Firms We Regulate - A

# A B C D E F G H I J K L M N O P Q R S T U V W X Y Z

A & M SECURITIES, LLC
2475 NORTHWINDS PKWY, SUITE 200, ALPHARETTA, GA 30004

A&A SECURITIES LLC
1151 GIBSON RD, SELAH, WA 98942

A. P. SECURITIES, INC.
15 WATERVIEW DR, CENTERPORT, NY 11721
Mailing Address: P. O. BOX 434, CENTERPORT, NY 11721

A.BRIDGE REALVEST SECURITIES CORPORATION
50 TICE BLVD, SUITE 340, WOODCLIFF LAKE, NJ 07677

A.C.R. SECURITIES, INC.
687 PARK LANE, CEDARHURST, NY 11516

A.G. QUINTAL INVESTMENT COMPANY INC.
2177 ACUSHNET AVE., NEW BEDFORD, MA 02745-6316

A.J. SLOANE & COMPANY, LLC
623 FIFTH AVENUE, 28TH FLOOR, NEW YORK, NY 10022

AARON CAPITAL INCORPORATED
5180 PARK AVENUE, SUITE 120, MEMPHIS, TN 38119

ABACUS INTERNATIONAL CAPITAL CORP.
6 BOWERY, 4TH FLOOR, NEW YORK, NY 10013

ABACUS INVESTMENTS, INC.
138 N. MAIN ST, OCONOMOWOC, WI 53066

ABBEY CAPITAL (US) LLC
350 PARK AVENUE, SUITE 1315, NEW YORK, NY 10022

ABD RETIREMENT SERVICES, INC.
450 SANSOME STREET, SUITE #300, SAN FRANCISCO, CA 94111

ABEL/NOSER CORP.
ONE BATTERY PARK PLAZA, 6TH FLOOR, NEW YORK, NY 10004

ABERDEEN FUND DISTRIBUTORS, LLC
1735 MARKET STREET, 32 ND FLOOR, PHILADELPHIA, PA 19103

ABG SUNDAL COLLIER INC.
850 THIRD AVENUE, NEW YORK, NY 10022-4212
Mailing Address: 850 THIRD AVENUE, NEW YORK, NY 10022

ABG, LLC
1100 MAIN STREET, SUITE 2100, KANSAS CITY, MO 64105

ABN AMRO CLEARING CHICAGO LLC
175 WEST JACKSON BLVD, STE 400, CHICAGO, IL 60604

ABN AMRO SECURITIES (USA) LLC
100 PARK AVENUE, 17 FLOOR, NEW YORK, NY 10017-5516

ABNER HERRMAN & BROCK, LLC
HARBORSIDE FINANCIAL CENTER, PLAZA 5, SUITE 1640, JERSEY CITY, NJ 07311

ABOUT CORPORATE FINANCE CORPORATION
1900 AVENUE OF THE STARS, SUITE 2460, LOS ANGELES, CA 90067

ABRAHAM & CO., INC.
3724 47TH STREET CT. NW, GIG HARBOR, WA 98335

ABRAMSON FINANCIAL, LLC
293 EISENHOWER PARKWAY, SUITE 330, LIVINGSTON, NJ 07039
Mailing Address: 293 EISENHOWER PARKWAY, NINTH FLOOR, LIVINGSTON, NJ 07039

ACA/PRUDENT INVESTORS PLANNING CORPORATION
326 ROUTE 22 WEST, UNIT 12B, GREEN BROOK, NJ 08812

ACADEMY SECURITIES, INC.
277 PARK AVENUE, 35TH FLOOR, NEW YORK, NY 10172

ACALYX ADVISORS INC.
275 MADISON AVENUE, 14TH FLOOR, NEW YORK, NY 10016

ACAP FINANCIAL INC.
57 WEST 200 SOUTH STE 202, SALT LAKE CITY, UT 84101

ACC SECURITIES, LLC
16400 DALLAS PARKWAY, SUITE 300, DALLAS, TX 75248
Mailing Address: 16400 DALLAS PARKWAY, SUITE 300, DALLAS, TX 75248

ACCELERATED CAPITAL GROUP
18301 VON KARMAN, SUITE #400, IRVINE, CA 92612

ACCESS FINANCIAL GROUP, INC.
118 NORTH CLINTON ST-SUITE 450, CHICAGO, IL 60661

ACCESS INVESTMENTS, INC.
3621 NW 63RD, OKLAHOMA CITY, OK 73116-2000

ACCESS SECURITIES, LLC
30 BUXTON FARM ROAD STE 300, STAMFORD, CT 06905

ACCESSALPHA WORLDWIDE LLC
630 DAVIS STREET, SUITE 201, EVANSTON, IL 60201-4468

ACCORD CAPITAL PARTNERS LLC
600 MONTGOMERY STREET, 17TH FLOOR, SAN FRANCISCO, CA 94111

ACCRUED EQUITIES INC.
150 BROADHOLLOW RD, SUITE PH 02, MELVILLE, NY 11747

ACE DIVERSIFIED CAPITAL, INC.
923 EAST VALLEY BLVD.,, SUITE 213, SAN GABRIEL,, CA 91776

ACF INTERNATIONAL INC.
50 CONGRESS STREET, SUITE 6, BOSTON, MA 02109

ACGM, INC.
590 MADISON AVENUE, 41ST FLOOR, SUITE 4103, NEW YORK, NY 10022

ACHELOUS PARTNERS, LLC
800 THIRD AVENUE FLOOR 21, NEW YORK CITY, NY 10021

ACKRELL CAPITAL, LLC
38 KEYES AVE., SUITE 200, SAN FRANCISCO, CA 94129
Mailing Address: 475 MARINA BOULEVARD, SAN FRANCISCO, CA 94123

ACORNS SECURITIES, LLC
19900 MACARTHUR BLVD, SUITE #500, IRVINE, CA 92612

ACP SECURITIES, LLC
1450 BRICKELL AVENUE, SUITE 1490, MIAMI, FL 33131

ACQUEST SECURITIES LLC
1221 MCKINNEY STREET, SUITE 3250, HOUSTON, TX 77010

ACQUIOM FINANCIAL LLC
1614 15TH STREET, SUITE 250, DENVER, CO 80202
Mailing Address: 1614 15TH STREET, SUITE 250, SUITE 250, DENVER, CO 80202

ACS EXECUTION SERVICES, LLC
12 BROAD STREET, 2ND FLOOR, RED BANK, NJ 07701

ACTINVER SECURITIES, INC.
5075 WESTHEIMER, SUITE 650, HOUSTON, TX 77056

ADCAP SECURITIES LLC
701 BRICKELL AVE, SUITE 850, MIAMI, FL 33131

ADP BROKER-DEALER, INC.
ONE ADP BOULEVARD, ROSELAND, NJ 07068-1786
Mailing Address: 71 HANOVER ROAD, MS - 580, FLORHAM PARK, NJ 07932

ADVANCE CAPITAL SERVICES, INC.
ONE TOWNE SQUARE, SUITE 444, SOUTHFIELD, MI 48076

ADVANCED ADVISOR GROUP, LLC
440 EMERSON STREET N., SUITE 4, CAMBRIDGE, MN 55008

ADVANCED STRATEGIES BROKER DEALER LLC
1308 DALLAS ROAD, CHATTANOOGA, TN 37405

ADVANTAGE GFC LLC
2 WALL STREET, NEW YORK, NY 10005

ADVANTAGE SECURITIES LLC
231 S. LASALLE STREET, SUITE 1400, CHICAGO, IL 60604

ADVISER DEALER SERVICES, INC.
6125 MEMORIAL DRIVE, DUBLIN, OH 43017-9767
Mailing Address: P.O. BOX 7177, DUBLIN, OH 43017-9767

ADVISORS ASSET MANAGEMENT, INC.
18925 BASE CAMP ROAD, MONUMENT, CO 80132-0000
Mailing Address: 18925 BASE CAMP ROAD, MONUMENT, CO 80132

ADVISORS CLEARING NETWORK, INC.
7 N. FAIR OAKS AVENUE, PASADENA, CA 91103

ADVISORY GROUP EQUITY SERVICES LTD.
444 WASHINGTON STREET, SUITE 407, WOBURN, MA 01801

AEG CAPITAL, LLC
200 W. MADISON STREET, SUITE 2410, CHICAGO, IL 60606

AEGIS CAPITAL CORP.
810 7TH AVE, 18TH & 22ND FLOOR, NEW YORK, NY 10019
Mailing Address: 810 7TH AVE, 18TH FLOOR, NEW YORK, NY 10019

AEGIS ENERGY ADVISORS CORP.
708 THIRD AVENUE, 6TH FLOOR, NEW YORK, NY 10017-4201

AEGIS INVESTMENTS, INC.
4915 WEST 35TH STREET, SUITE 206, ST LOUIS PARK, MN 55416

AEI SECURITIES, INC.
1300 WELLS FARGO PLACE, 30 SEVENTH STREET EAST, ST. PAUL, MN 55101-4901

AERIS PARTNERS LLC
200 STATE STREET, 11TH FLOOR, BOSTON, MA 02109

AETHLON CAPITAL, L.L.C
225 SOUTH SIXTH ST., SUITE 1790, MINNEAPOLIS, MN 55402

AFFILIATED BANKERS CAPITAL, L.L.C.
901 SOUTH MOPAC EXPRESSWAY, BARTON OAKS PLAZA V, SUITE 140, AUSTIN, TX 78746

AFL-CIO ITC FINANCIAL, LLC
815 CONNECTICUT AVENUE NW, SUITE 320, WASHINGTON, DC 20006

AFS SECURITIES, LLC
404 WYMAN STREET, SUITE 100, WALTHAM, MA 02451

AGC PARTNERS
99 HIGH STREET, FLOOR 22, BOSTON, MA 02110

AGECROFT PARTNERS, LLC
103 CANTERBURY ROAD, RICHMOND, VA 23221-3211

AGENCY DESK, LLC
590 MADISON AVENUE, 21 FLOOR, NEW YORK, NY 10022

AGENCY TRADING GROUP, INC.
235 EAST LAKE STREET, WAYZATA, MN 55391

AGM SECURITIES LLC
800 THIRD AVENUE, 39TH FLOOR, NEW YORK, NY 10172
Mailing Address: 277 PARK AVENUE, 39TH FLOOR, NEW YORK, NY 10022

AGRICAPITAL SECURITIES INC.
1410 BROADWAY, SUITE 1802, NEW YORK, NY 10018

AIG CAPITAL SERVICES, INC.
HARBORSIDE FINANCIAL CENTER, 3200 PLAZA 5, JERSEY CITY, NJ 07311-4992

AIG GLOBAL CAPITAL MARKETS SECURITIES, LLC
50 DANBURY ROAD, WILTON, CT 06897

AILERON CAPITAL MANAGEMENT, LLC
3401 W. CYPRESS STREET, SUITE 101, TAMPA, FL 33607
Mailing Address: 3401 W. CYPRESS STREET, SUUITE 101, TAMPA, FL 33607

AK CAPITAL LLC
445 PARK AVENUE, 9TH FLOOR, NEW YORK, NY 10022
Mailing Address: 445 PARK AVENUE 9TH FLOOR, NEW YORK, NY 10022

AKAR CAPITAL MANAGEMENT, INC.
8551 W. SUNRISE BLVD. #102A, PLANTATION, FL 33322
Mailing Address: 8551 W. SUNRISE BLVD #102A, PLANTATION, FL 33322

AKIN BAY COMPANY LLC
780 THIRD AVENUE, NEW YORK, NY 10017

ALAMO CAPITAL
201 N CIVIC DR, SUITE 360, WALNUT CREEK, CA 94596

ALBERT FRIED & COMPANY, LLC
45 BROADWAY, 24TH FLOOR, NEW YORK, NY 10006

ALBRIGHT SECURITIES LLC
601 13TH STREET, NW, SUITE 1000 SOUTH, WASHINGTON, DC 20005

ALCHEMY SECURITIES, LLC
234 SEVEN FARMS DRIVE, SUITE 123, CHARLESTON, SC 29492

ALDERMAN & COMPANY CAPITAL, LLC
35 WARRINGTON ROUND, DANBURY, CT 06810

ALDWYCH SECURITIES LLC
950 THIRD AVENUE, 16TH FLOOR, NEW YORK, NY 10022

ALERUS SECURITIES CORPORATION
2300 COLUMBIA ROAD SOUTH, GRAND FORKS, ND 58201
Mailing Address: P.O. BOX 6001, GRAND FORKS, ND 58206

ALEXANDER CAPITAL, L.P.
17 STATE STREET, 5TH FLOOR, NEW YORK, NY 10004

ALEXANDER INVESTMENT SERVICES CO.
909 LILY CREEK ROAD #101, LOUISVILLE, KY 40243-2808

ALLEGHENY INVESTMENTS, LTD.
STONE QUARRY CROSSING, 811 CAMP HORNE ROAD, SUITE 100, PITTSBURGH, PA 15237

ALLEGIS INVESTMENT SERVICES, LLC
591 PARK AVENUE, SUITE 101, IDAHO FALLS, ID 83402
Mailing Address: 591 PARK AVENUE, SUITE 101, IDAHO FALLS, ID 83404

ALLEGRO SECURITIES LLC
504 KING WILLIAM, SAN ANTONIO, TX 78204

ALLEN & COMPANY LLC
711 FIFTH AVENUE, NEW YORK, NY 10022

ALLEN & COMPANY OF FLORIDA, INC.
1401 SOUTH FLORIDA AVENUE, LAKELAND, FL 33803
Mailing Address: P.O. BOX 387, LAKELAND, FL 33802

ALLEN C. EWING & CO.
7807 BAYMEADOWS ROAD EAST, SUITE 200, JACKSONVILLE, FL 32256
Mailing Address: 7807 BAYMEADOWS ROAD EAS, SUITE 200, JACKSONVILLE, FL 32256

ALLEN, MOONEY & BARNES BROKERAGE SERVICES, LLC
135 S. MADISON STREET, THOMASVILLE, GA 31792
Mailing Address: POST OFFICE BOX 1116, THOMASVILLE, GA 31799

ALLIANCE ADVISORY & SECURITIES, INC.
3390 AUTO MALL DRIVE, WESTLAKE VILLAGE, CA 91362

ALLIANCE FINANCIAL GROUP, INC.
5950 BERKSHIRE LANE #1060, DALLAS, TX 75225

ALLIANCEBERNSTEIN INVESTMENTS, INC.
1345 AVENUE OF THE AMERICAS, NEW YORK, NY 10105-0096

ALLIANT EQUITY INVESTMENTS, LLC
21600 OXNARD STREET - SUITE 1200, WOODLAND HILLS, CA 91367
Mailing Address: 21600 OXNARD STREET-SUITE 1200, WOODLAND HILLS, CA 91367

ALLIANT SECURITIES, INC. TURNER, NORD, KIENBAUM
695 NORTH LEGACY RIDGE DRIVE SUITE 300, LIBERTY LAKE, WA 99019

ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC
1633 BROADWAY, NEW YORK, NY 10019

ALLIANZ LIFE FINANCIAL SERVICES, LLC
5701 GOLDEN HILLS DRIVE, MINNEAPOLIS, MN 55416-1297
Mailing Address: P O BOX 1117, MINNEAPOLIS, MN 55440-1117

ALLIED MILLENNIAL PARTNERS, LLC
THREE WORLD FINANCIAL CENTER, 200 VESEY STREET 24TH FL, NEW YORK, NY 10281
Mailing Address: THREE WORLD FINANCIAL CENTER, 200 VESEY STREET 24TH FL, NEW YORK, NY 10281

ALLISON-WILLIAMS COMPANY
90 SOUTH 7TH STREET, SUITE 3850, MINNEAPOLIS, MN 55402-2441

ALLSTATE DISTRIBUTORS, L.L.C.
3075 SANDERS ROAD, SUITE I2, NORTHBROOK, IL 60062

ALLSTATE FINANCIAL SERVICES, LLC
2920 S 84TH STREET, LINCOLN, NE 68506
Mailing Address: PO BOX 83271, LINCOLN, NE 68501-3271

ALLUVION SECURITIES, LLC
5101 WHEELIS DRIVE, SUITE 200, MEMPHIS, TN 38117

ALLY SECURITIES LLC
500 WOODWARD AVE 14TH FLOOR, DETROIT, MI 48226
Mailing Address: 500 WOODWARD AVE, DETROIT, MI 48226

ALMAX FINANCIAL SOLUTIONS, LLC
12 VAN SYCKLES ROAD, CLINTON, NJ 08809

ALPHASOURCE CAPITAL SECURITIES LLC
32 EAST 57TH STREET, 12TH FLOOR, NEW YORK, NY 10022

ALPINA CAPITAL, LLC
100 JACKSON STREET, SUITE 101, DENVER, CO 80206

ALPINE SECURITIES CORPORATION
39 EXCHANGE PLACE, SALT LAKE CITY, UT 84111

ALPS DISTRIBUTORS, INC.
1290 BROADWAY, SUITE 1100, DENVER, CO 80203
Mailing Address: PO BOX 328, DENVER, CO 80201-0328

ALPS PORTFOLIO SOLUTIONS DISTRIBUTOR, INC.
1290 BROADWAY, SUITE 1100, DENVER, CO 80203
Mailing Address: P.O. BOX 328, DENVER, CO 80201-0328

ALT FUND DISTRIBUTORS LLC
5690 DTC BOULEVARD, SUITE 130 W, GREENWOOD VILLAGE, CO 80111

ALTACORP CAPITAL (USA) INC.
#410, 585 8TH AVENUE SW, CALGARY, T2P 1G1 AB CANADA

ALTEGRIS INVESTMENTS, LLC
1200 PROSPECT STREET, SUITE 400, LA JOLLA, CA 92037

ALTERNATIVE ACCESS CAPITAL, LLC
700 LARKSPUR LANDING CIR, SUITE 245, LARKSPUR, CA 94939

ALTERNATIVE ASSET INVESTMENT MANAGEMENT SECURITIES, LLC
260 WEST 36TH STREET, SUITE 502, NEW YORK, NY 10018
Mailing Address: BOX 5274, ROCKEFELLER STATION, NEW YORK, NY 10185-5274

ALTERNATIVE EXECUTION GROUP
708 THIRD AVENUE, 5TH FLOOR, NEW YORK, NY 10017

ALTERNATIVE INVESTMENT SERVICES, LLC
141 W. JACKSON BLVD., SUITE 1340A, CHICAGO, IL 60604

ALTERNET SECURITIES INC.
ONE LIBERTY PLAZA, 165 BROADWAY, 4TH FL., NEW YORK, NY 10006

ALVAREZ & MARSAL SECURITIES, LLC
600 MADISON AVE, 8TH FLOOR, NEW YORK, NY 10022
Mailing Address: 600 MADISON AVE, 8TH FLOOR, NEW YORK, NY 10022

ALYSSA LLC
1290 AVENUE OF THE AMERICAS, 10TH FL., NEW YORK, NY 10104

AMA SECURITIES LLC
405 LEXINGTON AVENUE, 67TH FLOOR, NEW YORK, NY 10174

AMBASSADOR FINANCIAL GROUP, INC.
1605 NORTH CEDAR CREST BOULEVARD, SUITE 508, ALLENTOWN, PA 18104

AMBATA SECURITIES, LLC
1201 PEACHTREE ST., NE, BUILDING 400, SUITE 1720, ATLANTA, GA 30361

AMBIT AMERICA INC.
AMBIT AMERICA INC., 777 WESTCHESTER AVENUE, SUITE 101, WHITE PLAINS, NY 10604

AMD CAPITAL, LLC
100 TRI-STATE INTERNATIONAL, SUITE 138, LINCOLNSHIRE, IL 60069

AMERICA NORTHCOAST SECURITIES, INC.
2000 AUBURN DRIVE, SUITE 300, CLEVELAND, OH 44122

AMERICAN CAPITAL PARTNERS, LLC
205 OSER AVE., HAUPPAUGE, NY 11788

AMERICAN CENTURY INVESTMENT SERVICES INC.
4500 MAIN STREET, KANSAS CITY, MO 64111
Mailing Address: P.O. BOX 410141, KANSAS CITY, MO 64141-0141

AMERICAN DIVERSIFIED FINANCIAL GROUP LLC
600 NORTH WEINBACH, SUITE 460, EVANSVILLE, IN 47711

AMERICAN ENTERPRISE INVESTMENT SERVICES INC.
707 2ND AVENUE SOUTH, MINNEAPOLIS, MN 55402
Mailing Address: 5221 AMERIPRISE FINANCIAL CENTER, MINNEAPOLIS, MN 55474

AMERICAN EQUITY CAPITAL, INC.
6000 WESTOWN PARKWAY, 2ND FLOOR, WEST DES MOINES, IA 50266-7711
Mailing Address: P.O. BOX 71607, DES MOINES, IA 50325

AMERICAN EQUITY INVESTMENT CORPORATION
4222 GRANTLINE ROAD, NEW ALBANY, IN 47150

AMERICAN FIDELITY SECURITIES, INC.
9000 CAMERON PARKWAY, OKLAHOMA CITY, OK 73114-3701
Mailing Address: P.O. BOX 25523, OKLAHOMA CITY, OK 73125-0523

AMERICAN FINANCIAL ASSOCIATES, INC.
1700 NORTHAMPTON STREET, SUITE A, EASTON, PA 18042-1659
Mailing Address: 1700 NORTHAMPTON STREET, SUITE A, EASTON, PA 18042-1659

AMERICAN FINANCIAL SECURITIES, INC.
6003 UNIVERSITY AVE. - SUITE C, CEDAR FALLS, IA 50613
Mailing Address: 6003 UNIVERSITY AVE.- SUITE C, CEDAR FALLS, IA 50613

AMERICAN FUNDS & TRUSTS INCORPORATED
3030 SOUTH MAIN STREET, SUITE 100, SALT LAKE CITY, UT 84115-3554

AMERICAN FUNDS DISTRIBUTORS, INC.
333 S. HOPE ST. 55TH FL., LOS ANGELES, CA 90071

AMERICAN HERITAGE SECURITIES, INC.
655 W MARKET STREET, AKRON, OH 44303-1438

AMERICAN INDEPENDENT SECURITIES GROUP, LLC
1036 E. IRON EAGLE DR., SUITE 105, EAGLE, ID 83616

AMERICAN INVESTORS COMPANY
2440 CAMINO RAMON, SUITE 103, SAN RAMON, CA 94583
Mailing Address: P. O. BOX 1307, SAN RAMON, CA 94583

AMERICAN INVESTORS GROUP, INC.
10237 YELLOW CIRCLE DRIVE, MINNETONKA, MN 55343

AMERICAN MUNICIPAL SECURITIES, INC.
720 SECOND AVE S., ST. PETERSBURG, FL 33701
Mailing Address: P.O. BOX 11749, ST. PETERSBURG, FL 33733-1749

AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.
4250 VETERANS MEMORIAL HIGHWAY, 4TH FLOOR EAST, HOLBROOK, NY 11741
Mailing Address: 4250 VETERANS MEMORIAL HWY, 4TH FLOOR EAST, HOLBROOK, NY 11741

AMERICAN REPUBLIC EQUITIES CORPORATION
601 SIXTH AVE, DES MOINES, IA 50309

AMERICAN TRUST INVESTMENT SERVICES, INC.
1244 119TH STREET, WHITING, IN 46394-1003

AMERICAN WEALTH MANAGEMENT, INC.
1050 CROWN POINTE PARKWAY SUITE 1230, ATLANTA, GA 30338

AMERICAS EXECUTIONS, LLC
C/O ACCOUNTING & COMPLIANCE INTERNATIONAL, 40 WALL STREET, SUITE 1704, NEW YORK, NY 10005

AMERIPRISE FINANCIAL SERVICES, INC.
707 2ND AVENUE SOUTH, MINNEAPOLIS, MN 55402
Mailing Address: 5221 AMERIPRISE FINANCIAL CENTER, MINNEAPOLIS, MN 55474

AMERITAS INVESTMENT CORP.
5900 "O" STREET, LINCOLN, NE 68510-2234
Mailing Address: PO BOX 5507, LINCOLN, NE 68505-0507

AMERITECH ADVISORS
708 THIRD AVENUE, 5TH FLOOR, NEW YORK, NY 10017

AMERIVET SECURITIES, INC.
26550 SILVERADO COURT, MORENO VALLEY, CA 92555
Mailing Address: POB 1074, INGLEWOOD, CA 90308

AMG DISTRIBUTORS, INC.
600 STEAMBOAT ROAD, SUITE 300, GREENWICH, CT 06830

AMHERST PIERPONT
245 PARK AVENUE, 15TH FLOOR, NEW YORK, NY 10167

AMUNDI DISTRIBUTORS USA, LLC
280 SOUTH MANGUM STREET, SUITE 301, DURHAM, NC 27701

AMUR ADVISORS LLC
ONE NORTH LEXINGTON AVENUE, SUITE 1101, WHITE PLAINS, NY 10601

ANCHIN CAPITAL ADVISORS LLC
1375 BROADWAY, 18TH FLOOR, NEW YORK, NY 10018
Mailing Address: 1375 BROADWAY, 18TH FLOOR, NEW YORK CITY, NY 10018

ANCHOR ASSET MANAGEMENT LLC
ONE EAST END AVENUE, SUITE 10A, NEW YORK, NY 10075

ANCHOR BAY SECURITIES, LLC
5780 FLEET STREET, SUITE 308, CARLSBAD, CA 92008

ANDBANC BROKERAGE, LLC
1221 BRICKELL AVENUE SUITE 1550, MIAMI, FL 33131

ANDERSON LENEAVE & CO.
6000 FAIRVIEW ROAD, SUITE 625, CHARLOTTE, NC 28210

ANDES CAPITAL GROUP, LLC
205 WEST WACKER DRIVE, SUITE 1804, CHICAGO, IL 60606

ANDREW GARRETT INC.
52 VANDERBILT AVE, STE 510, NEW YORK, NY 10017

ANDREWS PARTNERS
1754 LAFAYETTE STREET, DENVER, CO 80218

ANGEL ISLAND CAPITAL SERVICES, LLC
ONE EMBARCADERO CENTER, SUITE 2110, SAN FRANCISCO, CA 94111

ANICO FINANCIAL SERVICES, INC.
ONE MOODY PLAZA, SUITE 1423, GALVESTON, TX 77550
Mailing Address: ONE MOODY PLAZA SUITE 1423, GALVESTON, TX 77550

ANOVEST FINANCIAL SERVICES, INC.
3225 SHALLOWFORD ROAD, SUITE 220, MARIETTA, GA 30062

ANSLEY SECURITIES LLC
465 WEST COLEMAN BLVD., SUITE 202, MT. PLEASANT, SC 29464

ANTARCTICA ADVISORS
1200 BRICKELL AVE. SUITE 1950, MIAMI, FL 33131

ANTHEM SECURITIES, INC.
PARK PLACE CORPORATE CENTER ONE, 1000 COMMERCE DRIVE, SUITE 410, PITTSBURGH, PA 15275-1011

ANUBIS SECURITIES LLC
717 FIFTH AVENUE, 18TH FLOOR, NEW YORK, NY 10022

ANZ SECURITIES, INC.
277 PARK AVENUE, FLOOR 31, NEW YORK, NY 10172-0003

AOC SECURITIES, LLC
49 BLEECKER STREET, SUITE 305, NEW YORK, NY 10012

AON SECURITIES INC.
200 EAST RANDOLPH STREET, CHICAGO, IL 60601

APB FINANCIAL GROUP, LLC
17 STATE ST. - 16 FLOOR, NEW YORK, NY 10004

APEX CLEARING CORPORATION
ONE DALLAS CENTER, 350 N. ST. PAUL, SUITE 1300, DALLAS, TX 75201

APOLLO GLOBAL SECURITIES, LLC
9 WEST 57TH STREET, NEW YORK, NY 10019-2701

APPLE LANE GROUP LLC
2393 MAIN STREET, LANCASTER, MA 01523

APPLIED CAPITAL, LLC
120 E. MARKET STREET, SUITE 930, INDIANAPOLIS, IN 46204

APTO PARTNERS, LLC
5 COLD HILL ROAD SOUTH, SUITE 11, MENDHAM, NJ 07945

AQUA SECURITIES L.P.
125 PARK AVENUE, NEW YORK, NY 10017

AQUEDUCT CAPITAL GROUP, LLC
2820 SELWYN AVENUE, SUITE 550, CHARLOTTE, NC 28209

AQUILA DISTRIBUTORS LLC
120 WEST 45TH STREET, SUITE 3600, NEW YORK, NY 10036

AQUILO PARTNERS, L.P.
ONE MARITIME PLAZA, 14TH FLOOR, SAN FRANCISCO, CA 94111

ARBOR ADVISORS, LLC
1875 SOUTH GRANT ST., STE. 720, SAN MATEO, CA 94402

ARBOR COURT CAPITAL, LLC
8000 TOWN CENTRE DRIVE, SUITE 400, BROADVIEW HEIGHTS, OH 44147

ARBOR RESEARCH & TRADING, LLC
1000 HART ROAD, SUITE 260, BARRINGTON, IL 60010

ARC SECURITIES, LLC
1333 NEW HAMPSHIRE AVENUE, NW, SUITE 643, WASHINGTON, DC 20036
Mailing Address: 1330 CONNECTICUT AVENUE, NW, SUITE 223, WASHINGTON, DC 20036

ARCA CAPITAL INVESTMENTS, INC.
WELLS FARGO CENTER, 333 AVENUE OF THE AMERICAS, SUITE 2530, MIAMI, FL 33131

ARCADIA SECURITIES, LLC
720 FIFTH AVE, 10TH FL, NEW YORK, NY 10019
Mailing Address: 720 FIFTH AVE, 10TH FLOOR, NEW YORK, NY 10019

ARCHER DISTRIBUTORS, LLC
6100 CHEVY CHASE DR., SUITE 100, LAUREL, MD 20707

ARCHIPELAGO SECURITIES L.L.C.
353 NORTH CLARK STREET, SUITE #3200, CHICAGO, IL 60654

ARCHIPELAGO TRADING SERVICES, INC.
353 NORTH CLARK STREET, SUITE 3200, CHICAGO, IL 60654

ARCHSTONE CAPITAL, LLC
1400 EYE ST., NW STE. 1115, WASHINGTON, DC 20005

ARCTIC SECURITIES LLC
ONE ROCKEFELLER PLAZA, SUITE 1706, NEW YORK, NY 10124

ARDEA PARTNERS LLC
32 NASSAU STREET, SUITE 300, PRINCETON, NJ 08542

ARDOUR CAPITAL INVESTMENTS, LLC
26 BROADWAY, SUITE 1107, NEW YORK, NY 10004

ARES INVESTOR SERVICES LLC
2000 AVENUE OF THE STARS, 12TH FLOOR, LOS ANGELES, CA 90067

ARETE RESEARCH LLC
15 BROAD ST., 1ST FLOOR, BOSTON, MA 02109

ARETE WEALTH MANAGEMENT, LLC
1101 W LAKE STREET, 1ST FLOOR, CHICAGO, IL 60607

ARGENTHAL & CO. INC.
23-50 38TH ST, 2ND FLOOR, ASTORIA, NY 11105

ARI FINANCIAL SERVICES, INC.
6240 W 135TH STREET, SUITE 214, OVERLAND PARK, KS 66223

ARIA CAPITAL ADVISORS, LLC
475 CENTRAL AVENUE, SUITE M1, ST. PETERSBURG, FL 33701

ARIANE CAPITAL PARTNERS LLC
830 SOUTH VALLEY FORGE ROAD SUITE 100, DEVON, PA 19333

ARIEL DISTRIBUTORS, LLC
200 EAST RANDOLPH STREET, SUITE 2900, CHICAGO, IL 60601

ARIVE CAPITAL MARKETS
9017 5TH AVENUE, BROOKLYN, NY 11209

ARK GLOBAL, LLC
44 WASHINGTON ST., SUITE 100, WELLESLEY HILLS, MA 02481

ARK INVESTMENTS
16170 CANAANVILLE ROAD, ATHENS, OH 45701-0500
Mailing Address: P.O. BOX 500, ATHENS, OH 45701-0500

ARLINGTON SECURITIES, INC.
140 MARINE LANE, ST. LOUIS, MO 63146-2236

ARMORY SECURITIES, LLC
1230 ROSECRANS AVE, SUITE 660, MANHATTAN BEACH, CA 90266

ARONSON CAPITAL ADVISORS, LLC
805 KING FARM BOULEVARD, SUITE 300, ROCKVILLE, MD 20850

ARQUE CAPITAL, LTD.
7501 E MCCORMICK PKWY, STE 106N, SCOTTSDALE, AZ 85258

ARROW INVESTMENTS, INC.
3010 WESTCHESTER AVENUE, SUITE 203, PURCHASE, NY 10577

ARROWROOT PARTNERS, LLC
100 WILSHIRE BLVD. SUITE 1830, SANTA MONICA, CA 90401

ARTISAN PARTNERS DISTRIBUTORS LLC
875 E. WISCONSIN AVENUE, SUITE 800, MILWAUKEE, WI 53202

ARTIST CAPITAL LLC
20 WEST 55TH STREET, 11TH FLOOR, NEW YORK, NY 10019

ARTIVEST BROKERAGE LLC
1140 BROADWAY, SUITE 1501, NEW YORK, NY 10001

ARVEST WEALTH MANAGEMENT
921 WEST MONROE AVENUE, LOWELL, AR 72745
Mailing Address: P.O. BOX 1515, LOWELL, AR 72745-1515

ARXIS SECURITIES LLC
527 MADISON AVENUE, 18TH FLOOR, NEW YORK, NY 10022

ASANTE CAPITAL GROUP ADVISORS LLC
4TH FLOOR, 25 OLD BURLINGTON STREET, LONDON, W1S 3AN ENGLAND

ASCENDANT FINANCIAL PARTNERS, LLC
5347 SOUTH VALENTIA WAY, SUITE 250, GREENWOOD VILLAGE, CO 80111

ASCENDIANT CAPITAL MARKETS, LLC
18881 VON KARMAN, 16TH FLOOR, IRVINE, CA 92612

ASCENDIANT SECURITIES, LLC
18881 VON KARMAN, SUITE 1630, IRVINE, CA 92612

ASCENSUS BROKER DEALER SERVICES, INC.
95 WELLS AVENUE, SUITE 160, NEWTON, MA 02459

ASCENSUS FINANCIAL SERVICES, LLC.
200 DRYDEN RD, SUITE 4000, DRESHER, PA 19025

ASCENT CAPITAL ADVISORS (AMERICA) LLC
27 IMPERIAL AVENUE, TOP FLOOR, WESTPORT, CT 06880

ASCENTAGE ADVISORS, LLC
18 CONGRESS ST, SUITE 211, PORTSMOUTH, NH 03801

ASHMORE INVESTMENT MANAGEMENT (US) CORPORATION
122 E. 42ND ST, STE 5005, NEW YORK, NY 10168

ASHTON STEWART & CO., INC.
1271 AVENUE OF AMERICAS, 43RD FLOOR, NEW YORK, NY 10020

ASHTON YOUNG, INC.
2600 S TELEGRAPH ROAD, SUITE 150, BLOOMFIELD HILLS, MI 48302

ASIA PACIFIC FINANCIAL MANAGEMENT GROUP, INC.
145 ASPINALL AVE, HAGATNA, 96910 GUAM, USA
Mailing Address: 145 ASPINALL AVE., HAGATNA, 96910 GUAM, USA

ASPERION GROUP LLC
151 EAST 80TH STREET, 3RD FLOOR, NEW YORK, NY 10075
Mailing Address: 375 PARK AVENUE, #2607, NEW YORK, NY 10152

ASSETMARK BROKERAGE, LLC
1655 GRANT STREET, 10TH FLOOR, CONCORD, CA 94520

ASSETPOINT FINANCIAL, LLC
1300 NORTH 17TH STREET, SUITE 1800, ARLINGTON, VA 22209-3810

ASSOCIATED INVESTMENT SERVICES, INC.
433 MAIN STREET, GREEN BAY, WI 54301-5114
Mailing Address: P.O. BOX 640, GREEN BAY, WI 54305-0640

AST INVESTOR SERVICES LLC
48 WALL STREET, 22ND FLOOR, NEW YORK, NY 10005
Mailing Address: 6201 15TH AVENUE, BROOKLYN, NY 11219

ASTON CAPITAL ADVISORS, LLC
13015 WASHINGTON BLVD., LOS ANGELES, CA 90066
Mailing Address: PO BOX 1914, SANTA MONICA, CA 90406

ASTORIA CAPITAL MARKETS, INC.
344A WILLIS AVE, MINEOLA, NY 11501

ATEL SECURITIES CORPORATION
THE TRANSAMERICA PYRAMID 600 MONTGOMERY STREET, 9TH FLOOR, SAN FRANCISCO, CA 94111

ATHENE SECURITIES, LLC
7700 MILLS CIVIC PARKWAY, WEST DES MOINES, IA 50266

ATIS, INC
9717 PRAIRIE AVENUE, HIGHLAND, IN 46322

ATLANTIC - PACIFIC CAPITAL, INC.
102 GREENWICH AVENUE, 2ND FLOOR, GREENWICH, CT 06830

ATLANTIC SECURITIES, INC.
920 PROVIDENCE RD., SUITE 201, TOWSON, MD 21286-2988

ATLANTIC STATE PARTNERS, LLC
7 AVON ROAD, LARCHMONT, NY 10538-1420

ATLAS ONE FINANCIAL GROUP, LLC
200 SOUTH BISCAYNE BOULEVARD, SUITE 1860, MIAMI, FL 33131

ATLAS STRATEGIC ADVISORS, LLC
140 EAST 45TH STREET, 18TH FLOOR, NEW YORK, NY 10017

ATLAS TECHNOLOGY GROUP LLC
2800 LEAVENWORTH STREET, SUITE 250, SAN FRANCISCO, CA 94133

ATM EXECUTION LLC
599 LEXINGTON AVE, 21 FLOOR, NEW YORK, NY 10022

ATREYU GROUP LLC
28 W. 44TH STREET, 16TH FLOOR, NEW YORK, NY 10036

AUERBACH GRAYSON & COMPANY LLC
25W 45TH STREET SUITE 16, NEW YORK, NY 10036
Mailing Address: 25W 45TH STREET SUITE 16, NEW YORK, NY 10036

AUFHAUSER SECURITIES, INC.
112 WEST 56TH STREET, NEW YORK, NY 10019-3841

AUGEO ADVISORS, LLC
10801 NATIONAL BLVD., SUITE 245, LOS ANGELES, CA 90064
Mailing Address: 10940 WILSHIRE BLVD., 16TH FLOOR, LOS ANGELES, CA 90064

AURIGA USA, LLC
110 WALL STREET, 2ND FLOOR, NEW YORK, NY 10005

AURORA CAPITAL LLC
354 WIDOW GAVITS ROAD, PO BOX 1167, BRIDGEHAMPTON,, NY 11932-1167

AURORA SECURITIES
111 CONGRESSIONAL BLVD., SUITE 114, CARMEL, IN 46032-5639

AURUS ADVISORS, INC.
N. 822 FLORIDA A1A, SUITE 310, PONTE VEDRA BEACH, FL 32082
Mailing Address: 156 RETREAT PLACE, PONTE VEDRA BEACH, FL 32082

AUSDAL FINANCIAL PARTNERS, INC.
5187 UTICA RIDGE RD, DAVENPORT, IA 52807

AUSTIN ATLANTIC CAPITAL INC.
1 ALHAMBRA PLAZA, SUITE 100, CORAL GABLES, FL 33134
Mailing Address: 1 ALHAMBRA PLAZA, SUITE 100, MIAMI, FL 33134

AUTOMATED EQUITY FINANCE MARKETS, INC.
HARBORSIDE PLAZA 3, SUITE 604, JERSEY CITY, NJ 07302

AUTOMATED TRADING DESK FINANCIAL SERVICES, LLC
11 EWALL STREET, MT. PLEASANT, SC 29464
Mailing Address: 11 EWALL STREET, SUITES 103 AND 203, MT. PLEASANT, SC 29464

AUTONOMOUS RESEARCH US LP
SUITE 2303, 23RD FLOOR, 1325 AVENUE OF THE AMERICAS, NEW YORK, NY 10019

AVALON INVESTMENT & SECURITIES GROUP, INC.
404 AVALON AVENUE, SUTE 200, MUSCLE SHOALS, AL 35661

AVALON SECURITIES, LTD.
1001 SIXTH AVENUE, 10TH FLOOR, NEW YORK, NY 10018

AVALON WEALTH MANAGEMENT LLC
2929 ALLEN PKWY STE 3000, HOUSTON, TX 77019-7100

AVANTI SECURITIES CORPORATION
2 ST. CLAIR AVENUE WEST, SUITE 2102, TORONTO, M4V 1L5 CANADA

AVATAR CAPITAL GROUP LLC
525 WASHINGTON BLVD., 14TH FLOOR, JERSEY CITY, NJ 07310

AVENDUS CAPITAL, INC.
499 PARK AVENUE 12TH FLOOR, NEW YORK, NY 10022

AVENTURA SECURITIES, LLC
2999 NE 191 STREET, SUITE 901, AVENTURA, FL 33180
Mailing Address: 2999 NE 191 STREET, SUITE 901, AVENTURA, FL 33180

AVERE FINANCIAL GROUP, LLC
8310 S. VALLEY HIGHWAY, STE. 110, ENGLEWOOD, CO 80112

AVILA CAPITAL MARKETS, INC.
150 EAST 52ND STREET, 16002, NEW YORK, NY 10022
Mailing Address: 150 EAST 52ND STREET, 16TH FLOOR, SUITE 2, NEW YORK, NY 10022

AVISEN SECURITIES, INC.
3620 AMERICAN RIVER DRIVE, SUITE 145, SACRAMENTO, CA 95864-7256

AVM, L.P.
777 YAMATO ROAD, SUITE 300, BOCA RATON, FL 33431

AVONDALE PARTNERS, LLC
3102 WEST END AVENUE, SUITE 1100, NASHVILLE, TN 37203
Mailing Address: 3102 WEST END AVE, SUITE 1100, NASHVILLE, TN 37203

AWM SERVICES, LLC
1330 POST OAK BOULEVARD, SUITE 1550, HOUSTON, TX 77056

AX TRADING, LLC
6 EAST 45TH STREET, 19TH FLOOR, NEW YORK, NY 10017

AXA ADVISORS, LLC
1290 AVENUE OF THE AMERICAS, NEW YORK, NY 10104
Mailing Address: 1290 AVENUE OF THE AMERICAS, 16TH FLOOR, NEW YORK, NY 10104

AXA DISTRIBUTORS, LLC
525 WASHINGTON BOULEVARD, JERSEY CITY, NJ 07310

AXCESSNET, LLC
192 PARTRIDGE LANE, CONCORD, MA 02421

AXIA CAPITAL MARKETS, LLC
645 FIFTH AVENUE, SUITE 903, NEW YORK, NY 10022

AXIOM CAPITAL MANAGEMENT, INC.
780 THIRD AVENUE, 43RD FLOOR, NEW YORK, NY 10017-2024

Last updated: 8/16/16