finra

Firms We Regulate - E

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E D & F MAN CAPITAL MARKETS INC.

140 EAST 45TH STREET, 42ND FLOOR, NEW YORK, NY 10017

 

E&A ADVISORS, LLC

ONE MORROCROFT CENTRE, 6805 MORRISON BLVD, SUITE 380, CHARLOTTE, NC 28211

 

E&J SECURITIES CORP.

C/O ACCOUNTING & COMPLIANCE INTERNATIONAL, 40 WALL STREET, 17TH FLOOR, NEW YORK, NY 10005

Mailing Address: C/O ACCOUNTING & COMPLIANCE INTERNATIONAL, 40 WALL STREET, 17TH FLOOR, NEW YORK, NY 10005

 

E*TRADE CLEARING LLC

HARBORSIDE FINANCIAL CENTER, 34 EXCHANGE PLACE, PLAZA II - 4TH FLOOR, JERSEY CITY, NJ 07311

Mailing Address: 1271 AVENUE OF THE AMERICAS, 14TH FLOOR, NEW YORK, NY 10020

 

E*TRADE SECURITIES LLC

1271 AVENUE OF THE AMERICAS, 14TH FLOOR, NEW YORK, NY 10020

 

E-SPECTRUM ADVISORS LLC

5956 SHERRY LANE, SUITE 900, DALLAS, TX 75225

 

E-W INVESTMENTS, INC.

205 E. LAS TUNAS DRIVE, SAN GABRIEL, CA 91776

 

E. E. POWELL & COMPANY INC.

200 NORTHPOINTE CIRCLE, SUITE 304, SEVEN FIELDS, PA 16046

 

E. MAGNUS OPPENHEIM & CO. INC.

14 EAST 38TH STREET / 7TH FLOOR, NEW YORK, NY 10016-0005

 

E.J. STERLING, LLC

40 BROAD ST., 6TH FLOOR, NEW YORK, NY 10004

 

E.K. WALLACE SECURITIES LLC

270 LAFAYETTE ST. SUITE 1204, NEW YORK, NY 10012

 

E.L.K. CAPITAL ADVISORS, LLC

1033 SKOKIE BOULEVARD, SUITE 430, NORTHBROOK, IL 60062

 

E.S. FINANCIAL SERVICES, INC.

1395 BRICKELL AVE, SUITE 490, MIAMI, FL 33131

Mailing Address: 1395 BRICKELL AVE 4TH FLOOR, MIAMI, FL 33131

 

E1 ASSET MANAGEMENT, INC.

15 EXCHANGE PLACE, SUITE 710, JERSEY CITY, NJ 07302

 

EA MARKETS SECURITIES LLC

120 W 45TH ST., 30TH FLOOR, NEW YORK, NY 10036

 

EAGLE EQUITIES, INC.

400 CRAIN HIGHWAY S.W., GLEN BURNIE, MD 21061-3645

Mailing Address: 400 CRAIN HWY S.W., GLEN BURNIE, MD 21061

 

EAGLE FUND DISTRIBUTORS, INC.

880 CARILLON PARKWAY, ST. PETERSBURG, FL 33716

 

EAGLE LEDGE CAPITAL, LLC

5825 E. BURNS AVE., FRESNO, CA 93727

 

EARLYBIRDCAPITAL, INC.

ONE HUNTINGTON QUADRANGLE, SUITE 4C18, MELVILLE, NY 11747

 

EAST WIND SECURITIES, LLC

135 WEST 50TH STREET, SUITE 19D, NEW YORK, NY 10020

 

EASTERN POINT SECURITIES, INC.

3 RIVER PLACE, LEXINGTON, VA 24450

 

EASTRIDGE CAPITAL, LP

200 EAST 90TH STREET, #20H, NEW YORK, NY 10128

 

EATON PARTNERS, LLC

131 ROWAYTON AVENUE, ROWAYTON, CT 06853

 

EATON VANCE DISTRIBUTORS, INC.

TWO INTERNATIONAL PLACE, BOSTON, MA 02110

 

EBH SECURITIES, INC.

6525 E. 82ND ST. SUITE 209, INDIANAPOLIS, IN 46250

Mailing Address: 6525 E. 82ND ST  SUITE 209, INDIANAPOLIS, IN 46250

 

EBOND SECURITIES, LLC

330 MADISON AVENUE, 6TH FLOOR, NEW YORK, NY 10017

 

ECA SECURITIES, LLC

15260 VENTURA BLVD., 20TH FLOOR, SHERMAN OAKS, CA 91403

 

ECHELON CAPITAL

1500 ROSECRANS AVENUE, SUITE 315, MANHATTAN BEACH, CA 90266

 

ECLYPSE SECURITIES LLC

3424 PEACHTREE ROAD NE, SUITE 1725, ATLANTA, GA 30326

 

ECOBAN SECURITIES CORPORATION

521 FIFTH AVENUE SUITE 630, NEW YORK, NY 10175

 

ECONOMY SECURITIES, INCORPORATED

1301 MORTENSEN LANE, EVANSVILLE, IN 47715

 

EDELMAN & CO., LTD.

627 EAST BAY POINT ROAD, BAYSIDE, WI 53217

Mailing Address: 333 WEST BROWN DEER ROAD, MILWAUKEE, WI 53217

 

EDGE CORPORATE FINANCE, LLC

1380 W. PACES FERRY RD., SUITE 1000, ATLANTA, GA 30327

Mailing Address: 1380 W. PACES FERRY RD., SUITE 1000, ATLANTA, GA 30327

 

EDGELINE CAPITAL, LLC.

11726 SAN VICENTE BLVD., SUITE 610, LOS ANGELES, CA 90049

 

EDGEMONT CAPITAL PARTNERS, L.P.

570 LEXINGTON AVENUE, 29TH FLOOR, NEW YORK, NY 10022

 

EDGEPOINT CAPITAL ADVISORS LLC

3700 PARK EAST DRIVE SUITE 160, BEACHWOOD, OH 44122

Mailing Address: 3700 PARK EAST DRIVE, SUITE 160, BEACHWOOD, OH 44122

 

EDGEWATER CAPITAL, LLC

6 HUTTON CENTRE DRIVE, #860, SOUTH COAST METRO, CA 92707

 

EDI FINANCIAL, INC.

1431 GREENWAY DRIVE, SUITE 330, IRVING, TX 75038

 

EDWARD JONES

12555 MANCHESTER ROAD, ST. LOUIS, MO 63131-3729

 

EDWIN C. BLITZ INVESTMENTS, INC.

191 WAUKEGAN ROAD #345, NORTHFIELD, IL 60093

 

EFC FINANCIAL SERVICES, LLC

200 DRYDEN RD, SUITE 4000, DRESHER, PA 19025

 

EFG CAPITAL INTERNATIONAL

701 BRICKELL AVE, 9TH FLOOR & SUITE 1350, MIAMI, FL 33131-2867

 

EHRENBERG CHESLER SECURITIES, INC

7373 BROADWAY, SUITE 108, SAN ANTONIO, TX 78209

 

EIDE BAILLY SECURITIES, LLC

4310 17TH AVENUE S, FARGO, ND 58108-2545

Mailing Address: PO BOX 2545, FARGO, ND 58108-2545

 

EIGHT PINES SECURITIES LLC

600 FIFTH AVENUE, 25TH FLOOR, NEW YORK, NY 10020

 

EK RILEY INVESTMENTS, LLC

1420 5TH AVENUE SUITE 3300, SEATTLE, WA 98101

Mailing Address: 1420 5TH AVENUE SUITE 3300, SEATTLE, WA 98101

 

ELARA SECURITIES, INC.

36W 44TH STREET, UNIT 803, NEW YORK, NY 10036

 

ELE WEALTH ADVISORS

18700 W. 10 MILE ROAD, STE 100, SOUTHFIELD, MI 48075

 

ELECTRONIC TRANSACTION CLEARING, INC.

660 S. FIGUEROA STREET SUITE 1450, LOS ANGELES, CA 90017

Mailing Address: 660 S. FIGUEROA STREET SUITE 1450, LOS ANGELES, CA 90017

 

ELEVATION, LLC

214 N. TRYON STREET, SUITE 3010, CHARLOTTE, NC 28202

 

ELKHORN SECURITIES, LLC

207 REBER ST., WHEATON, IL 60187-5415

 

ELM CAPITAL USA LIMITED

26 ST JAMES'S SQUARE, LONDON, SW1Y 4JH UNITED KINGDOM

 

ELMCORE SECURITIES LLC

8985 S EASTERN AVE., SUITE 205, LAS VEGAS, NV 89123

 

EM SECURITIES LLC

C/O EVOLUTION MEDIA CAPITAL, 405 LEXINGTON AVENUE, 19TH FLOOR, NEW YORK, NY 10174

 

EMERALD POINT CAPITAL, LLC

420 LEXINGTON AVENUE, SUITE 1718, NEW YORK, NY 10170

 

EMERGENT FINANCIAL GROUP, INC.

3600 AMERICAN BOULEVARD W., SUITE 670, BLOOMINGTON, MN 55431

Mailing Address: 3600 AMERICAN BOULEVARD W., SUITE 670, BLOOMINGTON, MN 55431

 

EMERGING GROWTH EQUITIES, LTD.

1150 FIRST AVE, PARK VIEW TOWER, SUITE 450, KING OF PRUSSIA, PA 19406-2816

Mailing Address: 1150 FIRST AVE, PARK VIEW TOWER, SUITE 600, KING OF PRUSSIA, PA 19406-2816

 

EMERGING MANAGER ADVISORS LLC

84 MORRIS STREET, JERSEY CITY, NJ 07302

 

EMERSON EQUITY LLC

155 BOVET ROAD, SUITE 725, SAN MATEO, CA 94402

Mailing Address: 155 BOVET ROAD, SUITE 725, SAN MATEO, CA 94402

 

EMG CAPITAL LLC

1450 BRICKELL AVE, SUITE 3090, MIAMI, FL 33131-2649

 

EMMET & CO, INC.

12 PEAPACK ROAD, FAR HILLS, NJ 07931

Mailing Address: P.O. BOX 160, FAR HILLS, NJ 07931

 

EMPIRE ASSET MANAGEMENT COMPANY

2 RECTOR STREET, 15TH FLOOR, NEW YORK, NY 10006

 

EMPIRE EXECUTIONS, INC.

C/O ACCOUNTING & COMPLIANCE INTERNATIONAL, 40 WALL STREET, 17TH FLOOR, NEW YORK, NY 10005

 

EMPIRE INVESTMENT INC.

136-20 38TH AVE., SUITE 9E, FLUSHING, NY 11354

 

EMPIRE STATE FINANCIAL, INC.

20 W. PARK AVE., SUITE 207, LONG BEACH, NY 11561

 

EMPIRIC DISTRIBUTORS, INC.

500 N CAPITAL OF TEXAS HWY, BUILDING 8, SUITE 150, AUSTIN, TX 78746

 

EMPIRICAL RESEARCH PARTNERS LLC

565 FIFTH AVENUE, 25TH FLOOR, NEW YORK, NY 10017

 

EMPLOYEE BENEFITS INVESTMENT GROUP, INC.

261 WEST CAUSEWAY APPROACH, MANDEVILLE, LA 70448

Mailing Address: P. O. BOX 1260, MANDEVILLE, LA 70470

 

ENCLAVE CAPITAL LLC

19 W 44TH STREET, SUITE 1700, NEW YORK, NY 10036

 

ENDEAVOR CAPITAL

30 BROAD STREET, 25TH FLOOR, NEW YORK, NY 10004

 

ENERECAP PARTNERS, LLC

1718 PEACHTREE STREET, NW, SUITE 900, ATLANTA, GA 30309

 

ENERGY CAPITAL SOLUTIONS LLC

2651 NORTH HARWOOD, SUITE 410, DALLAS, TX 75201

 

ENERGY HUNTER SECURITIES, INC.

777 POST OAK BLVD, SUITE 910, HOUSTON, TX 77056

 

ENERGYNET.COM, INC.

7201 I-40 WEST SUITE 319, AMARILLO, TX 79106

 

ENGLAND SECURITIES, LLC

888 17TH STREET, NW, SUITE 304, WASHINGTON, DC 20006

 

ENLACE MARKETS, INC.

115 BROADWAY SUITE 1303, NEW YORK, NY 10005

 

ENNIS KNUPP SECONDARY MARKET SERVICES, LLC

200 EAST RANDOLPH, SUITE 1500, CHICAGO, IL 60601

 

ENSEMBLE FINANCIAL SERVICES, INC.

179 SULLY'S TRAIL, SUITE 200, PITTSFORD, NY 14534

Mailing Address: 179 SULLY'S TRAIL, SUITE 200, PITTSFORD, NY 14534-4599

 

ENSTREAM CAPITAL MARKETS, LLC

5646 MILTON STREET, SUITE 318, DALLAS, TX 75206

 

ENTERPRISE EQUITIES, INC.

70 CORPORATE CENTER, 11000 BROKEN LAND PARKWAY , SUITE 700, COLUMBIA, MD 21044

 

ENTRUST SECURITIES LLC

375 PARK AVENUE, 24TH FLOOR, NEW YORK, NY 10152

 

ENVOY SECURITIES, LLC

4194 ROYAL PINE DRIVE, COLORADO SPRINGS, CO 80920

 

EP SECURITIES, LLC

275 MADISON AVE, 40TH FLOOR, NEW YORK, NY 10016

 

EPOCH SECURITIES, INC.

132 TURNPIKE ROAD, SUITE 210, SOUTHBOROUGH, MA 01772

Mailing Address: 132 TURNPIKE ROAD, SOUTHBOROUGH, MA 01772

 

EQUABLE SECURITIES CORPORATION

330 NORTH 121ST STREET, MILWAUKEE, WI 53226-3895

 

EQUIBASE CAPITAL MARKETS, LLC

1200 NORTH ASHLAND AVENUE; SUITE 600, CHICAGO, IL 60622

 

EQUIFINANCIAL LLC

1717 NORTH BAYSHORE DRIVE, SUITE 217, MIAMI, FL 33132

 

EQUILEND

17 STATE STREET, 9TH FLOOR, NEW YORK, NY 10004

 

EQUILIBRIUM CAPITAL SERVICES, LLC

1331 NW LOVEJOY ST., #850, PORTLAND, OR 97209

 

EQUINOX GROUP DISTRIBUTORS, LLC

47 HULFISH STREET, SUITE 510, PRINCETON, NJ 08542

 

EQUINOX SECURITIES, INC.

412 E. STATE STREET, REDLANDS, CA 92373

 

EQUITY INVESTMENT SERVICES, INC

1640 PEPPERWOOD DR, ST. LOUIS, MO 63146

Mailing Address: P. O. BOX 28338, ST. LOUIS, MO 63146

 

EQUITY SERVICES, INC.

ONE NATIONAL LIFE DRIVE, MONTPELIER, VT 05604

 

EQUUS FINANCIAL CONSULTING LLC

78 PINE ST., SUITE 101, NEW CANAAN, CT 06840

 

ERNST & YOUNG CAPITAL ADVISORS, LLC

155 N. WACKER DRIVE, CHICAGO, IL 60606

 

ERNST & YOUNG CORPORATE FINANCE (CANADA) INC.

222 BAY STREET, ERNST & YOUNG TOWER, TORONTO, M5K 1J7 ONTARIO, CANADA

 

ERNST CAPITAL SECURITIES, LLC

101 S. REID STREET, SUITE 209, SIOUX FALLS, SD 57103

 

EROOM SECURITIES L.L.C.

440 S. LASALLE STREET, SUITE 2118, CHICAGO, IL 60605

 

ESAE CAPITAL PARTNERS, LLC

1410 BROADWAY, SUITE 1102, NEW YORK, NY 10018

 

ESL INVESTMENT SERVICES, LLC

225 CHESTNUT STREET, ROCHESTER, NY 14604

 

ESPOSITO SECURITIES, LLC

300 CRESCENT COURT, SUITE 650, DALLAS, TX 75201

 

ESSEX FINANCIAL SERVICES, INC.

176 WESTBROOK ROAD, ESSEX, CT 06426

Mailing Address: P.O. BOX 999, ESSEX, CT 06426-0999

 

ESSEX NATIONAL SECURITIES, LLC

550 GATEWAY DRIVE, SUITE 210, NAPA, CA 94558

 

ESSEX RADEZ LLC

440 S. LASALLE #1111, CHICAGO, IL 60605-1028

 

ESSEX SECURITIES LLC

218 BOSTON STREET, SUITE 101, TOPSFIELD, MA 01983

 

ESTRADA HINOJOSA & COMPANY, INC.

1717 MAIN STREET LB 47, SUITE 4700, DALLAS, TX 75201-7361

Mailing Address: 1717 MAIN STREET LB 47, DALLAS, TX 75201-7361

 

ETC BROKERAGE SERVICES, LLC

1 EQUITY WAY, WESTLAKE, OH 44145

 

ETF DISTRIBUTORS LLC

6 EAST 39TH ST SUITE 1003, NEW YORK, NY 10016

 

EULAV SECURITIES LLC

7 TIMES SQUARE, 21ST FLOOR, NEW YORK, NY 10036

 

EUREKA CAPITAL MARKETS, LLC

555 ANTON BLVD, SUITE 910, COSTA MESA, CA 92626

 

EUREKACAP PARTNERS, INC.

673 FIFTH AVENUE, 5TH FLOOR, NEW YORK, NY 10022

 

EURO PACIFIC CAPITAL, INC.

88 POST ROAD WEST, 3RD FLOOR, WESTPORT, CT 06880

 

EURO-AMERICAN EQUITIES, INC.

4327 FOREST AVENUE S.E., MERCER ISLAND, WA 98040

Mailing Address: 4327 FOREST AVENUE S.E., MERCER ISLAND, WA 98040

 

EUROCONSULT CAPITAL, LLC

23 BERKELEY SQUARE, LONDON, W1J 6HE UNITED KINGDOM

Mailing Address: 767 THIRD AVENUE, 19TH FLOOR, NEW YORK, NY 10017

 

EUROLINK SECURITIES LLC

711 5TH AVENUE, 16TH FLOOR, NEW YORK, NY 10022

 

EVENTURELINK SECURITIES INC.

1522 W. MANCHESTER AVENUE, LOS ANGELES, CA 90047

 

EVERCORE GROUP L.L.C.

55 EAST 52ND STREET, 38TH FLOOR, NEW YORK, NY 10055

Mailing Address: 55 EAST 52ND STREET, 38TH FLOOR, NEW YORK, NY 10055

 

EVERENCE SECURITIES, INC.

1110 NORTH MAIN STREET, GOSHEN, IN 46528

Mailing Address: P.O. BOX 483, GOSHEN, IN 46527

 

EVERTRADE DIRECT BROKERAGE, INC.

8300 EAGER RD, SUITE 700, ST. LOUIS, MO 63144

 

EVOLUTION CAPITAL ADVISORS, LLC

500 YALE AVE N, FIRST FLOOR, SEATTLE, WA 98109

 

EWING BEMISS & CO.

901 EAST BYRD STREET SUITE 1500, RICHMOND, VA 23219-4033

 

EXANE, INC.

640 FIFTH AVENUE, 15TH FLOOR, NEW YORK, NY 10019

 

EXCEED SECURITIES LLC

28 W. 44TH STREET - 16TH FLOOR, NEW YORK, NY 10036

 

EXCEL SECURITIES & ASSOCIATES, INC.

200 CANAL VIEW BLVD., STE. 204, ROCHESTER, NY 14623

 

EXECUTION ACCESS, LLC

ONE LIBERTY PLAZA, 165 BROADWAY, 51ST FL, C/O NASDAQ OMX GROUP INC., NEW YORK, NY 10006

Mailing Address: ONE LIBERTY PLAZA, 51ST FLOOR, C/O NASDAQ OMX GROUP INC., NEW YORK, NY 10006

 

EXECUTIVE SERVICES SECURITIES, LLC

3445 PEACHTREE ROAD NE, SUITE 200, ATLANTA, GA 30326-1156

 

EXEMPLAR CAPITAL, LLC

4 FANEUIL HALL MARKETPLACE, SOUTH BUILDING, 3RD FLOOR, SUITE 4005, BOSTON, MA 02109-6102

Mailing Address: 4 FANEUIL HALL MARKETPLACE, SOUTH BUILDING, 3RD FLOOR, SUITE 4005, BOSTON, MA 02109-6120

 

EXIT 3 CAPITAL MARKETS, LLC

100 WEST PUTNAM AVENUE, 3RD FLOOR, GREENWICH, CT 06830-5316

 

EXOTIX USA INC.

444 MADISON AVENUE, 36TH FLOOR, NEW YORK, NY 10022

 

EXVERE SECURITIES LLC

1301 FIFTH AVEUNE, STE 3405, SEATTLE, WA 98101-2601

Mailing Address: 1301 FIFTH AVENUE, STE 3405, SEATTLE, WA 98101-2601

 

EZE CASTLE TRANSACTION SERVICES LLC

12 FARNSWORTH ST., 6TH FLOOR, BOSTON, MA 02210

 

 

 

 

 

Last Updated: 8/4/2014