RBC Dain Correspondent Services^SM (RBC Dain CS) is a division of RBC Dain Rauscher Inc. (RBC Dain Rauscher^TM).

RBC Dain Rauscher is one of the largest securities firms in the nation and is a member of the NYSE, AMEX, CHX, CBOE and PSE and has execution capabilities on all principal exchanges. RBC Dain Rauscher is owned by Royal Bank of Canada, which trades under the symbol RY on the New York Stock Exchange.

Uhlmann Price Securities, LLC has a contractual agreement with RBC Dain Correspondent Services (RBC Dain CS) to serve as our clearing firm. This fully disclosed agreement states the responsibilities of each party. Prior to the agreement becoming effective, RBC Dain CS is responsible for making all disclosures to our firm's designated examining authority as required by NYSE Rule 382. Each client of our firm is notified of the relationship via a disclosure letter. The disclosure letter details the responsibilities that our firm (the introducing broker-dealer) and RBC Dain CS (the clearing firm) have to the client. Although client assets are held by RBC Dain Rauscher Inc., neither RBC Dain Rauscher nor RBC Dain CS has responsibility for the financial condition or performance of our firm or our Financial Consultants.