finra

Changes to List of Firms We Regulate


For the period of 10/1/2014 through 10/31/2014

 

A

 

ABUNDANT POWER S
ABUNDANT POWER SECURITIES, LLC
NAME CHANGED TO: BOURNE PARTNERS SECURITIES, LLC

 

ABUNDANT POWER S
BOURNE PARTNERS SECURITIES, LLC
NEW NAME OF: ABUNDANT POWER SECURITIES, LLC

 

ARCHPOINT PARTNE
ARCHPOINT PARTNERS LLC
SAN FRANCISCO, CA
RESIGNED

 

ASTON DIEL SECUR
ASTON DIEL SECURITIES, LLC
2575 E. CAMELBACK ROAD, SUITE 450, PHOENIX, AZ 85016
ADMITTED

 

C

 

CDH SECURITIES,
CDH SECURITIES, LLC
NAME CHANGED TO: HEIKKINEN ENERGY SECURITIES, LLC

 

CDH SECURITIES,
HEIKKINEN ENERGY SECURITIES, LLC
NEW NAME OF: CDH SECURITIES, LLC

 

D

 

DU PASQUIER & CO
DU PASQUIER & CO., INC.
NEW YORK, NY, UNITED STATES
RESIGNED

 

F

 

FIMERIS INC.
FIMERIS INC.
NAME CHANGED TO: ARGENTHAL & CO. INC.

 

FIMERIS INC.
ARGENTHAL & CO. INC.
NEW NAME OF: FIMERIS INC.

 

FLASH FUNDERS SE
FLASH FUNDERS SECURITIES, LLC
NAME CHANGED TO: FLASHFUNDERS SECURITIES, LLC

 

FLASH FUNDERS SE
FLASHFUNDERS SECURITIES, LLC
NEW NAME OF: FLASH FUNDERS SECURITIES, LLC

 

FLASH FUNDERS SE
FLASH FUNDERS SECURITIES, LLC
NAME CHANGED TO: FLASHFUNDERS SECURITIES, LLC

 

FLASH FUNDERS SE
FLASHFUNDERS SECURITIES, LLC
NEW NAME OF: FLASH FUNDERS SECURITIES, LLC

 

G

 

GIRARD CAPITAL,
GIRARD CAPITAL, LLC
KING OF PRUSSIA, PA
RESIGNED

 

GLOBAL EQUITY HO
GLOBAL EQUITY HOLDINGS, LLC
LEBANON, NJ
RESIGNED

 

GREENVILLE SECUR
GREENVILLE SECURITIES, LLC
4925 GREENVILLE AVENUE, SUITE 1220, DALLAS, TX 75206-4020
ADMITTED

 

H

 

H.D. VEST INVEST
H.D. VEST INVESTMENT SERVICES
NAME CHANGED TO: HD VEST INVESTMENT SERVICES

 

H.D. VEST INVEST
HD VEST INVESTMENT SERVICES
NEW NAME OF: H.D. VEST INVESTMENT SERVICES

 

I

 

IRR CAPITAL MARK
IRR CAPITAL MARKETS, INC.
WESTWOOD, KS, USA
RESIGNED

 

J

 

JANCO PARTNERS,
JANCO PARTNERS, INC.
GREENWOOD VILLAGE, CO, UNITED STATES
RESIGNED

 

K

 

KINGSBRIDGE CAPI
KINGSBRIDGE CAPITAL CORP.
KING GEORGE, VA, UNITED STATES
RESIGNED

 

L

 

LAZARD CAPITAL M
LAZARD CAPITAL MARKETS LLC
NAME CHANGED TO: FM PARTNERS HOLDINGS LLC

 

LAZARD CAPITAL M
FM PARTNERS HOLDINGS LLC
NEW NAME OF: LAZARD CAPITAL MARKETS LLC

 

M

 

MONTGOMERY & CO.
MONTGOMERY & CO., LLC
SANTA MONICA, CA, UNITED STATES
RESIGNED

 

N

 

NFP SECURITIES,
NFP SECURITIES, INC.
NAME CHANGED TO: NFP ADVISOR SERVICES, LLC

 

NFP SECURITIES,
NFP ADVISOR SERVICES, LLC
NEW NAME OF: NFP SECURITIES, INC.

 

NHCOHEN CAPITAL
NHCOHEN CAPITAL LLC
2 PARK AVENUE, 14TH FLOOR, NEW YORK, NY 10016
ADMITTED

 

O

 

OPENBONDX LLC
OPENBONDX LLC
925 ARTHUR GODFREY RD., SUITE 103, MIAMI BEACH, FL 33140
MAILING ADDRESS: 925 ARTHUR GODFREY RD, SUITE 103, MIAMI BEACH, FL 33140
ADMITTED

 

P

 

PIERPONT SECURIT
PIERPONT SECURITIES LLC
NAME CHANGED TO: AMHERST PIERPONT SECURITIES LLC

 

PIERPONT SECURIT
AMHERST PIERPONT SECURITIES LLC
NEW NAME OF: PIERPONT SECURITIES LLC

 

R

 

REALFUND CAPITAL
REALFUND CAPITAL LLC
600 CALIFORNIA STREET, SUITE 560, SAN FRANCISCO, CA 94108
MAILING ADDRESS: 55 UNIVERSITY AVENUE,, SUITE 300, TORONTO, M5J 2H7
ADMITTED

 

RELATED FINANCIA
RELATED FINANCIAL SERVICES, LLC
60 COLUMBUS CIRCLE, NEW YORK, NY 10023
ADMITTED

 

ROCKWELL SECURIT
ROCKWELL SECURITIES LLC
NEW YORK, NY
RESIGNED

 

S

 

SEA PORT GROUP S
SEA PORT GROUP SECURITIES, LLC
NAME CHANGED TO: SEAPORT GLOBAL SECURITIES LLC

 

SEA PORT GROUP S
SEAPORT GLOBAL SECURITIES LLC
NEW NAME OF: SEA PORT GROUP SECURITIES, LLC

 

SI SECURITIES, L
SI SECURITIES, LLC
222 BROADWAY, 19TH FLOOR, NEW YORK, NY 10038
ADMITTED

 

SOUTHEASTERN CAP
SOUTHEASTERN CAPITAL PARTNERS BD, INC.
NAME CHANGED TO: SABLE CAPITAL LLC

 

SOUTHEASTERN CAP
SABLE CAPITAL LLC
NEW NAME OF: SOUTHEASTERN CAPITAL PARTNERS BD, INC.

 

T

 

TOLL CROSS SECUR
TOLL CROSS SECURITIES USA INC.
TORONTO, ONTARIO CANADA
RESIGNED

 

V

 

VICTORY PARK SEC
VICTORY PARK SECURITIES, LLC
NAME CHANGED TO: ARMORY SECURITIES, LLC

 

VICTORY PARK SEC
ARMORY SECURITIES, LLC
NEW NAME OF: VICTORY PARK SECURITIES, LLC

 

W

 

W CAMPION CAPITA
W CAMPION CAPITAL LLC
3737 GLENWOOD AVENUE, SUITE 100, RALEIGH, NC 27612
MAILING ADDRESS: 201-B STATE STREET, GREENSBORO, NC 27408
ADMITTED

 

WHITE, WELD & CO
WHITE, WELD & CO. SECURITIES, LLC
NAME CHANGED TO: BRAVER STERN SECURITIES LLC

 

WHITE, WELD & CO
BRAVER STERN SECURITIES LLC
NEW NAME OF: WHITE, WELD & CO. SECURITIES, LLC