finra

Firms We Regulate - U

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U S PARTICIPATIONS LTD.

3909 HARTZDALE DRIVE, SUITE 901, CAMP HILL, PA 17011

 

U. S. BOSTON CAPITAL CORPORATION

LINCOLN NORTH, LINCOLN, MA 01773

Mailing Address: 55 OLD BEDFORD ROAD, SUITE 202, LINCOLN, MA 01773

 

U.S. BANCORP INVESTMENTS, INC.

60 LIVINGSTON AVENUE, EP-MN-WN3C, SAINT PAUL, MN 55107

Mailing Address: 60 LIVINGSTON AVENUE, EP-MN-WN3C, SAINT PAUL, MN 55107

 

U.S. BROKERAGE, INC.

17 E KOSSUTH ST, COLUMBUS, OH 43206

 

U.S. GLOBAL BROKERAGE, INC.

7900 CALLAGHAN ROAD, SAN ANTONIO, TX 78229

 

U.S. INVESTORS, INC.

2111 EISENHOWER AVENUE, SUITE 402, ALEXANDRIA, VA 22314

 

U.S. SECURITIES, INTL. CORP.

120 BROADWAY, SUITE 1017, NEW YORK, NY 10271

Mailing Address: 120 BROADWAY, NEW YORK, NY 10271

 

U.S. STERLING SECURITIES, INC.

1393 VETERANS MEMORIAL HIGHWAY UNIT 412N, HAUPPAUGE, NY 11788

 

UAT RESOURCES, LLC

7375 SOUTH PEORIA ST., B8 BUILDING 9, SUITE 206, ENGLEWOOD, CO 80112

 

UBS FINANCIAL SERVICES INC.

1200 HARBOR BOULEVARD, WEEHAWKEN, NJ 07086

Mailing Address: 1000 HARBOR BLVD, 8TH FL, COMPLIANCE DEPARTMENT, WEEHAWKEN, NJ 07086

 

UBS FINANCIAL SERVICES INCORPORATED OF PUERTO RICO

250 MUNOZ RIVERA AVENUE, HATO REY, PR 00918

Mailing Address: 1000 HARBOR BLVD, 8TH FLOOR, COMPLIANCE DEPARTMENT, WEEHAWKEN, NJ 07086

 

UBS FUND SERVICES (USA) LLC

10 STATE HOUSE SQUARE, 15TH FLOOR, HARTFORD, CT 06103-3604

 

UBS GLOBAL ASSET MANAGEMENT (US) INC.

1285 AVENUE OF THE AMERICAS, 12TH FLOOR, NEW YORK, NY 10019

 

UBS SECURITIES LLC

1285 AVENUE OF THE AMERICAS, NEW YORK, NY 10019

Mailing Address: 677 WASHINGTON BOULEVARD, STAMFORD, CT 06901

 

UGR, LLC

2101 L STREET NW, SUITE 800, WASHINGTON, DC 20037

 

UHLMANN PRICE SECURITIES, LLC

141 W. JACKSON BLVD. STE.1340A, CHICAGO, IL 60604-0000

 

ULLICO INVESTMENT COMPANY, INC.

8403 COLESVILLE RD., 13 FLOOR, SILVER SPRING, MD 20910

 

ULTIMUS FUND DISTRIBUTORS, LLC

225 PICTORIA DRIVE, SUITE 450, CINCINNATI, OH 45246

 

ULTRALAT CAPITAL MARKETS, INC.

801 BRICKELL AVENUE, SUITE 1060, MIAMI, FL 33131

Mailing Address: 801 BRICKELL AVENUE, MIAMI, FL 33131

 

UMB DISTRIBUTION SERVICES, LLC

235 W. GALENA STREET, MILWAUKEE, WI 53212

 

UMB FINANCIAL SERVICES, INC.

928 GRAND AVENUE, KANSAS CITY, MO 64106

 

UMPQUA INVESTMENTS, INC.

ONE SW COLUMBIA STREET, SUITE #300, PORTLAND, OR 97258

 

UNDERHILL SECURITIES CORP.

4045 SOUTH SPENCER STREET, SUITE 108, LAS VEGAS, NV 89119

 

UNICREDIT CAPITAL MARKETS LLC

15O EAST 42ND STREET, NEW YORK, NY 10017-4679

Mailing Address: 150 EAST 42ND STREET, NEW YORK, NY 10017-4679

 

UNIFIED FINANCIAL SECURITIES, INC.

2960 N. MERIDIAN STREET, SUITE 300, INDIANAPOLIS, IN 46208

 

UNION CAPITAL COMPANY

6425 E. GRANT ROAD, TUCSON, AZ 85715

 

UNION GAMING ADVISORS

3930 HOWARD HUGHES PARKWAY, SUITE 230, LAS VEGAS, NV 89169

 

UNION SQUARE ADVISORS LLC

TWO EMBARCADERO CENTER, SUITE 1330, SAN FRANCISCO, CA 94111

Mailing Address: TWO EMBARCADERO CENTER, SUITE 1330, SAN FRANCISCO, CA 94111

 

UNIONBANC INVESTMENT SERVICES, LLC

445 S. FIGUEROA STREET, 2ND FLOOR, LOS ANGELES, CA 90071

 

UNITED AMERICAN SECURITIES, INC.

441 LEXINGTON AVENUE SUITE 1220, NEW YORK, NY 10017

 

UNITED BROKERAGE SERVICES, INC

514 MARKET STREET, PARKERSBURG, WV 26101

Mailing Address: P. O. BOX 1508, PARKERSBURG, WV 26102-1508

 

UNITED CAPITAL MARKETS, INC.

240 CRANDON BLVD., SUITE 167, KEY BISCAYNE, FL 33149

 

UNITED FIRST PARTNERS LLC

LEVEL 22 HERON TOWER, 110 BISHOPSGATE, LONDON, EC2N 4AY UNITED KINGDOM

 

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

7333 E. DOUBLETREE RANCH ROAD #120, SCOTTSDALE, AZ 85258-2023

Mailing Address: P.O. BOX 5750, SCOTTSDALE, AZ 85261-5750

 

UNIVERSAL FINANCIAL SERVICES INC.

CALLE BOLIVIA #33, SAN JUAN, PR 00917-2011

Mailing Address: PO BOX 2171, SAN JUAN, PR 00922-2171

 

UNIVEST INVESTMENTS, INC.

41 WEST BROAD STREET, SOUDERTON, PA 18964

 

UNIVEST SECURITIES, INC. DBA UNIVERSAL FINANCIAL GROUP

32 BROADWAY, SUITE 1701, NEW YORK, NY 10004

Mailing Address: 3687 MEADOW LANE, NORTH BERGEN, NJ 07047

 

UOB GLOBAL EQUITY SALES LLC

592 FIFTH AVENUE, SUITE 602, NEW YORK, NY 10036

 

UOB KAY HIAN (U.S.) INC.

111 DUNNELL ROAD, STE 201, MAPLEWOOD, NJ 07040

 

UPRR SECURITIES, LLC

450 SEVENTH AVENUE, SUITE 905, NEW YORK, NY 10123

 

UPSIDE BROKERAGE, LLC

340 RITCH STREET, #6, SAN FRANCISCO, CA 94107

 

US ARMA PARTNERS LP

FOUR PALO ALTO SQUARE, SUITE 100, 3000 EL CAMINO REAL, PALO ALTO, CA 94306

 

USA FINANCIAL SECURITIES CORPORATION

6020 EAST FULTON, ADA, MI 49301

 

USAA FINANCIAL ADVISORS, INC.

9800 FREDERICKSBURG RD., SAN ANTONIO, TX 78288-0227

 

USAA INVESTMENT MANAGEMENT COMPANY

9800 FREDERICKSBURG ROAD, SAN ANTONIO, TX 78288-0227

 

USCA SECURITIES LLC

1330 POST OAK BLVD., SUITE 900, HOUSTON, TX 77056

 

USCVG, INC.

20 NEWPORT PKY, SUITE 1607, JERSEY CITY, NJ 07310

 

USI SECURITIES, INC.

95 GLASTONBURY BLVD., SUITE 102, GLASTONBURY, CT 06033

 

USP SECURITIES CORPORATION

15305 DALLAS PARKWAY, SUITE 1600, ADDISON, TX 75001

 

USRP EQUITIES, LLC

99 WOOD AVENUE SOUTH, ISELIN, NJ 08830

Mailing Address: 99 WOOD AVENUE SOUTH, ISELIN, NJ 08830

 

UTC FINANCIAL SERVICES USA, INC.

C/O TRINIDAD AND TOBAGO UNIT TRUST CORPORATION, UTC FINANCIAL CENTRE, 82 INDEPENDENCE SQUARE, PORT OF SPAIN, 00000 TRINIDAD

Last Updated: 9/4/2014