finra

Changes to List of Firms We Regulate


For the period of 12/01/2014 through 12/31/2014

A

ALGOPARTNERS, LL
ALGOPARTNERS, LLC
WOODCLIFF LAKE, NJ
RESIGNED

 

ALTRUSHARE SECUR
ALTRUSHARE SECURITIES LLC
MANCHESTER, VT, USA
RESIGNED

 

AOC SECURITIES,
AOC SECURITIES, LLC
3060 PEACHTREE STREET, NW; SUITE 500, ATLANTA, GA 30305
ADMITTED

 

ARXIS SECURITIES
ARXIS SECURITIES LLC
527 MADISON AVENUE, 18TH FLOOR, NEW YORK, NY 10022
MAILING ADDRESS: 330 MADISON AVENUE, NEW YORK, NY 10017-5001
ADMITTED

 

B

 

BEACON TRADING &
BEACON TRADING & ANALYTICS LLC
NAME CHANGED TO: LUMINEX TRADING & ANALYTICS LLC

 

BEACON TRADING &
LUMINEX TRADING & ANALYTICS LLC
NEW NAME OF: BEACON TRADING & ANALYTICS LLC

 

BEANPOT FINANCIA
BEANPOT FINANCIAL SERVICES, INC.
GLENCOE, IL, UNITED STATES
RESIGNED

 

BMO INVESTMENT D
BMO INVESTMENT DISTRIBUTORS, LLC
BMO HARRIS FINANCIAL ADVISORS, INC.
HARRIS INVESTOR SERVICES, INC.

 

BRECKENRIDGE SEC
BRECKENRIDGE SECURITIES CORP.
ATLANTA, GA, UNITED STATES
RESIGNED

 

BROADWAY DIRECT
BROADWAY DIRECT INVESTMENTS, LLC
NAME CHANGED TO: WAYPOINT DIRECT INVESTMENTS, LLC

 

BROADWAY DIRECT
WAYPOINT DIRECT INVESTMENTS, LLC
NEW NAME OF: BROADWAY DIRECT INVESTMENTS, LLC

 

BURRILL SECURITI
BURRILL SECURITIES
SAN FRANCISCO, CA, USA
RESIGNED

 

C

 

CARRINGTON INVES
CARRINGTON INVESTMENT SERVICES, LLC
OLD GREENWICH, CT, USA
RESIGNED

 

CINS, LLC
CINS, LLC
NAME CHANGED TO: CFA FINANCIAL LLC

 

CINS, LLC
CFA FINANCIAL LLC
NEW NAME OF: CINS, LLC

 

CLFS SECURITIES,
CLFS SECURITIES, INC.
CLEVELAND, OH, UNITED STATES
RESIGNED

 

CMP EQUITIES, IN
CMP EQUITIES, INC.
EDEN PRAIRIE, MN, UNITED STATES
RESIGNED

 

CREST CAPITAL LL
CREST CAPITAL LLC
N68W30549 BETTE ANN DR., HARTLAND, WI 53029
MAILING ADDRESS: 2725 NW 24TH AVE., CAMAS, WA 98607
ADMITTED

 

CURTIS SECURITIE
CURTIS SECURITIES, LLC
PHILADELPHIA, PA, USA
RESIGNED

 

D

 

DELTA TRUST INVE
DELTA TRUST INVESTMENTS, INC.
NAME CHANGED TO: SIMMONS FIRST INVESTMENT GROUP, INC.

 

DELTA TRUST INVE
SIMMONS FIRST INVESTMENT GROUP, INC.
NEW NAME OF: DELTA TRUST INVESTMENTS, INC.

 

E

 

EAGLEVIEW SECURI
EAGLEVIEW SECURITIES, INC
3969 DURHAM ROAD, DOYLESTOWN, PA 18902
ADMITTED

 

ELE WEALTH ADVIS
ELE WEALTH ADVISORS
NAME CHANGED TO: ELE WEALTH ADVISORS, INC.

 

ELE WEALTH ADVIS
ELE WEALTH ADVISORS, INC.
NEW NAME OF: ELE WEALTH ADVISORS

 

ENERGY HUNTER SE
ENERGY HUNTER SECURITIES, INC.
HOUSTON, TX, USA
RESIGNED

 

G

 

GREEN STREET ADV
GREEN STREET ADVISORS, LLC
NAME CHANGED TO: GREEN STREET TRADING, LLC

 

GREEN STREET ADV
GREEN STREET TRADING, LLC
NEW NAME OF: GREEN STREET ADVISORS, LLC

 

GRIDLEY & COMPAN
GRIDLEY & COMPANY LLC
NEW YORK, NY, USA
RESIGNED

 

H

 

HOLBROOK CAPITAL
HOLBROOK CAPITAL LLC
NAME CHANGED TO: SINGPOLI WEALTH MANAGEMENT LLC

 

HOLBROOK CAPITAL
SINGPOLI WEALTH MANAGEMENT LLC
NEW NAME OF: HOLBROOK CAPITAL LLC

 

I

 

ICAPITAL SECURIT
ICAPITAL SECURITIES, LLC
441 LEXINGTON AVENUE, 9TH FLOOR, NEW YORK, NY 10017
MAILING ADDRESS: 441 LEXINGTON AVENUE,, 9TH FLOOR, NEW YORK, NY 10017
ADMITTED

 

K

 

KEEL POINT CAPIT
KEEL POINT CAPITAL, LLC
NAME CHANGED TO: KEEL POINT INVESTMENTS, LLC

 

KEEL POINT CAPIT
KEEL POINT INVESTMENTS, LLC
NEW NAME OF: KEEL POINT CAPITAL, LLC

 

KIPLING JONES &
KIPLING JONES & CO., LTD.
HOUSTON, TX, USA
CANCELLED FOR SEC REGISTRATION CANCELLED

 

L

 

LUMINEX TRADING
LUMINEX TRADING & ANALYTICS LLC
200 SEAPORT BLVD, BOSTON, MA 02110
ADMITTED

 

LUMOS PARTNERS,
LUMOS PARTNERS, LLC
1399 YGNACIO VALLEY ROAD, SUITE 210-A, WALNUT CREEK, CA 94598
ADMITTED

 

M

 

MANOR HOUSE CAPI
MANOR HOUSE CAPITAL LLC
PHILADELPHIA, PA
RESIGNED

 

MASON CAPITAL GR
MASON CAPITAL GROUP, LLC
110 EAST 59TH STREET, NEW YORK, NY 10022
ADMITTED

 

MILLER TABAK + C
MILLER TABAK + CO., LLC
NEW YORK, NY, UNITED STATES
RESIGNED

 

MOGAVERO LEE & C
MOGAVERO LEE & CO INC.
STATEN ISLAND, NY, UNITED STATES
RESIGNED

 

MPS GLOBAL SECUR
MPS GLOBAL SECURITIES, LLC
NEW YORK, NY
RESIGNED

 

MT RUSHMORE SECU
MT RUSHMORE SECURITIES LLC
FAIRFIELD, IA, U.S.
CANCELLED FOR FAILURE TO PAY OUTSTANDING FEES.

 

P

 

PJT PARTNERS LP
PJT PARTNERS LP
40 WEST 57TH STREET, 15TH FLOOR, NEW YORK, NY 10019
ADMITTED

 

PPS SECURITIES,
PPS SECURITIES, LLC
NAME CHANGED TO: DYNASTY SECURITIES, LLC

 

PPS SECURITIES,
DYNASTY SECURITIES, LLC
NEW NAME OF: PPS SECURITIES, LLC

 

PROFOR SECURITIE
PROFOR SECURITIES, LLC
NAME CHANGED TO: PROFOR ADVISORS

 

PROFOR SECURITIE
PROFOR ADVISORS
NEW NAME OF: PROFOR SECURITIES, LLC

 

R

 

ROBERTS MITANI,
ROBERTS MITANI, LLC
NEW YORK, NY, UNITED STATES
RESIGNED

 

ROTHMAN SECURITI
ROTHMAN SECURITIES, INC.
SOUTHAMPTON, PA, UNITED STATES
RESIGNED

 

R.W. SMITH & ASS
R.W. SMITH & ASSOCIATES, INC.
NAME CHANGED TO: R.W. SMITH & ASSOCIATES, LLC

 

R.W. SMITH & ASS
R.W. SMITH & ASSOCIATES, LLC
NEW NAME OF: R.W. SMITH & ASSOCIATES, INC.

 

S

 

SEIDEL & SHAW L.
SEIDEL & SHAW L.L.C.
NAME CHANGED TO: SEIDEL & CO., LLC

 

SEIDEL & SHAW L.
SEIDEL & CO., LLC
NEW NAME OF: SEIDEL & SHAW L.L.C.

 

SEVEN HILLS PART
SEVEN HILLS PARTNERS LLC
SAN FRANCISCO, CA, USA
RESIGNED

 

SPRING INVESTOR
SPRING INVESTOR SERVICES, INC.
SHERBORN, MA, USA
RESIGNED

 

STARLIGHT INVEST
STARLIGHT INVESTMENTS, LLC
NAME CHANGED TO: STARLIGHT FUNDING INVESTMENTS, LLC

 

STARLIGHT INVEST
STARLIGHT FUNDING INVESTMENTS, LLC
NEW NAME OF: STARLIGHT INVESTMENTS, LLC

 

SWEDBANK FIRST S
SWEDBANK FIRST SECURITIES, LLC
NAME CHANGED TO: SWEDBANK SECURITIES US, LLC

 

SWEDBANK FIRST S
SWEDBANK SECURITIES US, LLC
NEW NAME OF: SWEDBANK FIRST SECURITIES, LLC

 

T

 

TWEEDY, BROWNE C
TWEEDY, BROWNE COMPANY LLC
STAMFORD, CT, UNITED STATES
RESIGNED

 

Q

 

QUANTITATIVE BRO
QUANTITATIVE BROKERS, LLC
28 WEST 44TH STREET, #1400, NEW YORK, NY 10036
ADMITTED

 

QUESTRION RESEAR
QUESTRION RESEARCH CORPORATION
NEW YORK, NY, UNITED STATES
RESIGNED

 

S

 

SCS (USA) INC
SCS (USA) INC
NAME CHANGED TO: EDGECREST CAPITAL (USA) INC.

 

SCS (USA) INC
EDGECREST CAPITAL (USA) INC.
NEW NAME OF: SCS (USA) INC

 

V

 

VAB FINANCIAL, L
VAB FINANCIAL, LLC
SAN JUAN, PR
RESIGNED

 

VOGUE CAPITAL MA
VOGUE CAPITAL MANAGEMENT LLC
SUNNY ISLES BEACH, FL, UNITED STATES
RESIGNED

 

W

 

WILSHIRE PACIFIC
WILSHIRE PACIFIC CAPITAL ADVISORS, LLC
8447 WILSHIRE BLVD., SUITE 202, BEVERLY HILLS, CA 90211
ADMITTED