finra

Changes to List of Firms We Regulate


For the period of 9/1/2014 through 9/30/2014

A

 

ARMA FINANCIAL S
ARMA FINANCIAL SERVICES, INC.
SCOTTSDALE, AZ, UNITED STATES
RESIGNED

 

AXICORP USA, LLC
AXICORP USA, LLC
CHICAGO, IL
RESIGNED

B

 

BULLTICK INVESTM
BULLTICK INVESTMENTS, LLC
MIAMI, FL, USA
RESIGNED

 

BULLTICK SECURIT
BULLTICK SECURITIES, LLC
MIAMI, FL, USA
RESIGNED

C

 

CEDAR CREEK SECU
CEDAR CREEK SECURITIES, INC.
MILWAUKEE, WI, USA
RESIGNED

 

CENTERPRISE CAPI
CENTERPRISE CAPITAL, LLC
NAME CHANGED TO: UHY ADVISORS CORPORATE FINANCE, LLC

 

CENTERPRISE CAPI
UHY ADVISORS CORPORATE FINANCE, LLC
NEW NAME OF:CENTERPRISE CAPITAL, LLC

 

CENTURION SECURI
CENTURION SECURITIES CORPORATION
WASHINGTON, MO, UNITED STATES
RESIGNED

 

CICERONE SECURIT
CICERONE SECURITIES, LLC
NAME CHANGED TO: GLOBAL OAK CAPITAL MARKETS LLC

 

CICERONE SECURIT
GLOBAL OAK CAPITAL MARKETS LLC
NEW NAME OF:CICERONE SECURITIES, LLC

 

CLEARCREEK PARTN
CLEARCREEK PARTNERS
1743 WAZEE STREET, # 375, DENVER, CO 80202-1393
ADMITTED

E

 

ECA SECURITIES,
ECA SECURITIES, LLC
NAME CHANGED TO: FLASH FUNDERS SECURITIES, LLC

 

ECA SECURITIES,
FLASH FUNDERS SECURITIES, LLC
NEW NAME OF:ECA SECURITIES, LLC

 

ECM SECURITIES C
ECM SECURITIES CORP.
ERIE, PA, USA
RESIGNED

 

E. S. HOPE FINAN
E. S. HOPE FINANCIAL
SAN DIEGO, CA, UNITED STATES
CANCELLED FOR SEC REGISTRATION CANCELLED

F

 

FCS SECURITIES
FCS SECURITIES
NEW YORK, NY, UNITED STATES
CANCELLED FOR SEC REGISTRATION CANCELLED

 

FSP INVESTMENTS
FSP INVESTMENTS LLC
WAKEFIELD, MA, UNITED STATES
RESIGNED

G

 

GILL AND ROESER
GILL AND ROESER HOLDINGS, INC.
NEW YORK, NY
RESIGNED

I

 

ING AMERICA EQUI
ING AMERICA EQUITIES, INC.
NAME CHANGED TO: VOYA AMERICA EQUITIES, INC.

 

ING AMERICA EQUI
VOYA AMERICA EQUITIES, INC.
NEW NAME OF:ING AMERICA EQUITIES, INC.

 

ING FINANCIAL AD
ING FINANCIAL ADVISERS, LLC
NAME CHANGED TO: VOYA FINANCIAL PARTNERS, LLC

 

ING FINANCIAL AD
VOYA FINANCIAL PARTNERS, LLC
NEW NAME OF:ING FINANCIAL ADVISERS, LLC

 

ING FINANCIAL PA
ING FINANCIAL PARTNERS, INC.
NAME CHANGED TO: VOYA FINANCIAL ADVISORS, INC.

 

ING FINANCIAL PA
VOYA FINANCIAL ADVISORS, INC.
NEW NAME OF:ING FINANCIAL PARTNERS, INC.

 

ING INVESTMENT A
ING INVESTMENT ADVISORS, LLC
NAME CHANGED TO: VOYA RETIREMENT ADVISORS, LLC

 

ING INVESTMENT A
VOYA RETIREMENT ADVISORS, LLC
NEW NAME OF:ING INVESTMENT ADVISORS, LLC

 

ISI CAPITAL, LLC
ISI CAPITAL, LLC
NEW YORK, NY, UNITED STATES
RESIGNED

K

 

KENMAR SECURITIE
KENMAR SECURITIES, LLC
1211 AVENUE OF THE AMERICAS, NEW YORK, NY 10036
MAILING ADDRESS: PO BOX 5537, NEW YORK, NY 10185-5537
ADMITTED

L

 

LAKE FOREST SECU
LAKE FOREST SECURITIES LLC
NAME CHANGED TO: ADCAP SECURITIES LLC

 

LAKE FOREST SECU
ADCAP SECURITIES LLC
NEW NAME OF:LAKE FOREST SECURITIES LLC

M

 

M&I DISTRIBUTORS
M&I DISTRIBUTORS LLC
NAME CHANGED TO: BMO INVESTMENT DISTRIBUTORS, LLC

 

M&I DISTRIBUTORS
BMO INVESTMENT DISTRIBUTORS, LLC
NEW NAME OF:M&I DISTRIBUTORS LLC

O

 

OTCEX
OTCEX
135 EAST 57TH STREET, 23RD FLOOR, NEW YORK, NY 10022
MAILING ADDRESS: 135 EAST 57TH STREET, 23RD FLOOR, NEW YORK, NY 10022
ADMITTED

P

 

PARKER ROSE LLC
PARKER ROSE LLC
NAME CHANGED TO: SENAHILL SECURITIES, LLC

 

PARKER ROSE LLC
SENAHILL SECURITIES, LLC
NEW NAME OF:PARKER ROSE LLC

R

 

R H INVESTMENT C
R H INVESTMENT CORPORATION, INC.
NAME CHANGED TO: RH INVESTMENT CORPORATION

 

R H INVESTMENT C
RH INVESTMENT CORPORATION
NEW NAME OF:R H INVESTMENT CORPORATION, INC.

 

REZNICK CAPITAL
REZNICK CAPITAL MARKETS SECURITIES, LLC
NAME CHANGED TO: COHNREZNICK CAPITAL MARKETS SECURITIES, LLC

 

REZNICK CAPITAL
COHNREZNICK CAPITAL MARKETS SECURITIES, LLC
NEW NAME OF:REZNICK CAPITAL MARKETS SECURITIES, LLC

S

 

S.J. LEVINSON &
S.J. LEVINSON & SONS LLC
NAME CHANGED TO: TRADE INFORMATICS LLC

 

S.J. LEVINSON &
TRADE INFORMATICS LLC
NEW NAME OF:S.J. LEVINSON & SONS LLC

 

ST. CHARLES CAPI
ST. CHARLES CAPITAL, LLC
DENVER, CO, USA
RESIGNED

 

SALOMON WHITNEY
SALOMON WHITNEY LLC
NAME CHANGED TO: SALOMON WHITNEY FINANCIAL

 

SALOMON WHITNEY
SALOMON WHITNEY FINANCIAL
NEW NAME OF:SALOMON WHITNEY LLC

 

SPECTRUM CAPITAL
SPECTRUM CAPITAL, LLC
OMAHA, NE, UNITED STATES
RESIGNED

U

 

U.S. RE SECURITI
U.S. RE SECURITIES, LLC
PEARL RIVER, NY, USA
RESIGNED

T

 

TPR INVESTMENTS,
TPR INVESTMENTS, L.P.
THE WOODLANDS, TX, USA
RESIGNED