Firms We Regulate - #

# 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

16 POINTS LLC
39 BROADWAY, SUITE 3300, ROOM 14, NEW YORK, NY 10006

1851 SECURITIES, INC
ONE AMERICAN ROW, HARTFORD, CT 06102

1ST BCCW CAPITAL CORP
116A SOUTH RIVER ROAD, BEDFORD, NH 03110-6735

1ST DISCOUNT BROKERAGE, INC.
8927 HYPOLUXO ROAD, SUITE A5, LAKE WORTH, FL 33467

1ST GLOBAL CAPITAL CORP.
12750 MERIT DRIVE, SUITE 1200, DALLAS, TX 75251

280 SECURITIES LLC
575 MARKET ST, STE 3800, SAN FRANCISCO, CA 94105
Mailing Address: 506 2ND AVE, STE 1400, SEATTLE, WA 98104

3 MARK EQUITIES, INC.
1600 HWY. 6 SOUTH, SUITE 400, SUGAR LAND, TX 77478

303 ALTERNATIVES, LLC
401 WEST SUPERIOR STREET, CHICAGO, IL 60654

38 DEGREE ADVISORS, LLC
4370 ALPINE ROAD, SUITE 209, PORTOLA VALLEY, CA 94028

7M SECURITIES, LLC
508 W 5TH STREET, SUITE 225, CHARLOTTE, NC 28202

Last updated: 10/16/17

For the period of 9/1/2017 through 9/30/2017

A

A5 SECURITIES LL
A5 SECURITIES LLC
414 WEST 51ST STREET, UNIT 1, NEW YORK, NY 10019
ADMITTED

AMERITECH ADVISO
AMERITECH ADVISORS
NEW YORK, NY
RESIGNED

AST INVESTOR SER
AST INVESTOR SERVICES LLC
NEW YORK, NY, USA
RESIGNED

B

BEARD FINANCIAL
BEARD FINANCIAL SERVICES, INC.
YOUNGSTOWN, OH, USA
RESIGNED

C

CAPITAL GUARDIAN
CAPITAL GUARDIAN, LLC
CHARLOTTE, NC, USA
RESIGNED

CCF INVESTMENTS,
CCF INVESTMENTS, INC.
GREENSBORO, GA
RESIGNED

CHARLES JORDAN &
CHARLES JORDAN & CO., LLC< NEW YORK, NY, UNITED STATES
RESIGNED

CITY SECURITIES
CITY SECURITIES CORPORATION
INDIANAPOLIS, IN, U.S.
RESIGNED

CRAIG SCOTT CAPI
CRAIG SCOTT CAPITAL, LLC
UNIONDALE, NY, UNITED STATES
EXPELLED FOR EXCESSIVE TRADING AND CHURNING OF CUSTOMER ACCOUNTS AND PROVIDING FALSE INFORMATION IN RESPONSE TO REQUESTS FOR INFORMATION

CROSS BORDER PRI
CROSS BORDER PRIVATE CAPITAL, L.L.C.
NEW YORK, NY, UNITED STATES
RESIGNED

CURIAN CLEARING,
CURIAN CLEARING, LLC
DENVER, CO
RESIGNED

E

ESSEX FINANCIAL
ESSEX FINANCIAL
NAME CHANGED TO: ESSEX FINANCIAL SERVICES, INC.

ESSEX FINANCIAL
ESSEX FINANCIAL SERVICES, INC.
NEW NAME OF: ESSEX FINANCIAL

EVERENCE SECURIT
EVERENCE SECURITIES, INC.
GOSHEN, IN
RESIGNED

F

FRONTCOURT SECUR
FRONTCOURT SECURITIES LLC
180 MOUNT AIRY ROAD, SUITE 204, BASKING RIDGE, NJ 07920
MAILING ADDRESS: 350 MAIN STREET, SUITE 4, BEDMINSTER, NJ 07921-2689
ADMITTED

G

GREENTREE BROKER
GREENTREE BROKERAGE SERVICES, INC.
PHILADELPHIA, PA, UNITED STATES
RESIGNED

I

ILIAD SECURITIES
ILIAD SECURITIES LLC
39 BROADWAY - SUITE 3300, NEW YORK, NY 10006
ADMITTED

J

JANUS DISTRIBUTO
JANUS DISTRIBUTORS LLC
NAME CHANGED TO: JANUS HENDERSON DISTRIBUTORS

JANUS DISTRIBUTO
JANUS HENDERSON DISTRIBUTORS
NEW NAME OF: JANUS DISTRIBUTORS LLC

L

LEBENTHAL & CO.,
LEBENTHAL & CO., LLC
NEW YORK, NY, USA
RESIGNED

LOYAL3 SECURITIE
LOYAL3 SECURITIES INC.
SAN FRANCISCO, CA, UNITED STATES
RESIGNED

LPE SECURITIES,
LPE SECURITIES, LLC
TAMPA, FL, USA
CANCELLED FOR FAILURE TO PAY OUTSTANDING FEES

O

OSPREY PARTNERS
OSPREY PARTNERS LLC
WESTPORT, CT, UNITED STATES
RESIGNED

OVERTON SECURITI
OVERTON SECURITIES, LLC
ONE ENERGY SQUARE, 4925 GREENVILLE AVE, SUITE 200, DALLAS, TX 75206
ADMITTED

OUISA CAPITAL LL
OUISA CAPITAL LLC
NAME CHANGED TO: LIQUID M CAPITAL LLC

OUISA CAPITAL LL
LIQUID M CAPITAL LLC
NEW NAME OF: OUISA CAPITAL LLC

P

PENSIONMARK SECU
PENSIONMARK SECURITIES, LLC
CAPFINANCIAL SECURITIES, LLC.
CAPTRUST
CAPTRUST FINANCIAL ADVISORS
CAPFINANCIAL PARTNERS, LLC

S

STANDARD CHARTER
STANDARD CHARTERED SECURITIES N.A. LLC
NAME CHANGED TO: STANDARD CHARTERED SECURITIES NORTH AMERICA LLC

STANDARD CHARTER
STANDARD CHARTERED SECURITIES NORTH AMERICA LLC
NEW NAME OF: STANDARD CHARTERED SECURITIES N.A. LLC

STERNE, AGEE & L
STERNE, AGEE & LEACH, INC.
BIRMINGHAM, AL, UNITED STATES
RESIGNED

STOCK USA EXECUT
STOCK USA EXECUTION SERVICES, INC
NAME CHANGED TO: MINT GLOBAL MARKETS, INC.

STOCK USA EXECUT
MINT GLOBAL MARKETS, INC.
NEW NAME OF: STOCK USA EXECUTION SERVICES, INC

SUN TRADING LLC
SUN TRADING LLC
100 S WACKER, SUITE 300, CHICAGO, IL 60606
MAILING ADDRESS: 100 S WACKER DR., SUITE 300, CHICAGO, IL 60606
ADMITTED

T

THE FORBES SECUR
THE FORBES SECURITIES GROUP LLC
8480 E ORCHARD RD STE 2400, GREENWOOD VILLAGE, CO 80111
MAILING ADDRESS: 8480 E ORCHARD RD STE 2400, GREENWOOD VILLAGE, CO 80111
ADMITTED

U

UMERGENCE LLC
UMERGENCE LLC
1006 S. MAIN ST., PLANTSVILLE, CT 06479
MAILING ADDRESS: 1224 MILL STREET, BUILDING B, EAST BERLIN, CT 06023
ADMITTED