas Bonds | Sale | Self | $1,000,001 - $5,000,000 | 20001643 | |
| 2 | 2014-08-13 | ATMP | Barclays ETN Plus Select MLP | Sale | Self | $50,001 - $100,000 | 20001643 | |
| 3 | 2014-08-13 | ATMP | Barclays ETN Plus Select MLP | Sale | Self | $1,001 - $15,000 | 20001643 | |
| 4 | 2014-08-13 | ATMP | Barclays ETN Plus Select MLP | Sale | Self | $1,001 - $15,000 | 20001643 | |
| 5 | 2014-08-01 | — | Columbia County, Wis. Bonds | Sale | Self | $1,000,001 - $5,000,000 | 20001643 | |
| 6 | 2014-08-01 | — | Huntington Beach, Ca Bonds | Sale | Self | $500,001 - $1,000,000 | 20001643 | |
| 7 | 2014-07-01 | — | los angeles Ca Waste Water Bonds | Sale | Self | $500,001 - $1,000,000 | 20001523 | |
| 8 | 2014-07-01 | — | los angeles County Met Trans Bonds | Sale | Self | $500,001 - $1,000,000 | 20001523 | |
| 9 | 2014-07-01 | — | los angeles unified Sch Dist Bonds | Sale | Self | $500,001 - $1,000,000 | 20001523 | |
| 10 | 2014-07-01 | — | San Francisco Ca Rev. Bonds | Sale | Self | $500,001 - $1,000,000 | 20001523 | |
| 11 | 2014-06-09 | ATMP | Barclays ETN Plus Select MLP | Purchase | Self | $1,001 - $15,000 | 20001511 | |
| 12 | 2014-06-05 | ATMP | Barclays ETN Plus Select MLP | Purchase | Self | $50,001 - $100,000 | 20001511 | |
| 13 | 2013-03-15 | ATMP | Barclays ETN Plus Select MLP | Purchase | Self | $1,001 - $15,000 | 20001511 | |
| 14 | 2013-03-15 | ATMP | Barclays ETN Plus Select MLP | Purchase | Self | $1,001 - $15,000 | 20001511 | |
| 15 | 2013-03-15 | ATMP | Barclays ETN Plus Select MLP | Purchase | Self | $1,001 - $15,000 | 20001511 | |
| 16 | 2013-03-15 | MLPN | Credit Suisse Equal Weight MLP Index ETN due april 20, 2020 linked to the Cushing 30 MLP Index | Sale | Self | $1,001 - $15,000 | 20001511 | |
| 17 | 2013-03-12 | ATMP | Barclays ETN Plus Select MLP | Purchase | Self | $1,001 - $15,000 | 20001511 | |
| 18 | 2013-02-19 | MLPN | Credit Suisse Equal Weight MLP Index ETN due april 20, 2020 linked to the Cushing 30 MLP Index | Purchase | Self | $1,001 - $15,000 | 20001511 | |
| 19 | 2013-02-19 | MLPN | Credit Suisse Equal Weight MLP Index ETN due april 20, 2020 linked to the Cushing 30 MLP Index | Purchase | Self | $1,001 - $15,000 | 20001511 | |
| 20 | 2013-02-13 | MLPN | Credit Suisse Equal Weight MLP Index ETN due april 20, 2020 linked to the Cushing 30 MLP Index | Purchase | Self | $1,001 - $15,000 | 20001511 | |
| 21 | 2013-02-13 | MLPN | Credit Suisse Equal Weight MLP Index ETN due april 20, 2020 linked to the Cushing 30 MLP Index | Purchase | Self | $1,001 - $15,000 | 20001511 | |