finra

Changes to List of Firms We Regulate


For the period of 8/1/2014 through 8/31/2014

A

 

ANCORA SECURITIE
ANCORA SECURITIES, INC
NAME CHANGED TO: AMERICA NORTHCOAST SECURITIES, INC.

 

ANCORA SECURITIE
AMERICA NORTHCOAST SECURITIES, INC.
NEW NAME OF: ANCORA SECURITIES, INC

 

ASSETMARK BROKER
ASSETMARK BROKERAGE, LLC
1655 GRANT STREET, 10TH FLOOR, CONCORD, CA 94520
ADMITTED

B

 

BATTERY EAST GRO
BATTERY EAST GROUP, LLC
ONE FERRY BUILDING, SUITE 255, SAN FRANCISCO, CA 94111
ADMITTED

 

BURNHAM STERLING
BURNHAM STERLING SECURITIES LLC
29 RIVER ROAD, SUITE 102, COS COB, CT 06807-2745
MaILING ADDRESS: 29 RIVER ROAD, COS COB, CT 06807-2745
ADMITTED

C

 

CAPFI PARTNERS,
CAPFI PARTNERS, LLC
NAME CHANGED TO: CAPFI PARTNERS LLC

 

CAPFI PARTNERS,
CAPFI PARTNERS LLC
NEW NAME OF: CAPFI PARTNERS, LLC

 

CENTARA CAPITAL
CENTARA CAPITAL SECURITIES, INC.
NAME CHANGED TO: CAPLINK SECURITIES, INC

 

CENTARA CAPITAL
CAPLINK SECURITIES, INC
NEW NAME OF: CENTARA CAPITAL SECURITIES, INC.

 

CFWP SECURITIES,
CFWP SECURITIES, LLC
499 PARK AVENUE, 6TH FLOOR, NEW YORK, NY 10022
ADMITTED

 

CUREX SECURITIES
CUREX SECURITIES (USA), LLC
120 WEST 45TH STREET, 22 FLOOR, NEW YORK, NY 10036
MaILING ADDRESS: 120 WEST 45TH STREET, 22 FLOOR, NEW YORK, NY 10036
ADMITTED

 

CURVATURE SECURI
CURVATURE SECURITIES LLC
190 MAIN STREET, SUITE 101A, GLADSTONE, NJ 07934
MaILING ADDRESS: P.O. BOX 707, GLADSTONE, NJ 07934
ADMITTED

D

 

DIVERSIFIED CAPI
DIVERSIFIED CAPITAL CORPORATION
MIAMI BEACH, FL, UNITED STATES
RESIGNED

 

DWS INVESTMENTS
DWS INVESTMENTS DISTRIBUTORS, INC
NAME CHANGED TO: DEAWM DISTRIBUTORS, INC.

 

DWS INVESTMENTS
DEAWM DISTRIBUTORS, INC.
NEW NAME OF: DWS INVESTMENTS DISTRIBUTORS, INC

E

 

E&A ADVISORS, LL
E&A ADVISORS, LLC
NAME CHANGED TO: NORTH INLET ADVISORS, LLC

 

E&A ADVISORS, LL
NORTH INLET ADVISORS, LLC
NEW NAME OF: E&A ADVISORS, LLC

 

EPIC CAPITAL SEC
EPIC CAPITAL SECURITIES
1951 NW 19TH STREET, SUITE A103, BOCA RATON, FL 33431
MaILING ADDRESS: 2385 NW EXECUTIVE CENTER DRIVE, SUITE #270, BOCA RATON, FL 33431
ADMITTED

F

 

FORT DEARBORN CA
FORT DEARBORN CAPITAL ADVISORS, LLC
101 N. WACKER DRIVE, SUITE 1150, CHICAGO, IL 60606
ADMITTED

 

FORT GHENT BROKE
FORT GHENT BROKERAGE LLC
575 MADISON AVE, 10TH FLOOR, NEW YORK, NY 10022
ADMITTED

G

 

GAC STRATEGIC AD
GAC STRATEGIC ADVISORS, LLC
MELVILLE, NY, USA
RESIGNED

 

GLOBAL ALLIANCE
GLOBAL ALLIANCE SECURITIES LLC
100 WALL STREET, 7TH FLOOR, NEW YORK, NY 10005
ADMITTED

 

GREEN STREET ADV
GREEN STREET ADVISORS, INC.
NAME CHANGED TO: GREEN STREET ADVISORS, LLC

 

GREEN STREET ADV
GREEN STREET ADVISORS, LLC
NEW NAME OF: GREEN STREET ADVISORS, INC.

H

 

HIGHLAND FINANCI
HIGHLAND FINANCIAL, LTD.
JOHNSTOWN, PA, UNITED STATES
RESIGNED

 

HUNT FINANCIAL S
HUNT FINANCIAL SECURITIES, LLC
100 CHURCH STREET, NEW YORK, NY 10007-2647
ADMITTED

I

 

IBS SECURITIES,
IBS SECURITIES, LLC
ELMHURST, IL, UNITED STATES
RESIGNED

 

IMC FINANCIAL MA
IMC FINANCIAL MARKETS
233 SOUTH WACKER DRIVE, #4300, CHICAGO, IL 60606
MaILING ADDRESS: 233 S. WACKER, SUITE 4300, CHICAGO, IL 60606
ADMITTED

 

INDEPENDENCE REA
INDEPENDENCE REALTY SECURITIES, LLC.
MINNEAPOLIS, MN, UNITED STATES
RESIGNED

 

INVESTMENT VISA
INVESTMENT VISA CONSULTANTS, LLC
5139 GEARY BLVD., SAN FRANCISCO, CA 94118
ADMITTED

J

 

JULIAN LECRAW RE
JULIAN LECRAW REALTY ADVISORS, INC.
ATLANTA, GA, UNITED STATES
RESIGNED

K

 

KEEL POINT CAPIT
KEEL POINT CAPITAL, LLC
8065 LEESBURG PIKE, SUITE 300, VIENNA, VA 22182
ADMITTED

 

KIRK SECURITIES
KIRK SECURITIES CORPORATION
DENTON, TX, UNITED STATES
RESIGNED

 

KOONCE SECURITIE
KOONCE SECURITIES, INC.
NAME CHANGED TO: KOONCE SECURITIES, LLC

 

KOONCE SECURITIE
KOONCE SECURITIES, LLC
NEW NAME OF: KOONCE SECURITIES, INC.

L

 

LIGHT HORSE MARK
LIGHT HORSE MARKET SOLUTIONS, INC,
NAME CHANGED TO: LIGHT HORSE MARKET SOLUTIONS INC

 

LIGHT HORSE MARK
LIGHT HORSE MARKET SOLUTIONS INC
NEW NAME OF: LIGHT HORSE MARKET SOLUTIONS, INC,

M

 

MGI SECURITIES (
MGI SECURITIES (USA) INC.
NAME CHANGED TO: IA SECURITIES (USA) INC.

 

MGI SECURITIES (
IA SECURITIES (USA) INC.
NEW NAME OF: MGI SECURITIES (USA) INC.

N

 

NEXTGEN CAPITAL
NEXTGEN CAPITAL MARKETS, LLC
3715 NORTHSIDE PKWY NW, STE.,1-250, ATLANTA, GA 30327 ADMITTED

P

 

PAULSON INVESTME
PAULSON INVESTMENT COMPANY, INC.
NAME CHANGED TO: PAULSON INVESTMENT COMPANY LLC

 

PAULSON INVESTME
PAULSON INVESTMENT COMPANY LLC
NEW NAME OF: PAULSON INVESTMENT COMPANY, INC.

 

PT SECURITIES, L
PT SECURITIES, LLC
188 W. NORTHERN LIGHTS, SUITE 930, ANCHORAGE, AK 99503-3985
MaILING ADDRESS: 188 W. NORTHERN LIGHTS, SUITE, ANCHORAGE, AK 99503-3985
ADMITTED

R

 

REDTAIL CAPITAL
REDTAIL CAPITAL MARKETS, LLC
30 WALL STREET, 8TH FLOOR, NEW YORK, NY 10005
MaILING ADDRESS: 1735 YORK AVENUE #31D, NEW YORK, NY 10128
ADMITTED

S

 

SAMMONS SECURITI
SAMMONS SECURITIES COMPANY, LLC
NAME CHANGED TO: PARKLAND SECURITIES, LLC

 

SAMMONS SECURITI
PARKLAND SECURITIES, LLC
NEW NAME OF: SAMMONS SECURITIES COMPANY, LLC

 

SAMURAI TRADING,
SAMURAI TRADING, LLC
NAME CHANGED TO: AGENCY DESK, LLC

 

SAMURAI TRADING,
AGENCY DESK, LLC
NEW NAME OF: SAMURAI TRADING, LLC

 

STREAMLINE CAPIT
STREAMLINE CAPITAL CORPORATION
NAME CHANGED TO: LIGHTPATH CAPITAL, INC

 

STREAMLINE CAPIT
LIGHTPATH CAPITAL, INC
NEW NAME OF: STREAMLINE CAPITAL CORPORATION

 

SWORD SECURITIES
SWORD SECURITIES CORPORATION
NAME CHANGED TO: SWORD SECURITIES LLC

 

SWORD SECURITIES
SWORD SECURITIES LLC
NEW NAME OF: SWORD SECURITIES CORPORATION

V

 

VERITAS INDEPEND
VERITAS INDEPENDENT PARTNERS, LLC
1150 BOB COURTWAY DRIVE, SUITE 50, CONWAY, AR 72032
ADMITTED

W

 

WOLF FINANCIAL M
WOLF FINANCIAL MANAGEMENT, LLC
OAKBROOK TERRACE, IL, UNITED STATES
RESIGNED