finra

Changes to List of Firms We Regulate


For the period of 6/1/2014 through 6/30/2014

A

 

ALCOVE CAPITAL P
ALCOVE CAPITAL PARTNERS, LLC
LINCOLNSHIRE, IL
RESIGNED

 

ALIGNED MANAGER
ALIGNED MANAGER SERVICES LLC
STAMFORD, CT, USA
RESIGNED

 

ASPEN RIVER SECU
ASPEN RIVER SECURITIES, LLC
CARTERSVILLE, GA
RESIGNED

 

AXICORP USA, LLC
AXICORP USA, LLC
225 WEST WASHINGTON STREET, SUITE 2200, CHICAGO, IL 60606
ADMITTED

 

C

 

CAPPELLO CAPITAL
CAPPELLO CAPITAL CORP.
SANTA MONICA, CA, UNITED STATES
RESIGNED

 

CORPBANCA SECURI
CORPBANCA SECURITIES INC.
885 THIRD AVENUE, 33RD FLOOR, NEW YORK, NY 10022
MAILING ADDRESS: 845 THIRD AVENUE,, 5TH FLOOR, NEW YORK, NY 10022
ADMITTED

 

E

 

E.J. DE LA ROSA
E.J. DE LA ROSA & CO., INC.
LOS ANGELES, CA, UNITED STATES
RESIGNED

 

F

 

FINSEC, LLC
FINSEC, LLC
NEW YORK, NY, USA
RESIGNED

 

FIRST STANDARD F
FIRST STANDARD FINANCIAL COMPANY LLC
40 WALL STREET, 28TH FLOOR, NEW YORK, NY 10005
MAILING ADDRESS: 40 WALL STREET, 28TH FLOOR, NEW YORK, NY 10005
ADMITTED

 

G

 

GFM SECURITIES L
GFM SECURITIES LLC
TWO COMMERCE SQUARE, 2001 MARKET ST, SUITE 200, SUITE 200, PHILADELPHIA, PA 19103
MAILING ADDRESS: TWO COMMERCE SQUARE, 2001 MARKET STREET, SUITE 200, PHILADELPHIIA, PA 19103
ADMITTED

 

GLEACHER & COMPA
GLEACHER & COMPANY SECURITIES, INC.
NEW YORK, NY, UNITED STATES
RESIGNED

 

GLEACHER PARTNER
GLEACHER PARTNERS LLC
NEW YORK, NY, UNITED STATES
RESIGNED

 

GOLDIN ASSOCIATE
GOLDIN ASSOCIATES BROKERAGE LLC
350 FIFTH AVE., NEW YORK, NY 10118
ADMITTED

 

GRENEL & CO., LL
GRENEL & CO., LLC
NEW YORK, NY, UNITED STATES
RESIGNED

 

GUGGENHEIM DISTR
GUGGENHEIM DISTRIBUTORS, LLC
ROCKVILLE, MD, UNITED STATES
RESIGNED

 

J

 

JB DRAX HONORE'
JB DRAX HONORE' INC.
NEW YORK, NY
RESIGNED

 

JMG SECURITIES,
JMG SECURITIES, LLC
1270 BROADWAY, SUITE 303, NEW YORK, NY 10001
ADMITTED

 

JOHN CARRIS INVE
JOHN CARRIS INVESTMENTS LLC
HOBOKEN, NJ, USA
CANCELLED FOR FAILURE TO PAY OUTSTANDING FEES

 

K

 

KRUEGER BROKERAG
KRUEGER BROKERAGE INC.
KEOKUK, IA, UNITED STATES
RESIGNED

 

L

 

LIFESCI CAPITAL
LIFESCI CAPITAL
250 WEST 55TH STREET, SUITE 16B, NEW YORK, NY 10019
MAILING ADDRESS: 1350 AVENUE OF THE AMERICAS, SUITE 2801, NEW YORK, NY 10019
ADMITTED

 

LIGHTHOUSE CAPIT
LIGHTHOUSE CAPITAL GROUP, LLC
251 S. LAKE AVE., SUITE 520, PASADENA, CA 91101
ADMITTED

 

M

 

MARCUM CRONUS PA
MARCUM CRONUS PARTNERS LLC
NAME CHANGED TO: CRONUS PARTNERS LLC

 

MARCUM CRONUS PA
CRONUS PARTNERS LLC
NEW NAME OF: MARCUM CRONUS PARTNERS LLC

 

MITSUBISHI UFJ S
MITSUBISHI UFJ SECURITIES (USA), INC.
NAME CHANGED TO: MUFG

 

MITSUBISHI UFJ S
MUFG
NEW NAME OF: MITSUBISHI UFJ SECURITIES (USA), INC.

 

O

 

OLDS SECURITIES
OLDS SECURITIES CORPORATION
RENO, NV, UNITED STATES
RESIGNED

 

OPTIMA SECURITIE
OPTIMA SECURITIES LLC
10 EAST 53RD ST., 29TH FLOOR, NEW YORK, NY 10022
ADMITTED

 

OTKRITIE INC.
OTKRITIE INC.
NAME CHANGED TO: OTKRITIE CAPITAL U.S. INC.

 

OTKRITIE INC.
OTKRITIE CAPITAL U.S. INC.
NEW NAME OF: OTKRITIE INC.

 

S

 

SHOT TOWER SECUR
SHOT TOWER SECURITIES LLC
729 EAST PRATT STREET, SUITE 850, BALTIMORE, MD 21202
ADMITTED

 

SKYLINE CAPITAL
SKYLINE CAPITAL SECURITIES LLC
NAME CHANGED TO: MAVERICKS CAPITAL SECURITIES

 

SKYLINE CAPITAL
MAVERICKS CAPITAL SECURITIES
NEW NAME OF: SKYLINE CAPITAL SECURITIES LLC

 

SPENCER PIERCE S
SPENCER PIERCE SECURITIES, LLC
100 OVERLOOK CTR. 2ND FLOOR, PRINCETON, NJ 08540
ADMITTED

 

U

 

UPROMISE INVESTM
UPROMISE INVESTMENTS, INC.
NAME CHANGED TO: ASCENSUS BROKER DEALER SERVICES, INC.

 

UPROMISE INVESTM
ASCENSUS BROKER DEALER SERVICES, INC.
NEW NAME OF: UPROMISE INVESTMENTS, INC.

 

W

 

WANG INVESTMENT
WANG INVESTMENT ASSOCIATES, INC.
NAME CHANGED TO: SOGOTRADE, INC.

 

WANG INVESTMENT
SOGOTRADE, INC.
NEW NAME OF: WANG INVESTMENT ASSOCIATES, INC.

 

WESTERN PACIFIC
WESTERN PACIFIC SECURITIES, INC.
FRESNO, CA, UNITED STATES
RESIGNED

 

WINWARD CAPITAL,
WINWARD CAPITAL, INC.
NAME CHANGED TO: WINDWARD CAPITAL, INC.

 

WINWARD CAPITAL,
WINDWARD CAPITAL, INC.
NEW NAME OF: WINWARD CAPITAL, INC.