The securities on our exclusion lists are updated from various sources, such as Yahoo Finance, Zacks Investment Research, Wall Street Concepts, and the Genocide Intervention Network. The exclusion lists include the following groupings of securities.

Alcohol

Company Name (Security Symbol)

  • Anheuser Busch Inbev SA/NV ADR (BUD)
  • Boston Beer Inc Cl A (SAM)
  • Craft Brew Alliance, Inc (BREW)
  • Brown Forman Corp Cl A (BF.A)
  • Brown Forman Corp Cl B (BF.B)
  • Castle Brands Inc Com (ROX)
  • Central European Dist Corp (CEDC)
  • China New Borun Corp ADR (BORN)
  • Compania Cervecerias Unidas S.A. (CCU)
  • Constellation Brands Inc Cl A (STZ)
  • Crimson Wine Group, Ltd. (CWGL)
  • Diageo Plc ADR New (DEO)
  • Formento Economico Mexicano, S.A.B. De Cv (FMX)
  • Heineken N V Sponsored Adr Adr (HEINY)
  • Mgp Ingredients Inc Com (MGPI)
  • Molson Coors Brewing Co Cl B (TAP)
  • Sabmiller PLC Sponsored ADR (SBMRY)
  • Treasury Wine Estates Ltd Adr (TSRYY)
  • Vina Concha Y Toro Sa ADR (VCO)
  • Willamette Valley Vineyards Inc (WVVI)

Factory Farming

Many investors are looking to avoid the animal abuse and consumer backlash associated with factory farm practices. Though there are many publicly-owned food companies with ties to factory farming, this particular exclusion list is updated with information provided by The Humane Society of the United States (HSUS), based on the organization’s view of companies that are not moving with consumer expectations on the most important animal well-being issues.

The exclusion lists include the following groupings of securities.

Company Name (Security Symbol)

  • Biglari Hldgs Inc.(BH)
  • Buffalo Wild Wings Inc. (BWLD)
  • El Pollo Loco Hldgs Inc. (LOCO)
  • Pilgrims Pride Corp. (PPC)
  • Popeyes LA Kitchen Inc. (PLKI)
  • Post Holdings Inc. (POST)
  • Seaboard Corp. (SEB)

Gambling

Company Name (Security Symbol)

  • Ameristar Casinos Inc (ASCA)
  • Bally Technologies Inc (BYI)
  • Boyd Gaming Corp (BYD)
  • Caesars Acquisition Company (CACQ)
  • Caesars Entmt Corp Com (CZR)
  • Canterbury Park Holding Corp. (CPHC)
  • Century Casinos Inc (CNTY)
  • Churchill Downs Inc (CHDN)
  • Dover Downs Gaming & Entertainment (DDE)
  • Elixir Gaming Technologies, Inc. (EGT)
  • Empire Resorts Inc (NYNY)
  • Full House Resorts Inc (FLL)
  • Gametech International Inc (GMTCQ)
  • Gaming Partners Intl Corp (GPIC)
  • Iao Kun Group Holding Company Limited (IKGH)
  • International Game Technology (IGT)
  • Isle Of Capri Casinos Inc (ISLE)
  • Lakes Entertainment Inc (LACO)
  • Las Vegas Sands Corp Com (LVS)
  • Melco Crown Entertainment Ltd ADR (MPEL)
  • MGM Mirage (MGM)
  • Monarch Casino & Resort Inc (MCRI)
  • MTR Gaming Group Inc (MNTG)
  • Multimedia Game Inc (MGAM)
  • Nevada Gold & Casinos Inc (UWN)
  • Penn National Gaming Inc (PENN)
  • Pinnacle Entertainment Inc (PNK)
  • PokerTek Inc Com (PTEK)
  • Scientific Games Corp Cl A (SGMS)
  • Shuffle Master Inc (SHFL)
  • Wynn Resorts Ltd (WYNN)

Genocide

Exclusion list updated with information provided by the Genocide Intervention Network. This list of companies is not visible to the public, but will trigger trade level exclusion warnings for your accounts which you can then review.

Military Weapons and Firearms

Company Name (Security Symbol)

  • AAR Corp (AIR)
  • Aerosonic Corp Del Par (AIM)
  • Aerovironment Inc Com (AVAV)
  • Alliant Techsysterms Inc (ATK)
  • American Defense Sys Inc Com (ADFS)
  • Arotech Corp New (ARTX)
  • Astronics Corp (ATRO)
  • Bae Sys Plc ADR (BAESY)
  • Be Aerospace Inc (BEAV)
  • Boeing Co (BA)
  • Breeze Eastern Corp Com (BZC)
  • Cabela’s Incorporated (CAB)
  • CPI Aerostructures Inc New (CVU)
  • Curtiss Wright Corp (CW)
  • Ducommun Inc Del (DCO)
  • Elbit Systems Ltd Ord (ESLT)
  • Embraer-Empresa Brasileira De Sp ADR Pfd (ERJ)
  • Espey MFG & Electrs Corp (ESP)
  • Esterline Technologies Corp (ESL)
  • Exelis Inc Com (XLS)
  • Finmeccanica Spa ADR (FINMY)
  • FLIR Systems Inc. (FLIR)
  • Gencorp Inc (GY)
  • General Dynamics Corp (GD)
  • Heico Corp New (HEI)
  • Heico Corp New Cl A (HEI.A)
  • Hexcel Corp New (HXL)
  • Huntington Ingalls Industries Inc (HII)
  • ISC8 Inc. New (ISCI)
  • Kaman Corp (KAMN)
  • Kratos Defense & Security Sol (KTOS)
  • L-3 Communications Holdings Inc (LLL)
  • LMI Aerospace Inc (LMIA)
  • Lockheed Martin Corp (LMT)
  • Moog Inc Cl A (MOG.A)
  • Moog Inc Cl B (MOG.B)
  • Northrop Grumman Corp (NOC)
  • Olin Corp (OLN)
  • Raytheon Co New (RTN)
  • Rolls Royce Holdings Plc ADR (RYCEY)
  • Smith & Wesson Holdings Corp (SWHC)
  • Sparton Corp (SPA)
  • Spirit Aerosystems Holdings Inc Com Cl A (SPR)
  • Sturm Ruger & Co Inc (RGR)
  • Taser Intl Inc (TASR)
  • TAT Technologies Ltd Ord New (TATT)
  • Teledyne Technologies Inc (TDY)
  • Textron Inc. (TXT)
  • Transdigm Group Inc Com (TDG)
  • United Technologies Corp (UTX)
  • World Surveillance Group Inc New (WSGI)

Nuclear Power

Company Name (Security Symbol)

  • Ameren Corp (AEE)
  • American Electric Power Inc (AEP)
  • AMETEK, Inc. (AME)
  • Babcock & Wilcox Co New Com (BWC)
  • Belden Inc. (BDC)
  • Cameco Corp (CCJ)
  • Centrais Eletricas Brasileiras ADR (EBR)
  • Centrais Eletricas Brasileiras ADR PFD (EBR.B)
  • CIRCOR International, Inc. (CIR)
  • Chicago Bridge & Iron Co N V (CBI)
  • CLP Holdings Ltd Sponsored Adr (CLPHY)
  • Curtiss-Wright Corp. (CW)
  • Denison Mines Corp Com (DNN)
  • Dominion Resources Inc (D)
  • DTE Energy Co (DTE)
  • Duke Energy Corp New Com (DUK)
  • E.On Ag ADR (EONGY)
  • El Paso Electric Co. (EE)
  • Emerson Electric Co. (EMR)
  • Enel Societa Per Azioni Adr (ENLAY)
  • EnergySolutions Inc Depositary SH (ES)
  • Entergy Corp New (ETR)
  • Exelon Corp (EXC)
  • Federal Signal Corporation (FSS)
  • FirstEnergy Corp (FE)
  • Flowserve Corporation (FLS)
  • Fluor Corp (FLR)
  • General Cable Corporation (BGC)
  • General Elec Co (GE)
  • Great Plains Energy Inc. (GXP)
  • Kirby Corporation (KEX)
  • Korea Electric Power Corp. (KEP)
  • Landauer, Inc. (LDR)
  • Lightbridge Corp (LTBR)
  • McDermott International (MDR)
  • Mine Safety Appliances Co (MSA)
  • MKS Instruments, Inc. (MKSI)
  • Nextera Energy Inc (NEE)
  • NRG Energy Inc Com New (NRG)
  • Parker-Hannifin Corporation (PH)
  • Perma-Fix Environmental Svcs (PESI)
  • Pinnacle West Capital Corp. (PNW)
  • PNM Resources Inc. (PNM)
  • Public SVC Enterprise Group (PEG)
  • RWE AG Sponsored ADR (RWEOY)
  • SAIC, Inc. (SAI)
  • SCANA Corp. (SCG)
  • Southern Company (SO)
  • SPX Corporation (SPW)
  • Team, Inc. (TISI)
  • Universal Sec Instrs Inc Com New (UUU)
  • UR Energy Inc. (URG)
  • Uranium Energy Corp. (UEC)
  • Uranium Res Inc Com Par $0.001 (URRE)
  • URANERZ Energy Corporation (URZ)
  • USEC Inc (USU)
  • US Ecology Inc Com New (ECOL)
  • Westar Energy Inc. (WR)
  • Xcel Energy Inc (XEL)

Tobacco

Company Name (Security Symbol)

  • Alliance One Intl Inc (AOI)
  • Altria Group Inc (MO)
  • AMCON Distributing Co. (DIT)
  • British Amern Tob Plc ADR (BTI)
  • Core-Mark Holding Company, Inc. (CORE)
  • Imperial Tobacco Group Plc ADR (ITYBY)
  • Lorillard Inc Com (LO)
  • Philip Morris International, Inc. (PM)
  • Reynolds American Inc Com (RAI)
  • Schweitzer-Mauduit Intl Inc (SWM)
  • Universal Corp VA (UVV)
  • Vector Group Ltd (VGR)

K-1 Securities

The K-1 exclusion category comprises companies that provide shareholders a Schedule K-1 to be used in connection with reporting to the IRS. These companies generally pass certain gains or losses through to their shareholders. The Schedule K-1 is used to report each individual shareholder’s share of those items, and requires such individual shareholders to report such items when filing their individual taxes.

Below is a list of our K-1 Securities:

Company Name (Security Symbol)

  • Alliance Bernstein Holding LP Unit Ltd Pa (AB)
  • Alliance Holdings Gp LP Com Units LP (AHGP)
  • Alliance Resource Partners LP Ut Ltd Par (ARLP)
  • Alon USA Partners LP Ut Ltd Part Int (ALDW)
  • America First Tax EX IVS LP Ben Unit CT (ATAX)
  • American Midstream Partners LP Com Units (AMID)
  • Amerigas Partners LP Unit LP Int (APU)
  • Antero Midstream Partners LP Unt Ltd Par (AM)
  • Apollo Global Mgmt LLC Cl A SHS (APO)
  • Arc Logistics Partners LP (ARCX)
  • Archrock Partners LP Units Repstg (APLP)
  • Atlas Energy LP Com Units LP (ATLS)
  • Azure Midstream Partners LP Unit Ltd Pa (AZURQ)
  • Black Stone Minerals L P Com Unit (BSM)
  • Blackstone Group LP Unit Ltd (BX)
  • Blueknight Energy Partners LP Com Unit (BKEP)
  • Boardwalk Pipeline Partners LP Ut Ltd Partn (BWP)
  • Breitburn Energy Partners LP Ut Ltd (BBEPQ)
  • Brookfield Business Partners L Unit Ltd (BBU)
  • Brookfield Infrast Partners LP Int Unit (BIP)
  • Brookfield Ppty Partners L.P. Unit (BPY)
  • Brookfield Renewable Energy PRT Partnersh (BEP)
  • Buckeye Partners LP Unit Ltd Partn (BPL)
  • Calumet Speciality Prods Partners Ut Ltd Par (CLMT)
  • Carlyle Group LP (CG)
  • Cedar Fair LP Depository Unit (FUN)
  • Cheniere Energy Partners LP Com Unit (CQP)
  • Chesapeake Granite Wash Tr Com Sh Ben In (CHKR)
  • Ciner Res LP Unit Ltd (CINR)
  • CNX Coal Res Lp Com Unit Rp Lp (CNXC)
  • Columbia Pipeline Partners LP Com Ut Rep (CPPL)
  • Comprass Diversified Holdings Sh Ben In (CODI)
  • Cone Midstream Partners LP Com Unit Reps (CNNX)
  • Crestwood Equity Partners LP (CEQP)
  • Cross Timbers Rty Tr Tr Unit (CRT)
  • Crossamerica Partners LP Ut Ltd Ptn Int (CAPL)
  • CSI Compressco LP Unit (CCLP)
  • CVR Partners LP Com (UAN)
  • CVR Refining, LP (CVRR)
  • Cypress Energy Partners, L.P. (CELP)
  • Dcp Midstream LP Com Ut Ltd Ptn LP Com U (DCP)
  • Delek Logistics Partners LP Com Unt Rp I (DKL)
  • Dominion Midstream Partners LP Com Ut Re (DM)
  • Dorchester Minerals LP Unit (DMLP)
  • Eca Marcellus Tr I Com Unit (ECT)
  • Ellington Financial LLC Com (EFC)
  • Emerge Energy Services LP (EMES)
  • Empire State Realty OP,LP (OGCP)
  • Empire State Realty Trust Inc Operating Partnership Units Series (ESBA)
  • Enable Midstream Partners, LP (ENBL)
  • Enbridge Energy Partners Unit Cl A (EEP)
  • Energy Transfer Equity LP Com Ut Ltd Pt (ETE)
  • Energy Transfer Partners LP Unit Ltd Partn (ETP)
  • Enlink Midstream Partners LP Unit Rep L (ENLK)
  • Enterprise Prods Partners LP (EPD)
  • Enviva Partners LP Com Unit (EVA)
  • EQT GP Hldgs LP Com Unit Rep (EQGP)
  • EQT Midstream Partners LP Unit Ltd Partn (EQM)
  • Equus Gaming Company LP Prtn A (EQUUS)
  • Ev Energy Partners LP Com Units (EVEP)
  • Ferrellgas Partners LP Unit Ltd Part (FGP)
  • Foresight Energy LP (FELP)
  • Fortress Investment Group LLC Cl A (FIG)
  • Fortress Trans Infrst Invs Llc Com Rep L (FTAI)
  • Genesis Energy LP Unit LTD Partn (GEL)
  • Global Partners LP Units (GLP)
  • Green Plains Partners Lp Com Rep Ptr In (GPP)
  • Gyrodyne Llc New (GYRO)
  • Heartland Partners LP Ut LTD Partner (HTLLQ)
  • Hi-Crush Partners LP (HCLP)
  • Holly Energy Partners LP Ut LTD Ptn (HEP)
  • Hugoton Rty Tr Tex Unit Ben Int (HGT)
  • Icahn Enterprises LP Depository Unit (IEP)
  • iShares Commodity Optimized Trust (CMDT)
  • iShares GSCI Commodity Indexed Unit Ben (GSG)
  • JMP Group Inc Com (JMP)
  • JP Energy Partners LP Unt Repst Ltd (JPEP)
  • KKR & CO L P Del Com Units (KKR)
  • KKR Financial Holdings LLC Pfd (KFN.PR)
  • Landmark Infrastructure LP Com Unit Ltd (LMRK)
  • Lazard Ltd Shs A (LAZ)
  • Legacy Reserves LP Unit LP Int (LGCY)
  • Linn Energy LLC Unit Ltd Liab (LINEQ)
  • Magellan Midstream Partners LP Com Unit Rp (MMP)
  • Martin Midstream Partners LP Unit LP Int (MMLP)
  • Memorial Prodtn Partners LP Com U Rep Lt (MEMP)
  • Mid Con Energy Partners LP Com Unit Reps (MCEP)
  • Midcoast Energy Partners LP Class A (MEP)
  • MPLX LP (MPLX)
  • Natural Resource Partners LP Unit LP (NRP)
  • New England Rlty Assoc Ltd Par Depository (NEN)
  • New Source Energy Partners LP Ltd (NSLPQ)
  • NGL Energy Partners LP Com Unit Repst (NGL)
  • Noble Midstream Partners LP Com Unit Rep (NBLX)
  • Nustar Energy LP Unit Com (NS)
  • Nustar GP Holdings LLC Unit Restg LLC (NSH)
  • Oaktree Capital Group LLC (OAK)
  • OCH Ziff Cap Management Group Cl A (OZM)
  • OCI Partners LP (OCIP)
  • Oneok Partners LP Unit Ltd Partn (OKS)
  • PBF Logistics LP (PBFX)
  • Penntex Midstream Partners Lp Com Unit L (PTXP)
  • Permian Basin Rty Tr Unit Ben Int (PBT)
  • Phillips 66 Partners LP (PSXP)
  • Plains All Amern Pipeline LP Unit Ltd P (PAA)
  • Pope Res Del Ltd Partnership Depository R (POPE)
  • Powershares DB Agriculture Fund (DBA)
  • Powershares DB Base Metals Fund (DBB)
  • Powershares DB Commodity Index Tracking (DBC)
  • Powershares DB Energy Fund (DBE)
  • Powershares DB G10 Currency Harvest Fund (DBV)
  • Powershares DB Gold Fund (DGL)
  • Powershares DB Oil Fund (DBO)
  • Powershares DB Precious Metals Fund (DBP)
  • Powershares DB Silver Fund (DBS)
  • Powershares Db Us Dollar Index Tr Doll Indx (UDN)
  • Powershares Db Us Dollar Index Tr Doll Indx (UUP)
  • Proshares Short Euro (EUFX)
  • ProShares Tr II Psh Ultra Euro (ULE)
  • ProShares Tr II Pshs Ultra Yen (YCL)
  • ProShares Tr II Sht VIX ST TRM (SVXY)
  • ProShares Tr II Ulsht DJAIG CR (SCO)
  • ProShares Tr II Ult DJ UBS CRU (UCO)
  • ProShares Tr II Ult VIX ST TRM (UVXY)
  • ProShares Tr II Ultra Gold (UGL)
  • ProShares Tr II Ultra Silver (AGQ)
  • ProShares Tr II Ultrashort Yen (YCS)
  • ProShares Tr II Ultrashr Silvr (ZSL)
  • ProShares Tr II Ultrashrt Euro (EUO)
  • ProShares Tr II Ultrashrt Gold (GLL)
  • ProShares Tr II Ultsht Nat Gas (KOLD)
  • ProShares Tr II Vix Mdtrm Fut (VIXM)
  • ProShares Tr II Vix Shttrm Fut (VIXY)
  • Proshares Ultra DJ-UbS Natural Gas (BOIL)
  • Proshares Ultrashort Australian Dollar (CROC)
  • Restaurant Brands Intl Ltd Par Unit Ltd (RSTRF)
  • Rhino Resource Partners LP Com Unit Reps (RHNO)
  • Rice Midstream Partners LP Unit Ltd Part (RMP)
  • Royal Hawaiian Orchards LP (NNUTU)
  • S Mgmt L P Com Unit Rp In (ARES)
  • Sabine Rolayty Tr Unit Ben Int (SBR)
  • Sanchez Prodtn Partners Llc Unit Rp Cl (SPP)
  • Sandridge Mississippian TR I Unit Ben In (SDT)
  • SandRidge Mississippian Trust II (SDR)
  • Sandridge Permian Tr Com Unit (PER)
  • Shell Midstream Partners L P Unit Ltd In (SHLX)
  • Sit Rising Rate Etf (RISE)
  • Southcross Energy Partners LP Com Unit (SXE)
  • Spectra Energy Partners LP Com (SEP)
  • Sprague Resources LP (SRLP)
  • Star Gas Partners LP Unit Ltd Partner (SGU)
  • Steel Partners Hldgs LP Ltd Prtrship (SPLP)
  • Steel Partners Holdings LP PFD Ser A (SPLP.PRA)
  • Stonemor Partners LP Units (STON)
  • Suburban Propane Partners LP Unit Ltd P (SPH)
  • Summit Midstream Partners LP (SMLP)
  • Suncoke Energy Partners LP Comunit Rep (SXCP)
  • Sunoco Logistics Partners LP Units (SXL)
  • Sunoco LP Units Rep LP (SUN)
  • Tallgrass Energy Partners LP (TEP)
  • TC Pipelines LP Ut Com Ltd Prt (TCP)
  • Teekay Lng Partners LP Prtnrsp Units (TGP)
  • Terra Nitrogen Co LP Unit (TNH)
  • Tersoro Logistics LP Com Unit LP (TLLP)
  • Teucrium Agricultural Fund (TAGS)
  • Teucrium Commodity Tr Corn Fd Shs (CORN)
  • Teucrium Commodity Tr Soybean FD (SOYB)
  • Teucrium Commodity Tr Sugar FD (CANE)
  • Teucrium Commodity Tr Wheat FD (WEAT)
  • Transmontaigne Partners LP Unit LP (TLP)
  • United States Agriculture Index Fund (USAG)
  • United States Copper Index Fund (CPER)
  • United States Natl Gas Fund LP Unit (UNG)
  • United States Oil Fund LP Units (USO)
  • United Sts 12 Month Nat Gas FD Unit Ben (UNL)
  • United Sts 12 Month Oil Fd LP Unit (USL)
  • United Sts Brent Oil FD LP Unit (BNO)
  • United Sts Commodity Index Fd Comm IDX F (USCI)
  • United Sts Gasoline Fd Lp Units (UGA)
  • United Sts Heating Oil Fd LP Unit (UHN)
  • United Sts Short Oil Fd LP Units (DNO)
  • USA Compression Partners LP (USAC)
  • USD Partners LP Com Ut Rep Ltd (USDP)
  • Valero Energy Partners LP (VLP)
  • Vanguard Nat Res LLC Perp PFD Unit A (VNRAQ)
  • Vanguard Natural Resources LLC Com Unit (VNRSQ)
  • Viper Energy Partners Lp Com Unt Rp Int (VNOM)
  • Western Gas Equity Partners, LP (WGP)
  • Western Gas Partners LP Com Unit LP In (WES)
  • Western Refining Logistics LP (WNRL)
  • Westlake Chemical Partners LP (WLKP)
  • Westmoreland Resource Partners Unit Rp (WMLP)
  • Williams Partners LP Com Unit LP (WPZ)
  • Winthrop Rlty Tr Escrow Shs (FUR)
  • Wisdomtree Continuous Commodit SHS Ben I (GCC)
  • World Point Terminals LP (WPT)

While every effort is made to gather this data from reliable sources, we cannot guarantee its accuracy and completeness.