finra

Firms We Regulate - H

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H & L EQUITIES, LLC

1175 PEACHTREE ST., N.E., SUITE 2200, ATLANTA, GA 30361-6206

 

H. BECK, INC.

6600 ROCKLEDGE DRIVE, 6TH FLOOR, BETHESDA, MD 20817

 

H. C. DENISON CO.

618 NORTH 7TH STREET, SHEBOYGAN, WI 53081

Mailing Address: P.O. BOX 28, SHEBOYGAN, WI 53082-0028

 

H. KAWANO & CO., INC.

1149 BETHEL STREET #503, HONOLULU, HI 96813-2212

Mailing Address: P.O. BOX 4406, HONOLULU, HI 96812-4406

 

H. RIVKIN & CO., INC.

12 WEST DELAWARE AVENUE, PENNINGTON, NJ 08534

 

H.C.WAINWRIGHT & CO., LLC

430 PARK AVENUE, 4TH FLOOR, NEW YORK, NY 10022

 

H.D. VEST INVESTMENT SERVICES

6333 NORTH STATE HIGHWAY 161, 4TH FLOOR, IRVING, TX 75038-2200

 

H2C SECURITIES INC.

11682 EL CAMINO REAL, SUITE 320, SAN DIEGO, CA 92130

 

HA&W STRATEGIC PARTNERS, LLC

FIVE CONCOURSE PARKWAY, SUITE 600, ATLANTA, GA 30328

 

HADLEY PARTNERS, INCORPORATED

841 APOLLO STREET, SUITE 344, EL SEGUNDO, CA 90245

 

HAGEN SECURITIES, INC.

2112 CENTURY PARK LANE, #415, LOS ANGELES, CA 90067

 

HALCYON CABOT PARTNERS, LTD.

405 LEXINGTON AVENUE, 7TH FLOOR, NEW YORK, NY 10174

 

HALEN CAPITAL

301 SOUTH MISSOURI AVENUE, 2ND FLOOR, CLEARWATER, FL 33756

 

HALES SECURITIES, LLC

521 FIFTH AVENUE, SUITE 610, NEW YORK, NY 10175

 

HALEY SECURITIES, INC.

10703 J STREET, SUITE 102, OMAHA, NE 68127

 

HALL & ROMKEMA FINANCIAL SERVICES, LLC

3495 COOLIDGE, EAST LANSING, MI 48823

 

HALLIDAY FINANCIAL, LLC

725 GLEN COVE AVENUE, GLEN HEAD, NY 11545

Mailing Address: 725 GLEN COVE ANUENE, GLEN HEAD, NY 11545

 

HALLMARK INVESTMENTS, INC.

6 EAST 39TH STREET, NEW YORK, NY 10016

 

HAMERSHLAG SULZBERGER BORG CAPITAL MARKETS, INC.

1230 AVENUE OF THE AMERICAS ROCKEFELLER CENTER, 7TH FLOOR, NEW YORK CITY, NY 10020

Mailing Address: C/O ACCOUNTING & COMPLIANCE INTERNATIONAL, 40 WALL STREET SUITE 1704, NEW YORK, NY 10005

 

HAMERSLEY PARTNERS LLC

1 HOLLIS STREET, SUITE 350, WELLESLEY, MA 02482

 

HAMILTON CAVANAUGH & ASSOCIATES, INC.

661 NORTH BROADWAY, WHITE PLAINS, NY 10603

 

HAMILTON CLARK SUSTAINABLE CAPITAL, INC.

1701 PENNSYLVANIA AVENUE NW, SUITE 300, WASHINGTON, DC 20006

 

HAMILTON GRANT LLC

70 SOUTH LAKE AVENUE, PASADENA, CA 91101-4709

 

HAMILTON MILLER INVESTMENTS, LLC

5350 S. ROSLYN ST. SUITE 350, GREENWOOD VILLAGE, CO 80111

 

HAMPTON HEDGE FUND MARKETING, LLC

2605 GENEVA HILL COURT, OAKTON, VA 22124

 

HAMPTON SECURITIES (USA), INC.

141 ADELAIDE STREET WEST, SUITE 1800, TORONTO, ONTARIO, M5H 3L5 CANADA

 

HANCOCK FINANCIAL, INC.

1563 VIRGINIA WAY, LA JOLLA, CA 92037-3836

 

HANCOCK INVESTMENT SERVICES, INC.

2600 CITIPLACE DR., SUITE 100, BATON ROUGE, LA 70808

 

HANCOCK SECURITIES GROUP, LLC

383 MARSHALL AVENUE, ST. LOUIS, MO 63119

 

HAND SECURITIES, INC

820 GESSNER, STE 1250, HOUSTON, TX 77024

 

HANDELSBANKEN MARKETS SECURITIES, INC.

875 THIRD AVENUE, 4TH FLOOR, NEW YORK, NY 10022-4678

 

HANKERSON FINANCIAL, INC.

2929 NORTH 44TH STREET #200, PHOENIX, AZ 85018

Mailing Address: 2929 N. 44TH ST. STE. 200, PHOENIX, AZ 85018

 

HANNON ARMSTRONG SECURITIES, LLC

1906 TOWNE CENTRE BLVD, SUITE 370, ANNAPOLIS, MD 21401

 

HANSON MCCLAIN SECURITIES

8775 FOLSOM BOULEVARD, SUITE 100, SACRAMENTO, CA 95826

 

HANTZ FINANCIAL SERVICES, INC.

26200 AMERICAN DRIVE, FIFTH FLOOR, SOUTHFIELD, MI 48034

Mailing Address: 26200 AMERICAN DRIVE, FIFTH FLOOR, SOUTHFIELD, MI 48034

 

HAPOALIM SECURITIES USA, INC.

ONE BATTERY PARK PLAZA - 2ND FLOOR, NEW YORK, NY 10004-1405

 

HARBOR FINANCIAL SERVICES, LLC

RSA BATTLEHOUSE TOWER, 11 NORTH WATER STREET, STE 21290, MOBILE, AL 36602

 

HARBOR FUNDS DISTRIBUTORS, INC.

111 SOUTH WACKER DRIVE, 34TH FLOOR, CHICAGO, IL 60606

 

HARBOR INVESTMENT ADVISORY, LLC

100 LIGHT STREET, SUITE 1300, BALTIMORE, MD 21202

 

HARBOR LIGHT SECURITIES, LLC

1211 NORTH WESTSHORE BLVD, SUITE 103, TAMPA, FL 33607

Mailing Address: 16765 FISH HAWK BLVD 302, LITHIA, FL 33547

 

HARBOR VIEW ADVISORS, LLC

822 A1A NORTH, SUITE 200, PONTE VEDRA, FL 32082

 

HARBOUR INVESTMENTS, INC.

575 D'ONOFRIO DRIVE, SUITE 300, MADISON, WI 53719

 

HARDCASTLE TRADING USA L.L.C.

755 SECAUCUS ROAD, SUITE F1110, SECAUCUS, NJ 07094

 

HARGER AND COMPANY, INC.

8048 ONE CALAIS AVE SUITE D, BATON ROUGE, LA 70809

 

HARKEN CAPITAL SECURITIES, LLC

16 ANN VINAL ROAD, SCITUATE, MA 02066

 

HAROLD DANCE INVESTMENTS

360 NORTH MAIN, LOGAN, UT 84321

 

HARPETH SECURITIES, LLC

ONE AMERICAN CENTER, 3100 WEST END AVENUE - SUITE 710, NASHVILLE, TN 37203

 

HARRIS ASSOCIATES SECURITIES L.P.

111 S. WACKER DRIVE, SUITE 4600, CHICAGO, IL 60606

 

HARRIS WILLIAMS & CO.

1001 HAXALL POINT, 9TH FLOOR, RICHMOND, VA 23219

 

HARTFIELD, TITUS & DONNELLY, LLC

111 TOWN SQUARE PLACE, JERSEY CITY, NJ 07310

 

HARTFORD FUNDS DISTRIBUTORS, LLC

100 MATSONFORD RD, 5 RADNOR CORP CENTER - SUITE 300, RADNOR, PA 19087

Mailing Address: 100 MATSONFORD RD, 5 RADNOR CORP CENTER- SUITE 300, RADNOR, PA 19087

 

HARTFORD SECURITIES DISTRIBUTION COMPANY, INC.

200 HOPMEADOW STREET, SIMSBURY, CT 06089

Mailing Address: 200 HOPMEADOW STREET, C1E, SIMSBURY, CT 06089

 

HARVEST FINANCIAL CORPORATION

1600 BENEDUM-TREES BUILDING, 223 FOURTH AVENUE, PITTSBURGH, PA 15222

 

HARVEST KRANE INVESTMENTS LLC

1350 AVENUE OF THE AMERICAS 2ND FLOOR, NEW YORK, NY 10019

 

HARVESTONS SECURITIES, INC.

8301 E. PRENTICE AVE., SUITE 305, GREENWOOD VILLAGE, CO 80111

 

HASTINGS CAPITAL GROUP, LLC

527 MADISON AVENUE, 16TH FLOOR, NEW YORK, NY 10022

 

HATTERAS CAPITAL

8540 COLONNADE CENTER DR, # 401, RALEIGH, NC 27615

 

HAVERFORD TRUST SECURITIES, INC.

THREE RADNOR CORPORATE CENTER STE. 450, RADNOR, PA 19087

 

HAYWOOD SECURITIES (USA) INC.

200 BURRARD ST, SUITE 700, VANCOUVER, BC, V6C 3L6 CANADA

 

HAZARD & SIEGEL, INC.

5790 WIDEWATERS PARKWAY, DEWITT, NY 13214

Mailing Address: PO BOX 157, SYRACUSE, NY 13214

 

HAZLETT, BURT & WATSON, INC.

1300 CHAPLINE STREET, WHEELING, WV 26003

 

HBK GLOBAL SECURITIES L.P.

2101 CEDAR SPRINGS ROAD, SUITE 700, DALLAS, TX 75201

 

HBK SORCE BROKERAGE LLC

6603 SUMMIT DRIVE, CANFIELD, OH 44406

 

HBW SECURITIES LLC

3355 COCHRAN STREET, SUITE 100, SIMI VALLEY, CA 93063

 

HEADLANDS GLOBAL MARKETS, LLC

155 N. WACKER DRIVE, SUITE 1980, CHICAGO, IL 60606

 

HEADWATERS BD, LLC

1225 17TH STREET, SUITE 1725, DENVER, CO 80202

 

HEALTHCARE COMMUNITY SECURITIES CORPORATION

ONE EMPIRE DRIVE, RENSSELAER, NY 12144

 

HEALTHIOS CAPITAL MARKETS, LLC

1101 SKOKIE BLVD, SUITE 240, NORTHBROOK, IL 60062

Mailing Address: 1101 SKOKIE BLVD,SUITE 240, NORTHBROOK, IL 60062

 

HEARTLAND INVESTMENT ASSOCIATES, INC.

2202 HERITAGE GREEN DRIVE, HIAWATHA, IA 52233

Mailing Address: P.O. BOX 10167, CEDAR RAPIDS, IA 52410-0167

 

HEDGE HARBOR INC.

800 THIRD AVENUE, 22ND FLOOR, NEW YORK, NY 10022

 

HEDGEBAY SECURITIES LLC

191 POST ROAD WEST, WESTPORT, CT 06880

 

HEDGECO SECURITIES, LLC

400 CLEMATIS STREET, SUITE 205, WEST PALM BEACH, FL 33401

 

HEDGEMARK SECURITIES LLC

780 THIRD AVENUE, 44TH FLOOR, NEW YORK, NY 10017

 

HEDGESERV INVESTMENT SERVICES LLC

1271 AVENUE OF THE AMERICAS, 38TH FLOOR, NEW YORK, NY 10020

 

HEED PARTNERS, LLC

3715 NORTHSIDE PARKWAY NW, BLDG 400, STE 475, ATLANTA, GA 30327

 

HEFFERNAN SECURITIES, LLC

180 HOWARD STREET, SUITE 200, SAN FRANCISCO, CA 94105

 

HEFREN-TILLOTSON, INC.

308 SEVENTH AVENUE, PITTSBURGH, PA 15222-3909

 

HEIGHT SECURITIES, LLC

1775 PENNSYLVANIA AVENUE, NW, 11TH FLOOR, WASHINGTON, DC 20006

 

HEIM, YOUNG & ASSOCIATES, INC.

1256 E. KINGSLEY ST, SPRINGFIELD, MO 65804-7211

 

HEITMAN SECURITIES LLC

191 N. WACKER DRIVE, SUITE 2500, CHICAGO, IL 60606

Mailing Address: 191 N. WACKER DRIVE, SUITE 2500, CHICAGO, IL 60606

 

HELVEA INC.

600 LEXINGTON AVENUE, SUITE 2501, NEW YORK, NY 10022

 

HENDERSON GLOBAL INVESTORS EQUITY PLANNING, INC.

737 N. MICHIGAN AVE., SUITE 1700, CHICAGO, IL 60611

 

HENLEY & COMPANY LLC

1290 RXR PLAZA, UNIONDALE, NY 11556

 

HENNION & WALSH, INC.

2001 ROUTE 46, WATERVIEW PLAZA, PARSIPPANY, NJ 07054-1018

 

HERBERT J. SIMS & CO. INC.

2150 POST ROAD, SUITE 301, FAIRFIELD, CT 06824

 

HERITAGE BENEFITS FINANCIAL SERVICES, INC.

2950 NORTHUP WAY STE 105, BELLEVUE, WA 98004-1406

 

HERITAGE CAPITAL GROUP, INC.

4417 BEACH BOULEVARD, SUITE 302, JACKSONVILLE, FL 32207

 

HERITAGE FINANCIAL SYSTEMS, INC.

5 GREAT VALLEY PARKWAY, SUITE 334, MALVERN, PA 19355

 

HERNDON PLANT OAKLEY, LTD.

800 NORTH SHORELINE BLVD., SUITE 2200 SOUTH, CORPUS CHRISTI, TX 78401

 

HEWITT FINANCIAL SERVICES LLC

4 OVERLOOK POINT, LINCOLNSHIRE, IL 60069

 

HFF SECURITIES L.P.

1999 AVENUE OF THE STARS, STE. 1200, LOS ANGELES, CA 90067

 

HGP SECURITIES, LLC

105 S. YORK ST., SUITE 230, ELMHURST, IL 60126

 

HIGGINS CAPITAL MANAGEMENT, INC.

2223 AVENIDA DE LA PLAYA STE. 210, LA JOLLA, CA 92037-3218

 

HIGH POINT CAPITAL GROUP, INC.

400 HIGH POINT DRIVE, SUITE 375, COCOA, FL 32926

Mailing Address: 400 HIGH POINT DRIVE SUITE 375, COCOA, FL 32926

 

HIGHBANK SECURITIES LLC

1 SOUTH STREET, SUITE 860, BALTIMORE, MD 21202

 

HIGHLAND CAPITAL FUNDS DISTRIBUTOR, INC.

200 CRESCENT COURT, SUITE 700, DALLAS, TX 75201

 

HIGHLANDER CAPITAL GROUP, INC.

535 MILLBURN AVENUE, SHORT HILLS, NJ 07078

 

HIGHTOWER SECURITIES, LLC

200 WEST MADISON STREET, SUITE 2500, CHICAGO, IL 60606-3414

 

HILBY WILSON INC.

4531 N. 16TH ST #110, PHOENIX, AZ 85016

 

HIMCO DISTRIBUTION SERVICES COMPANY

ONE HARTFORD PLAZA, HARTFORD, CT 06155

Mailing Address: ONE HARTFORD PLAZA, HO-1-9 LAW DEPARTMENT, HARTFORD, CT 06155

 

HINES SECURITIES, INC.

2800 POST OAK BOULEVARD, SUITE 4700, HOUSTON, TX 77056

 

HITHERLANE PARTNERS, LLC

900 3RD AVENUE, SUITE 1401, NEW YORK, NY 10022

 

HLH SECURITIES, INC.

2755 ALBATROSS DRIVE, COSTA MESA, CA 92626

 

HMC INVESTMENTS, INC.

2100 3RD AVENUE NORTH, BIRMINGHAM, AL 35203

 

HOCKING CAPITAL, LLC

201 SPEAR STREET, SUITE 1360, SAN FRANCISCO, CA 94105

 

HODES WEILL SECURITIES, LLC

850 THIRD AVE, 15TH FLOOR, NEW YORK, NY 10022

 

HOLBROOK CAPITAL LLC

2 N. LAKE AVE., 11TH FLOOR, PASADENA, CA 91101

 

HOLLENCREST CAPITAL MANAGEMENT

100 BAYVIEW CIRCLE, SUITE 500, NEWPORT BEACH, CA 92660

 

HOLLOWAY & ASSOCIATES, INC.

ONE MILL PLACE, STE 101, EASTON, MD 21601

Mailing Address: P.O. BOX 1559, EASTON, MD 21601

 

HOME FINANCIAL SERVICES, INC.

507 MARKET STREET, KNOXVILLE, TN 37902

 

HORACE MANN INVESTORS INC

ONE HORACE MANN PLAZA, SPRINGFIELD, IL 62715-0001

 

HORAN SECURITIES, INC.

4990 EAST GALBRAITH ROAD, CINCINNATI, OH 45236

 

HORIZON FINANCIAL INVESTMENT CORPORATION

151 HARRINGTON CIRCLE, WILLINGBORO, NJ 08046

 

HORNOR, TOWNSEND & KENT, INC.

600 DRESHER RD, STE C1C, HORSHAM, PA 19044

 

HOULIHAN CAPITAL, LLC

500 W. MADISON STREET, SUITE 2600, CHICAGO, IL 60661

 

HOULIHAN LOKEY CAPITAL, INC.

10250 CONSTELLATION BOULEVARD, 5TH FLOOR, LOS ANGELES, CA 90067

 

HOVDE GROUP, LLC

1629 COLONIAL PARKWAY, INVERNESS, IL 60067

 

HP SECURITIES, INC.

1500 SW FIRST #910, PORTLAND, OR 97201

 

HRC FUND ASSOCIATES, LLC

125 MAIDEN LANE, 6TH FLOOR, NEW YORK, NY 10038

 

HSBC SECURITIES (USA) INC.

452 FIFTH AVENUE, NEW YORK CITY, NY 10018

Mailing Address: 452 FIFTH AVENUE 7TH FLOOR, NEW YORK CITY, NY 10018

 

HSH N FINANCIAL SECURITIES LLC

230 PARK AVENUE, 32ND FLOOR, NEW YORK, NY 10169

 

HT CAPITAL SECURITIES, LLC

437 MADISON AVE. 39TH FLOOR, NEW YORK, NY 10022

 

HUB INTERNATIONAL INVESTMENT SERVICES INC.

2393 TOWNSGATE ROAD, SUITE 101, WESTLAKE VILLAGE, CA 91361-2513

 

HUCKIN FINANCIAL GROUP, INC.

3700 BUFFALO SPEEDWAY, SUITE 950, HOUSTON, TX 77098

 

HUDSON CAPITAL ADVISORS BD LLC

100 WILSHIRE BOULEVARD, SUITE 250, SANTA MONICA, CA 90401

 

HUDSON HERITAGE CAPITAL MANAGEMENT, INC.

20 BALTIC PLACE SUITE 2, CROTON-ON-HUDSON, NY 10520

 

HUDSON HOUSING SECURITIES LLC

630 FIFTH AVENUE, 28TH FLOOR, NEW YORK, NY 10111

 

HUDSON PARTNERS SECURITIES LLC

ONE LANDMARK SQUARE, 6TH FLOOR, STAMFORD, CT 06901

 

HUFFMAN PRAIRIE CAPITAL, LLC

6485 CENTERVILLE BUSINESS PARKWAY, CENTERVILLE, OH 45459

 

HUNNICUTT & CO. LLC

110 E. 59TH STREET, 32ND FLOOR, NEW YORK, NY 10022

 

HUNTER ASSOCIATES, INC.

436 SEVENTH AVENUE, KOPPERS BUILDING, FIFTH FLOOR, PITTSBURGH, PA 15219-1818

Mailing Address: 436 SEVENTH AVENUE-5TH FLOOR, PITTSBURGH, PA 15219

 

HUNTER SCOTT FINANCIAL LLC.

500 GULFSTREAM BLVD, STE 105, DELRAY BH, FL 33483

 

HUNTER WISE SECURITIES, LLC

2361 CAMPUS DRIVE, SUITE 100, IRVINE, CA 92612

 

HUNTER, KEITH, MARSHALL & CO., INCORPORATED

1430 BROADWAY, 14TH FLOOR NE, NEW YORK, NY 10018

 

HUNTLEIGH SECURITIES CORPORATION

7800 FORSYTH BLVD., 5TH FLOOR, ST. LOUIS, MO 63105

 

HURON TRANSACTION ADVISORY LLC

550 WEST VAN BUREN STREET, SUITE 1700, CHICAGO, IL 60607

 

HUTCHINSON, SHOCKEY, ERLEY & CO.

222 WEST ADAMS-STE 1700, CHICAGO, IL 60606-5308

 

HWJ CAPITAL PARTNERS II, LLC

751 PARK OF COMMERCE DRIVE, SUITE 118, BOCA RATON, FL 33487

Mailing Address: 751 PARK OF COMMERCE DRIVE, SUITE118-A, BOCA RATON, FL 33487

 

HYDE PARK CAPITAL ADVISORS, LLC

701 N. FRANKLIN STREET, TAMPA, FL 33602

 

HYPATIA CAPITAL ADVISORS LLC

750 LEXINGTON AVENUE, 6TH FLOOR, NEW YORK, NY 10022

 

HYUNDAI SECURITIES (AMERICA) INC.

1370 AVENUE OF THE AMERICAS, SUITE 1900, NEW YORK, NY 10019

 

Last Updated: 7/2/2014