finra

Firms We Regulate - N

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N.A. INVESTCORP LLC

280 PARK AVENUE, 39TH FLOOR, NEW YORK, NY 10017

 

N.B. ZOULLAS SECURITIES, INC.

555 MADISON AVENUE, 17TH FLOOR, NEW YORK, NY 10022

Mailing Address: 555 MADISON AVENUNE, 17TH FLOOR, NEW YORK, NY 10022

 

N.E. PRIVATE CLIENT ADVISORS, LTD.

790 NORTH MAIN STREET, PROVIDENCE, RI 02904

 

N.I.S. FINANCIAL SERVICES, INC.

500 EAST 9TH ST., KANSAS CITY, MO 64106

Mailing Address: P. O. BOX 219103, KANSAS CITY, MO 64121-9103

 

NABSECURITIES, LLC

245 PARK AVE 28TH FL, NEW YORK, NY 10167

 

NAFA CAPITAL MARKETS, LLC

100 NORTH BROADWAY, SUITE 2550, OKLAHOMA CITY, OK 73102

 

NANCY BARRON & ASSOCIATES, INC.

150 GRAND BOULEVARD, LEXINGTON, KY 40507

 

NANES, DELORME CAPITAL MANAGEMENT LLC

400 MADISON AVENUE, SUITE 12C, NEW YORK, NY 10017

 

NASDAQ EXECUTION SERVICES, LLC

ONE LIBERTY PLAZA, 165 BROADWAY, NEW YORK, NY 10006

Mailing Address: ONE LIBERTY PLAZA, 51ST FLOOR, NEW YORK, NY 10006

 

NASDAQ OPTIONS SERVICES, LLC

ONE LIBERTY PLAZA, 165 BROADWAY, NEW YORK, NY 10006

Mailing Address: ONE LIBERTY PLAZA, 51ST FLOOR, NEW YORK, NY 10006

 

NATHAN HALE CAPITAL, LLC

401 N TRYON STREET, 10TH FLOOR, CHARLOTTE, NC 28202

 

NATIONAL ALLIANCE SECURITIES, LLC

1605 LBJ FREEWAY, SUITE 710, DALLAS, TX 75234

 

NATIONAL BANK OF CANADA FINANCIAL INC.

65 EAST 55TH STREET, 31ST FLOOR, NEW YORK, NY 10022

 

NATIONAL FINANCIAL SERVICES LLC

200 SEAPORT BOULEVARD, BOSTON, MA 02210

Mailing Address: ONE DESTINY WAY, MAIL ZONE: WA1M, WESTLAKE, TX 76262

 

NATIONAL PENSION & GROUP CONSULTANTS, INC

3130 BROADWAY, KANSAS CITY, MO 64111-2406

 

NATIONAL PLANNING CORPORATION

100 NORTH SEPULVEDA BLVD SUITE 1800, EL SEGUNDO, CA 90245

 

NATIONAL SECURITIES CORPORATION

1001 FOURTH AVENUE, SUITE 3750, SEATTLE, WA 98154-1100

 

NATIONS FINANCIAL GROUP, INC.

4000 RIVER RIDGE DR NE, CEDAR RAPIDS, IA 52402

 

NATIONWIDE FUND DISTRIBUTORS LLC

1000 CONTINTENTAL DRIVE, SUITE 400, KING OF PRUSSIA, PA 19406

 

NATIONWIDE INVESTMENT SERVICES CORPORATION

ONE NATIONWIDE PLAZA, 1-33-401, COLUMBUS, OH 43215

 

NATIONWIDE PLANNING ASSOCIATES INC.

115 WEST CENTURY ROAD, SUITE 360, PARAMUS, NJ 07652

 

NATIONWIDE SECURITIES, LLC

10 WEST NATIONWIDE BLVD, MAIL CODE: 5-01-103, COLUMBUS, OH 43215

Mailing Address: ONE NATIONWIDE PLAZA, MAIL CODE: 01-33-401, COLUMBUS, OH 43215

 

NATIVEONE INSTITUTIONAL TRADING, LLC.

33 CENTER AVENUE, LEONARDO, NJ 07737

Mailing Address: 33 CENTER AVENUE, 20TH FLOOR, LEONARDO, NJ 07737

 

NATIXIS SECURITIES AMERICAS LLC

1251 AVENUE OF THE AMERICAS, 5TH FLOOR, NEW YORK, NY 10020

Mailing Address: 1251 AVENUE OF THE AMERICAS 5TH FLOOR, NEW YORK, NY 10020

 

NAVAID FINANCIAL SERVICES, INC.

1522 LOCUST ST., FL. 2, PHILADELPHIA, PA 19102

 

NAVIDAR GROUP LLC

400 WEST 15TH ST, SUITE 325, AUSTIN, TX 78701

 

NAVIGANT CAPITAL ADVISORS, LLC

30 S. WACKER DRIVE, SUITE 3100, CHICAGO, IL 60606

 

NAVY FEDERAL BROKERAGE SERVICES, LLC

1007 ELECTRIC AVENUE, VIENNA, VA 22180

 

NBC SECURITIES, INC.

1927 1ST AVENUE NORTH, BIRMINGHAM, AL 35203-0686

Mailing Address: POST OFFICE BOX 10686, BIRMINGHAM, AL 35202-0686

 

NBF SECURITIES (USA) CORP.

1155 METCALFE STREET, MONTREAL, H3B 4S9 CANADA

Mailing Address: EXCHANGE TOWER, 130 KING ST W. STE. 3200, P. O. BOX 21, TORONTO M5X 1J9, M5X 1J9 CANADA

 

NC SECURITIES, LLC

3 BETHESDA METRO CENTER, SUITE 510, BETHESDA, MD 20814

 

NCG SECURITIES LLC

12 BROAD STREET, 5TH FLOOR, RED BANK, NJ 07701

 

NCM SECURITIES, INC.

2700 SOUTH SOUTHEAST BOULEVARD SUITE 205, SPOKANE, WA 99223-4984

 

NEAR EARTH, LLC

945 WEST ROAD, NEW CANAAN, CT 06840

 

NEEDHAM & COMPANY, LLC

445 PARK AVENUE, NEW YORK, NY 10022-2602

 

NEIDIGER, TUCKER, BRUNER, INC.

9540 SOUTH MAROON CIRCLE, SUITE 250, ENGLEWOOD, CO 80112

 

NELKIN CAPITAL MANAGEMENT, INC.

111 GREAT NECK ROAD, SUITE 304, GREAT NECK, NY 11021

 

NELNET CAPITAL LLC

6811 SOUTH 27TH STREET, LINCOLN, NE 68512

Mailing Address: P.O. BOX 82618, LINCOLN, NE 68501

 

NELSON IVEST BROKERAGE SERVICES, INC.

423 COUNTRY CLUB DRIVE, WINTER PARK, FL 32789-2968

 

NELSON SECURITIES,INC.

601 W. MAIN AVENUE, SUITE 1118, SPOKANE, WA 99201

 

NESTLERODE & LOY, INC.

430 WEST IRVIN AVENUE, STATE COLLEGE, PA 16801-4642

Mailing Address: P.O. BOX 343, STATE COLLEGE, PA 16804-0343

 

NETHERLAND SECURITIES, INC.

12720 HILLCREST ROAD STE 980, DALLAS, TX 75230

 

NETWORK 1 FINANCIAL SECURITIES INC.

THE GALLERIA, SUITE 241, 2 BRIDGE AVENUE, RED BANK, NJ 07701

 

NEUBERGER BERMAN LLC

605 THIRD AVENUE, NEW YORK, NY 10158-3698

 

NEUBERGER BERMAN MANAGEMENT LLC

605 THIRD AVENUE, NEW YORK, NY 10158-0180

 

NEW ALBION PARTNERS LLC

220 MONTGOMERY STREET, SUITE 462, SAN FRANCISCO, CA 94104

 

NEW CENTURY CAPITAL PARTNERS, INC.

1510 11TH STREET, SUITE 207, SANTA MONICA, CA 90401

 

NEW ENGLAND SECURITIES

1095 AVENUE OF THE AMERICAS, NEW YORK, NY 10036

Mailing Address: C/O METLIFE SECURITIES, INC., 1095 AVENUE OF THE AMERICAS, NEW YORK, NY 10036

 

NEW HORIZONS ASSET MANAGEMENT GROUP, LLC

11 RACQUET ROAD, NEWBURGH, NY 12550

Mailing Address: P.O. BOX 10009, NEWBURGH, NY 12552

 

NEW INVESTOR WORLD INCORPORATED

4975 PRESTON PARK BLVD., SUITE 425, PLANO, TX 75093

 

NEW RYE SECURITIES, LLC

411 THEODORE FREMD AVENUE, SUITE 150 SOUTH, RYE, NY 10580

Mailing Address: 411 THEODORE FREMD AVENUE, SUITE 150S, RYE, NY 10580

 

NEWBRIDGE SECURITIES CORPORATION

1451 CYPRESS CREEK ROAD, SUITE 204, FT. LAUDERDALE, FL 33309

Mailing Address: 1451 CYPRESS CREEK ROAD, SUITE 204, FT. LAUDERDALE, FL 33309

 

NEWBURY PIRET & CO.

400 TOTTEN POND ROAD, 1ST FLOOR, WALTHAM, MA 02451

 

NEWBURY STREET CAPITAL LIMITED PARTNERSHIP

500 BOYLSTON STREET, SUITE 440, BOSTON, MA 02116

 

NEWCAP PARTNERS, INC.

5777 W. CENTURY BLVD., SUITE 1135, LOS ANGELES, CA 90045

 

NEWCASTLE DISTRIBUTORS LLC

127 WOODHAVEN DRIVE, AVON, CT 06001-2432

 

NEWCOMB AND COMPANY

22 KENSINGTON ROAD, HAMPTON FALLS, NH 03844

 

NEWCOURT SECURITIES, LTD

23 WARING RD, POUND RIDGE, NY 10576

 

NEWEDGE USA, LLC

550 W. JACKSON, SUITE 500, CHICAGO, IL 60661

 

NEWOAK CAPITAL MARKETS LLC

485 LEXINGTON AVE., 25TH FL., NEW YORK, NY 10017

 

NEWPORT COAST SECURITIES, INC.

180 MAIDEN LANE, 17TH FLOOR, NEW YORK, NY 10038

 

NEWPORT GROUP SECURITIES, INC.

300 INTERNATIONAL PARKWAY STE 270, SUITE 270, HEATHROW, FL 32746-5035

 

NEWPORT SECURITIES CORPORATION

40853 BUCHAREST LANE, TEMECULA, CA 92591

 

NEXBANK SECURITIES INC

2515 MCKINNEY AVE, SUITE 1100, DALLAS, TX 75201

 

NEXT FINANCIAL GROUP, INC.

2500 WILCREST DRIVE, SUITE 620, HOUSTON, TX 77042

 

NEXTREND SECURITIES, INC.

5200 KELLER SPRINGS RD., #812, DALLAS, TX 75248

Mailing Address: 5200 KELLER SPRINGS ROAD, SUITE 812, DALLAS, TX 75248

 

NFP SECURITIES, INC.

1250 CAPITAL OF TEXAS HWY S. #2-125, AUSTIN, TX 78746

 

NGAM DISTRIBUTION, L.P.

399 BOYLSTON STREET, BOSTON, MA 02116-9848

 

NGC FINANCIAL, LLC

36-01 208TH STREET, BAYSIDE, NY 11361

 

NI ADVISORS

638 WEBSTER STREET, SUITE 410, OAKLAND, CA 94607

Mailing Address: 638 WEBSTER STREET, SUITE 410, OAKLAND, CA 94607

 

NIA SECURITIES, L.L.C.

66 ROUTE 17, PARAMUS, NJ 07652

 

NIAGARA INTERNATIONAL CAPITAL LIMITED

8940 MAIN STREET, CLARENCE, NY 14031

 

NICOL INVESTORS CORPORATION

1 EXECUTIVE PARK, GRANITE CITY, IL 62040-0907

Mailing Address: 1 EXECUTIVE PARK, P.O. BOX 907, GRANITE CITY, IL 62040-0907

 

NIKOH SECURITIES CORPORATION

2201 WAUKEGAN ROAD, SUITE 120, BANNOCKBURN, IL 60015

 

NLCG DISTRIBUTORS, LLC

44 COOK STREET, SUITE 1020, DENVER, CO 80206

Mailing Address: 818 STEWART STREET, SUITE 910, SEATTLE, WA 98101

 

NMS CAPITAL ADVISORS, LLC.

433 NORTH CAMDEN DRIVE, 4TH FLOOR, BEVERLY HILLS, CA 90210

 

NMS CAPITAL SECURITIES, LLC

433 NORTH CAMDEN DRIVE, 4TH FLOOR, BEVERLY HILLS, CA 90210

 

NOBLE FINANCIAL CAPITAL MARKETS

951 YAMATO ROAD, SUITE 210, BOCA RATON, FL 33431

 

NOBLES & RICHARDS, INC.

801 EAST PLANO PARKWAY, SUITE 220, PLANO, TX 75074

 

NOLAN SECURITIES CORP.

535 MAIN ROAD, MONTEREY, MA 01245

 

NOMURA SECURITIES INTERNATIONAL, INC.

WORLDWIDE PLAZA, 309 WEST 49TH STREET, NEW YORK, NY 10019

 

NORFOLK MARKETS, LLC

360 MADISON AVENUE, 19TH FLOOR, NEW YORK, NY 10017

 

NORIBA INVESTING

6301 OWENSMOUTH AVENUE, SUITE 750, WOODLAND HILLS, CA 91367

 

NORTH BRIDGE CAPITAL, LLC

45 SCHOOL STREET, 2ND FLOOR, BOSTON, MA 02108

Mailing Address: 45 SCHOOL STREET, 2ND  FLOOR, BOSTON, MA 02108

 

NORTH CAPITAL PRIVATE SECURITIES CORPORATION

315 MONTGOMERY STREET, SUITE 900, SAN FRANCISCO, CA 94104

 

NORTH NASSAU ADVISORS, LLC

545 PROSPECT PL. #1K, BROOKLYN, NY 11238

 

NORTH POINT ADVISORS, LLC

580 CALIFORNIA STREET, SUITE 2000, SAN FRANCISCO, CA 94105

 

NORTH RIDGE SECURITIES CORP.

1895 WALT WHITMAN RD, MELVILLE, NY 11747-3031

 

NORTH SEA SECURITIES L.P.

98 FOREST AVENUE, LOCUST VALLEY, NY 11560

Mailing Address: PO BOX 376, 98 FOREST AVENUE, LOCUST VALLEY, NY 11560

 

NORTH SOUTH CAPITAL, LLC

200 W. ADAMS, STE 2230, CHICAGO, IL 60606

 

NORTH STAR INVESTMENT SERVICES, INC.

20 NORTH WACKER DRIVE, SUITE 1416, CHICAGO, IL 60606

 

NORTH WOODWARD FINANCIAL CORP.

690 EAST MAPLE, BIRMINGHAM, MI 48009

 

NORTHBRIDGE FINANCIAL SERVICES

3650 WEST LIBERTY, ANN ARBOR, MI 48103

 

NORTHCOAST RESEARCH PARTNERS, LLC

1301 EAST NINTH STREET, 24TH FLOOR, CLEVELAND, OH 44114

 

NORTHEAST CAPITAL & ADVISORY, INC.

7 AIRPORT PARK BOULEVARD, FLOOR 2, LATHAM, NY 12110

 

NORTHEAST SECURITIES, INC.

333 EARLE OVINGTON BLVD, 7TH FLOOR, MITCHELFIELD, NY 11553

 

NORTHEASTERN FINANCIAL GROUP, INCORPORATED

24 LONG HILL ROAD, NEWTON, NJ 07860

 

NORTHERN CAPITAL SECURITIES CORPORATION

300 BRICKSTONE SQUARE, 10TH FLOOR, ANDOVER, MA 01810-1435

 

NORTHERN FUNDS DISTRIBUTORS, LLC

THREE CANAL PLAZA, 3RD FLOOR, PORTLAND, ME 04101

Mailing Address: THREE CANAL PLAZA, SUITE 100, PORTLAND, ME 04101

 

NORTHERN LIGHTS DISTRIBUTORS, LLC

17605 WRIGHT STREET, OMAHA, NE 68130

 

NORTHERN SECURITIES, INC.

3003 HAMEL ROAD, MEDINA, MN 55340-0275

Mailing Address: P.O. BOX 275, MEDINA, MN 55340-0275

 

NORTHERN TRUST SECURITIES, INC.

50 SOUTH LASALLE STREET, CHICAGO, IL 60603

 

NORTHLAND SECURITIES, INC.

45 SOUTH 7TH STREET, 20TH FLOOR, MINNEAPOLIS, MN 55402

 

NORTHSTAR REALTY SECURITIES, LLC

5299 DTC BOULEVARD, SUITE 900, GREENWOOD VILLAGE, CO 80111

 

NORTHWEST FINANCIAL GROUP LLC

200 SPRING STREET, SUITE 120, HERNDON, VA 20170

 

NORTHWEST INVESTMENT ADVISORS, INC.

9 S WASHINGTON ST STE 210, SPOKANE, WA 99201

 

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

611 EAST WISCONSIN AVE., MILWAUKEE, WI 53202-4797

Mailing Address: 611 EAST WISCONSIN AVENUE, MILWAUKEE, WI 53202-4797

 

NORTHWINDS ADVISORS LLC

600 MAMARONECK AVENUE, SUITE 400, HARRISON, NY 10528

 

NOVAHILL PARTNERS, LLC

1765 DUKE STREET, ALEXANDRIA, VA 22314

Mailing Address: 1765 DUKE STREET, ALEXANDIA, VA 22314

 

NPB FINANCIAL GROUP, LLC

3500 W. OLIVE AVENUE, THIRD FLOOR, BURBANK, CA 91505

 

NPM SECURITIES, LLC

150 SPEAR STREET, STE 350, SAN FRANCISCO, CA 94105

 

NSX SECURITIES LLC

101 HUDSON STREET, SUITE 1200, JERSEY CITY, NJ 07302

 

NUMIS SECURITIES INC.

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

 

NUVEEN SECURITIES, LLC

333 WEST WACKER DRIVE, CHICAGO, IL 60606-1286

 

NW CAPITAL MARKETS INC.

2 HUDSON PLACE, HOBOKEN, NJ 07030

 

NYLIFE DISTRIBUTORS LLC

169 LACKAWANNA AVENUE, THIRD FLOOR, COMPLIANCE, PARSIPPANY, NJ 07054

Mailing Address: 169 LACKAWANNA AVENUE, PARSIPPANY, NJ 07054

 

NYLIFE SECURITIES LLC

51 MADISON AVE., ROOM 713, NEW YORK, NY 10010

Mailing Address: 51 MADISON AVENUE, ROOM 713, NEW YORK, NY 10010

 

NYPPEX, LLC

800 WESTCHESTER AVENUE, RYE BROOK, NY 10573

 

 

 

Last Updated: 7/2/2014