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

180 DEGREE CAPITAL BD, LLC
7 N. WILLOW STREET, SUITE 4B, MONTCLAIR, NJ 07042

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

1964 GLOBAL
71 MURRAY STREET, NO. 8, NEW YORK, NY 10007

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

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

7000 MILES, LLC
1925 CENTRAL STREET, SUITE 300, KANSAS CITY, MO 64108

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

8 RIVERS ADVISORS, LLC
406 BLACKWELL STREET, 4TH FL., DURHAM, NC 27701

Last updated: 8/15/2019

For the period of 7/1/2019 through 7/31/2019 

A

ALLEGIS INVESTME
ALLEGIS INVESTMENT SERVICES, LLC
IDAHO FALLS, ID, USA
RESIGNED

B

BITOODA TECHNOLO
BITOODA TECHNOLOGIES LLC
185 HUDSON STREET, SUITE 2540, JERSEY CITY, NJ 07302
185 HUDSON STREET SUITE 2540, JERSEY CITY, NJ 07302
ADMITTED

C

CAROFIN, LLC
CAROFIN, LLC
100 ELKS CLUB RD., BREVARD, NC 28712
ADMITTED

D

DE GUARDIOLA ADV
DE GUARDIOLA ADVISORS, LLC
WEST PALM BEACH, FL, USA
RESIGNED

DIGITAL CAPITAL
DIGITAL CAPITAL MARKETS LLC
10211 FLEMING AVENUE, BETHESDA, MD 20814
ADMITTED

DOCK SQUARE SECU
DOCK SQUARE SECURITIES , LLC
CORAL GABLES, FL, USA
RESIGNED

E

ENSTREAM CAPITAL
ENSTREAM CAPITAL MARKETS, LLC
NAME CHANGED TO: EAST WEST MARKETS, LLC

ENSTREAM CAPITAL
EAST WEST MARKETS, LLC
NEW NAME OF: ENSTREAM CAPITAL MARKETS, LLC

ENTRUSTPERMAL SE
ENTRUSTPERMAL SECURITIES LLC
NAME CHANGED TO: ENTRUST GLOBAL SECURITIES LLC

ENTRUSTPERMAL SE
ENTRUST GLOBAL SECURITIES LLC
NEW NAME OF: ENTRUSTPERMAL SECURITIES LLC

EQX LLC
EQX LLC
379 WEST BROADWAY, NEW YORK, NY 10012
ADMITTED

EROOM SECURITIES
EROOM SECURITIES L.L.C.
NAME CHANGED TO: DASH PRIME LLC

EROOM SECURITIES
DASH PRIME LLC
NEW NAME OF: EROOM SECURITIES L.L.C.

ESPOSITO SECURIT
ESPOSITO SECURITIES, LLC
DALLAS, TX, USA
RESIGNED

F

FIDELITY PRIME F
FIDELITY PRIME FINANCING
155 SEAPORT BOULEVARD, BOSTON, MA 02210
200 SEAPORT BOULEVARD, MAIL ZONE: ZW11A, BOSTON, MA 02210
ADMITTED

G

G.C. ANDERSEN PA
G.C. ANDERSEN PARTNERS CAPITAL, LLC
NEW YORK, NY, UNITED STATES
RESIGNED

I

IUR SECURITIES L
IUR SECURITIES LLC
THIRD FLOOR LANSDOWNE HOUSE, 57 BERKELEY SQ., LONDON W1J6ER UNITED KINGDOM
ADMITTED

J

JAMES E. COFFEY
JAMES E. COFFEY SECURITIES, INC.
NEW YORK, NY, USA
CANCELLED FOR FAILURE TO PAY OUTSTANDING FEES

JDF CAPITAL ADVI
JDF CAPITAL ADVISORS, LLC
DENVER, CO, UNITED STATES
RESIGNED

JOHN HANCOCK FUN
JOHN HANCOCK FUNDS, LLC
NAME CHANGED TO: JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC

JOHN HANCOCK FUN
JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC
NEW NAME OF: JOHN HANCOCK FUNDS, LLC

L

LIQUID CAPITAL S
LIQUID CAPITAL SECURITIES, LLC
EVANSTON, IL, USA
RESIGNED

LUCKYSTRIKE SECU
LUCKYSTRIKE SECURITIES LLC
NAME CHANGED TO: LS SECURITIES, LLC

LUCKYSTRIKE SECU
LS SECURITIES, LLC
NEW NAME OF: LUCKYSTRIKE SECURITIES LLC

M

MILLIMAN INVESTM
MILLIMAN INVESTMENT MANAGEMENT SERVICES LLC
71 S. WACKER DRIVE, 31ST FLOOR, CHICAGO, IL 60606
ADMITTED

MYPALTRADE SECUR
MYPALTRADE SECURITIES INC.
10777 SUNSET OFFICE DRIVE, SUITE 330, ST. LOUIS, MO 63127
ADMITTED

O

OPUS FINANCIAL P
OPUS FINANCIAL PARTNERS, LLC
IRVINE, CA, USA
RESIGNED

P

PARAGON HEALTH C
PARAGON HEALTH CAPITAL, LLC
450 CENTRAL AVE #202, HIGHLAND PARK, IL 60035
ADMITTED

PHOTON SECURITIE
PHOTON SECURITIES LLC
NAME CHANGED TO: OPENDEAL BROKER LLC

PHOTON SECURITIE
OPENDEAL BROKER LLC
NEW NAME OF: PHOTON SECURITIES LLC

PRAGMA SECURITIE
PRAGMA SECURITIES LLC
NAME CHANGED TO: PRAGMA LLC

PRAGMA SECURITIE
PRAGMA LLC
NEW NAME OF: PRAGMA SECURITIES LLC

R

ROBERTSON STEPHE
ROBERTSON STEPHENS CAPITAL MARKETS, LLC
201 MISSION STREET, SUITE 510, SAN FRANCISCO, CA 94105
ADMITTED

S

SIMMONS FIRST IN
SIMMONS FIRST INVESTMENT GROUP, INC.
LITTLE ROCK, AR, UNITED STATES
RESIGNED

T

TRANSAMERICA INV
TRANSAMERICA INVESTORS SECURITIES CORPORATION
TRANSAMERICA CAPITAL, INC.
ENDEAVOR GROUP

U

USQ SECURITIES L
USQ SECURITIES LLC
375 PARK AVENUE, SUITE 2607, NEW YORK, NY 10152
ADMITTED

UTC FINANCIAL SE
UTC FINANCIAL SERVICES USA, INC.
PORT OF SPAIN, TRINIDAD
RESIGNED

V

VICTORY CAPITAL
VICTORY CAPITAL ADVISERS, INC.
USAA INVESTMENT MANAGEMENT COMPANY
USAA INVESTMENTS
USAA FINANCIAL ADVISORS, INC.
USAA INVESTMENT MANAGEMENT COMPANY

For the period of 6/1/2019 through 6/30/2019 

B

BANKERS CAPITAL
BANKERS CAPITAL INTERNATIONAL
NEW YORK, NY
RESIGNED

BC PARTNERS SECU
BC PARTNERS SECURITIES LLC
650 MADISON AVENUE, 23RD FLOOR, NEW YORK, NY 10022
ADMITTED

BKD CORPORATE FI
BKD CORPORATE FINANCE, LLC
NAME CHANGED TO: BKD CAPITAL ADVISORS, LLC

BKD CORPORATE FI
BKD CAPITAL ADVISORS, LLC
NEW NAME OF: BKD CORPORATE FINANCE, LLC

BRIDGE ALTERNATI
BRIDGE ALTERNATIVES SECURITIES, LLC.
125 SOUTH CLARK STREET, 17TH FLOOR, CHICAGO, IL 60603
ADMITTED

C

CEDARBRIDGE SECU
CEDARBRIDGE SECURITIES, LLC
NAME CHANGED TO: PUBLIC BROKERS, LLC

CEDARBRIDGE SECU
PUBLIC BROKERS, LLC
NEW NAME OF: CEDARBRIDGE SECURITIES, LLC

D

DEAN BRADLEY OSB
DEAN BRADLEY OSBORNE PARTNERS LLC
NAME CHANGED TO: DBO PARTNERS LLC

DEAN BRADLEY OSB
DBO PARTNERS LLC
NEW NAME OF: DEAN BRADLEY OSBORNE PARTNERS LLC

E

EURONEXT SYNAPSE
EURONEXT SYNAPSE LLC
NAME CHANGED TO: EURONEXT MARKET SERVICES LLC

EURONEXT SYNAPSE
EURONEXT MARKET SERVICES LLC
NEW NAME OF: EURONEXT SYNAPSE LLC

F

FALLS BRIDGE SEC
FALLS BRIDGE SECURITIES, LLC
24 LOUELLA CT, SUITE 240, WAYNE, PA 19087
MAILING ADDRESS 201 KING OF PRUSSIA ROAD, SUITE 650, RADNOR, PA 19087
ADMITTED

FIRST EMPIRE SEC
FIRST EMPIRE SECURITIES, INC.
HAUPPAUGE, NY, UNITED STATES
RESIGNED

H

HUATAI SECURITIE
HUATAI SECURITIES (USA), INC.
10 HUDSON YARDS, 41ST FLOOR, NEW YORK, NY 10001
ADMITTED

I

ICE SECURITIES E
ICE SECURITIES EXECUTION & CLEARING, LLC
55 EAST 52ND STREET, 40TH FLOOR, NEW YORK, NY 10055
ADMITTED

L

LEWIS FINANCIAL
LEWIS FINANCIAL GROUP, L.C.
NAME CHANGED TO: DAI SECURITIES, LLC

LEWIS FINANCIAL
DAI SECURITIES, LLC
NEW NAME OF: LEWIS FINANCIAL GROUP, L.C.

M

MBSC SECURITIES
MBSC SECURITIES CORPORATION
NAME CHANGED TO: BNY MELLON SECURITIES CORPORATION

MBSC SECURITIES
BNY MELLON SECURITIES CORPORATION
NEW NAME OF: MBSC SECURITIES CORPORATION

N

NOVAHILL PARTNER
NOVAHILL PARTNERS, LLC
NAME CHANGED TO: I(X) SECURITIES, LLC

NOVAHILL PARTNER
I(X) SECURITIES, LLC
NEW NAME OF: NOVAHILL PARTNERS, LLC

O

OPPENHEIMER & CO
TO FORM OPPENHEIMER & CO. INC.
ACQUIRED STIFEL, NICOLAUS & COMPANY, INCORPORATED

P

PANCHAIN SECURIT
PANCHAIN SECURITIES
170 CAPP STREET, SUITE 3A, SAN FRANCISCO, CA 94110
ADMITTED

PETROGROWTH ENER
PETROGROWTH ENERGY ADVISORS, L.L.C.
NAME CHANGED TO: BV SECURITIES, LLC

PETROGROWTH ENER
BV SECURITIES, LLC
NEW NAME OF: PETROGROWTH ENERGY ADVISORS, L.L.C.

R

RELIANCE WORLDWI
RELIANCE WORLDWIDE INVESTMENTS, LLC
GURNEE, IL, USA
RESIGNED

RIALTO TRADING N
RIALTO TRADING NETWORK LLC
NAME CHANGED TO: RIALTO MARKETS LLC

RIALTO TRADING N
RIALTO MARKETS LLC
NEW NAME OF: RIALTO TRADING NETWORK LLC

ROTHSCHILD INC.
ROTHSCHILD INC.
NAME CHANGED TO: ROTHSCHILD & CO US INC.

ROTHSCHILD INC.
ROTHSCHILD & CO US INC.
NEW NAME OF: ROTHSCHILD INC.

S

SECURE PLANNING,
SECURE PLANNING, INC.
NAME CHANGED TO: SECURE PLANNING, LLC

SECURE PLANNING,
SECURE PLANNING, LLC
NEW NAME OF: SECURE PLANNING, INC.

SESLIA SECURITIE
SESLIA SECURITIES
ST THOMAS, VI, US VI
RESIGNED

SHP SECURITIES,
SHP SECURITIES, LLC
NAME CHANGED TO: SHORELINEAMBROSE ADVISORS, LLC

SHP SECURITIES,
SHORELINEAMBROSE ADVISORS, LLC
NEW NAME OF: SHP SECURITIES, LLC

SPOKE FINANCIAL,
SPOKE FINANCIAL, LLC
COLUMBUS, OH
RESIGNED

SPREADZERO LLC
SPREADZERO LLC
NAME CHANGED TO: ARKONIS CAPITAL LLC

SPREADZERO LLC
ARKONIS CAPITAL LLC
NEW NAME OF: SPREADZERO LLC

STARTENGINE PRIM
STARTENGINE PRIMARY LLC
8687 MELROSE AVE, 7TH FLOOR, LOS ANGELES, CA 90069
MAILING ADDRESS 750 N SAN VICENTE BLVD #800, WEST HOLLYWOOD, CA 90069
ADMITTED

STAX CAPITAL
STAX CAPITAL
4901 MORENA BLVD, SUITE 121, SAN DIEGO, CA 92117
ADMITTED

STAX CAPITAL, IN
STAX CAPITAL, INC.
NAME CHANGED TO: STAX CAPITAL

STAX CAPITAL, IN
STAX CAPITAL
NEW NAME OF: STAX CAPITAL, INC.

V

VICTORY CAPITAL
VICTORY CAPITAL ADVISERS, INC.
USAA INVESTMENT MANAGEMENT COMPANY
USAA INVESTMENTS
USAA FINANCIAL ADVISORS, INC.
USAA INVESTMENT MANAGEMENT COMPANY

W

WALLER CAPITAL S
WALLER CAPITAL SECURITIES LLC
NEW YORK, NY
RESIGNED