finra

Changes to List of Firms We Regulate


For the period of 7/1/2014 through 7/31/2014

A

 

AVERE FINANCIAL
AVERE FINANCIAL GROUP, LLC
2800 E HIGHWAY 114, SUITE 300, TROPHY CLUB, TX 76262
ADMITTED

B

 

BARASTONE CAPITA
BARASTONE CAPITAL, INC.
NAME CHANGED TO: N3 FINANCIAL, INC.

 

BARASTONE CAPITA
N3 FINANCIAL, INC.
NEW NAME OF: BARASTONE CAPITAL, INC.

 

BMS CAPITAL ADVI
BMS CAPITAL ADVISORY, INC.
230 PARK AVENUE, SUITE 1160, NEW YORK, NY 10169
MAILING ADDRESS: 7650 EDINBOROUGH WAY, SUITE 600, EDINA, MN 55435
ADMITTED

 

B & T SECURITIES
B & T SECURITIES, INC.
NAME CHANGED TO: LIGHT HORSE MARKET SOLUTIONS, INC,

 

B & T SECURITIES
LIGHT HORSE MARKET SOLUTIONS, INC,
NEW NAME OF: B & T SECURITIES, INC.

C

 

CHXBD, LLC
CHXBD, LLC
440 SOUTH LASALLE STREET - SUITE 800, CHICAGO, IL 60605-1070
ADMITTED

 

CORPORATE PARTNE
CORPORATE PARTNERS ADVISORS LLC
45 ROCKEFELLER PLAZA, SUITE 1919, NEW YORK, NY 10111
ADMITTED

 

CURTISWOOD CAPIT
CURTISWOOD CAPITAL, LLC
NASHVILLE, TN
RESIGNED

D

 

DIRECT REALTY SE
DIRECT REALTY SECURITIES, INC.
5743 CORSA AVENUE, SUITE 215, WESTLAKE VILLIAGE, CA 91362
MAILING ADDRESS: 5743 CORSA AVENUE, SUITE 215, WESTLAKE VILLIAGE, CA 91362
ADMITTED

E

 

EAST SHORE PARTN
EAST SHORE PARTNERS, INC.
HAUPPAUGE, NY, UNITED STATES
CANCELLED FOR FAILED TO PAY OUTSTANDING FEES.

 

EXIT 3 CAPITAL M
EXIT 3 CAPITAL MARKETS, LLC
100 WEST PUTNAM AVENUE, 3RD FLOOR, GREENWICH, CT 06830-5316
ADMITTED

F

 

FELIX INVESTMENT
FELIX INVESTMENTS LLC
UPPER SADDLE RIVER, NJ, USA
CANCELLED FOR FAILURE TO PAY OUTSTANDING FEES.

 

FIRST AMERICAN C
FIRST AMERICAN CAPITAL AND TRADING CORPORATION
BOCA RATON, FL, USA
RESIGNED

 

FLORIDA INVESTME
FLORIDA INVESTMENT ADVISORS
TAMPA, FL, USA
RESIGNED

G

 

GARDNYR MICHAEL
GARDNYR MICHAEL CAPITAL, INC.
MOBILE, AL, USA
EXPELLED FOR FAILURE TO PAY FINES AND/OR COSTS.

 

GREENWICH FINANC
GREENWICH FINANCIAL SERVICES, L.L.C.
GREENWICH, CT, UNITED STATES
RESIGNED

K

 

KSBD, LLC
KSBD, LLC
4401 DOMINION BOULEVARD, GLEN ALLEN, VA 23060
ADMITTED

M

 

MANOR PARK SECUR
MANOR PARK SECURITIES LLC
125 PARK AVENUE, 25TH FLOOR, NEW YORK, NY 10017
MAILING ADDRESS: 125 PARK AVENUE, SUITE 2500, NEW YORK, NY 10017
ADMITTED

 

MICROTRADE NETWO
MICROTRADE NETWORKS, INC.
LAS VEGAS, NV, UNITED STATES
CANCELLED FOR FAILURE TO PAY OUTSTANDING FEES.

 

MODERN EQUITY SE
MODERN EQUITY SERVICES LLC
30 CASSVILLE RD, JACKSON, NJ 08527
MAILING ADDRESS: 30 CASSVILLE RD., JACKSON, NJ 08527 ADMITTED

 

MORETON BROKERAG
MORETON BROKERAGE SERVICES, LLC
NAME CHANGED TO: MORETON CAPITAL MARKETS, LLC

 

MORETON BROKERAG
MORETON CAPITAL MARKETS, LLC
NEW NAME OF: MORETON BROKERAGE SERVICES, LLC

N

 

NORTH NASSAU ADV
NORTH NASSAU ADVISORS, LLC
NAME CHANGED TO: NORTH NASSAU ADVISORS, LLC

 

NORTH NASSAU ADV
NORTH NASSAU ADVISORS, LLC
NEW NAME OF: NORTH NASSAU ADVISORS, LLC

 

N. HAHN & CO., I
N. HAHN & CO., INC.
NEW YORK, NY, UNITED STATES
EXPELLED FOR PURSUANT TO FINRA RULE 9552.

O

 

OBS BROKERAGE SE
OBS BROKERAGE SERVICES, INC.
WHITEHOUSE, OH
RESIGNED

P

 

PACIFIC CORNERST
PACIFIC CORNERSTONE CAPITAL INCORPORATED
SANTA ANA, CA, UNITED STATES
CANCELLED FOR FAILURE TO PAY OUTSTANDING FEES.

 

PAINTER, SMITH A
PAINTER, SMITH AND GORIAN INC.
NAME CHANGED TO: PAINTER, SMITH AND AMBERG INC.

 

PAINTER, SMITH A
PAINTER, SMITH AND AMBERG INC.
NEW NAME OF: PAINTER, SMITH AND GORIAN INC.

 

PENVEST SECURITI
PENVEST SECURITIES, INC.
GLENVIEW, IL, UNITED STATES
CANCELLED FOR FAILURE TO PAY OUTSTANDING FEES.

 

PHILADELPHIA BRO
PHILADELPHIA BROKERAGE CORPORATION
RADNOR, PA, UNITED STATES
RESIGNED

 

PONDER SECURITIE
PONDER SECURITIES, INC.
SWANSEA, IL, UNITED STATES
RESIGNED

 

PZENA FINANCIAL
PZENA FINANCIAL SERVICES, LLC
120 WEST 45TH STREET, 20TH FLOOR, NEW YORK, NY 10036
MAILING ADDRESS: 120 WEST 45TH STREET., 20TH FLOOR, NEW YORK, NY 10036
ADMITTED

R

 

RAPTORNET
RAPTORNET
NEW YORK, NY, USA
RESIGNED

 

RICHARD JAMES &
RICHARD JAMES & ASSOCIATES, INC.
548 DERBY DRIVE, SOUTH, OCEANSIDE, NY 11572
ADMITTED

 

RIVES, LEAVELL &
RIVES, LEAVELL & CO.
JACKSON, MS, UNITED STATES
RESIGNED

S

 

SUMMIT CAPITAL P
SUMMIT CAPITAL PARTNERS, LLC
AUSTIN, TX, USA
RESIGNED

 

SVA FINANCIAL SE
SVA FINANCIAL SERVICES, LLC
MADISON, WI, USA
RESIGNED

T

 

TBC SECURITIES,
TBC SECURITIES, LLC
NAME CHANGED TO: DEMOCRACY FUNDING LLC

 

TBC SECURITIES,
DEMOCRACY FUNDING LLC
NEW NAME OF: TBC SECURITIES, LLC

U

 

UPSIDE
UPSIDE
NAME CHANGED TO: UPSIDE BROKERAGE, LLC

 

UPSIDE
UPSIDE BROKERAGE, LLC
NEW NAME OF: UPSIDE

W

 

WEILD & CO., LLC
WEILD & CO., LLC
NAME CHANGED TO: WEILD & CO.

 

WEILD & CO., LLC
WEILD & CO.
NEW NAME OF: WEILD & CO., LLC

X

 

XFA SECURITIES,
XFA SECURITIES, LLC
CHICAGO, IL, USA
RESIGNED