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 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

41 NORTH SECURITIES, INC.
19800 MACARTHUR BLVD. SUITE 650, IRVINE, CA 92612
Mailing Address: 3334 EAST COAST HIGHWAY #603, CORINA DEL MAR, CA 92625

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: 4/23/2018

For the period of 3/1/2018 through 3/31/2018

A

AFW ASSOCIATES L
AFW ASSOCIATES LLC
1185 AVENUE OF THE AMERICAS, 3RD FLOOR, NEW YORK, NY 10036
ADMITTED

ALPACA SECURITIE
ALPACA SECURITIES LLC
217 SOUTH B STREET, SUITES 2 & 4, SAN MATEO, CA 94401
MAILING ADDRESS: 217 SOUTH B STREET, SUITES 2&4, SAN MATEO, CA 94401
ADMITTED

B

BD4RIA, INC.
BD4RIA, INC.
3520 WEST VICKERY BLVD., FORT WORTH, TX 76107
ADMITTED

BUMPED FINANCIAL
BUMPED FINANCIAL LLC
6420 SW MACADAM AVE, SUITE 150, PORTLAND, OR 97239
MAILING ADDRESS: 6420 SW MACADAM, SUITE 150, PORTLAND, OR 97239
ADMITTED

C

CAIN BROTHERS &
CAIN BROTHERS & COMPANY, LLC
NEW YORK, NY, UNITED STATES
RESIGNED

CAPITAL ASSET AD
CAPITAL ASSET ADVISORS, INC.
OYSTER BAY, NY, UNITED STATES
RESIGNED

CIMB SECURITIES
CIMB SECURITIES (USA), INC.
NAME CHANGED TO: CGS - CIMB SECURITIES (USA), INC.

CIMB SECURITIES
CGS - CIMB SECURITIES (USA), INC.
NEW NAME OF: CIMB SECURITIES (USA), INC.

CLARY INVESTMENT
CLARY INVESTMENT AND INSURANCE PLANNING CORP.
SO. EASTON, MA, UNITED STATES
RESIGNED

CMG SECURITIES L
CMG SECURITIES LLC
3160 CROW CANYON ROAD SUITE #345, SAN RAMON, CA 94583
MAILING ADDRESS: 3160 CROW CANYON ROAD SUITE #290, SAN RAMON, CA 94583
ADMITTED

COLE CAPITAL COR
COLE CAPITAL CORPORATION
NAME CHANGED TO: CCO CAPITAL, LLC

COLE CAPITAL COR
CCO CAPITAL, LLC
NEW NAME OF: COLE CAPITAL CORPORATION

CROSS RESEARCH
CROSS RESEARCH
MILLBURN, NJ
RESIGNED

CROSSROADS CAPIT
CROSSROADS CAPITAL DISTRIBUTORS, LLC
NAME CHANGED TO: CR CAPITAL DISTRIBUTORS, LLC

CROSSROADS CAPIT
CR CAPITAL DISTRIBUTORS, LLC
NEW NAME OF: CROSSROADS CAPITAL DISTRIBUTORS, LLC

D

DALZELL TRADING,
DALZELL TRADING, LLC
20 MAIN STREET, SUITE 203A, NATICK, MA 01760
ADMITTED

DART EXECUTIONS,
DART EXECUTIONS, LLC
NAME CHANGED TO: RONIN PROFESSIONAL LLC

DART EXECUTIONS,
RONIN PROFESSIONAL LLC
NEW NAME OF: DART EXECUTIONS, LLC

DCS ADVISORY LLC
SAGENT ADVISORS, INC.
MERGED SIGNAL HILL CAPITAL GROUP LLC
TO FORM DCS ADVISORY LLC

DEUTSCHE AM DIST
DEUTSCHE AM DISTRIBUTORS, INC.
NAME CHANGED TO: DWS DISTRIBUTORS, INC.

DEUTSCHE AM DIST
DWS DISTRIBUTORS, INC.
NEW NAME OF: DEUTSCHE AM DISTRIBUTORS, INC.

E

EAGLE LEDGE CAPI
EAGLE LEDGE CAPITAL, LLC
FRESNO, CA, USA
RESIGNED

F

FFC CAPITAL ADVI
FFC CAPITAL ADVISORS, LLC
NEW ORLEANS, LA
RESIGNED

FULCRUM SECURITI
FULCRUM SECURITIES, LLC
SAINT LOUIS, MO, USA
EXPELLED FOR FAILED PAY FINES AND/OR COSTS.

I

INDEPENDENT BROK
INDEPENDENT BROKERS LLC
WOODBURY, NY, U S A
RESIGNED

INVICTA CAPITAL
INVICTA CAPITAL LLC
606 CORBET STREET, TARENTUM, PA 15084
MAILING ADDRESS: P.O. BOX 505, TARENTUM, PA 15084
ADMITTED

K

KOMODO SECURITIE
KOMODO SECURITIES LLC
39 BROADWAY, SUITE 3300, NEW YORK, NY 10006
ADMITTED

M

MARTIN WOLF
MARTIN WOLF
NAME CHANGED TO: MARTINWOLF

MARTIN WOLF
MARTINWOLF
NEW NAME OF: MARTIN WOLF

O

OXFORD CAPITAL,
OXFORD CAPITAL, LLC
NEW YORK, NY, USA
RESIGNED

P

PHASE ONE FINANC
PHASE ONE FINANCIAL SERVICES, LLC
450 LEXINGTON AVENUE, 4TH FLOOR, NEW YORK, NY 10017
MAILING ADDRESS: 450 LEXINGTON AVENUE, 4TH FLOOR, NEW YORK, NY 10017
ADMITTED

Q

QUILVEST SECURIT
QUILVEST SECURITIES LLC
527 MADISON AVENUE, 11TH FLOOR, NEW YORK, NY 10022
ADMITTED

R

RH INVESTMENT CO
RH INVESTMENT CORPORATION
GLENDALE, CA, UNITED STATES
RESIGNED

RICHARD D. SCHUB
RICHARD D. SCHUBERT, INC.
EAST LANSING, MI, UNITED STATES
RESIGNED

S

SAGENT ADVISORS,
SAGENT ADVISORS, LLC
NAME CHANGED TO: DCS ADVISORY LLC

SAGENT ADVISORS,
DCS ADVISORY LLC
NEW NAME OF: SAGENT ADVISORS, LLC

SAVILLS STUDLEY
SAVILLS STUDLEY SECURITIES LLC
399 PARK AVENUE, 11TH FLOOR, NEW YORK, NY 10022
MAILING ADDRESS: 399 PARK AVENUE, 11TH FLOOR, NEW YORK, NY 10022
ADMITTED

STIFEL, NICOLAUS
TO FORM STIFEL, NICOLAUS & COMPANY, INCORPORATED
ACQUIRED B. C. ZIEGLER AND COMPANY

T

TAYLOR FINANCIAL
TAYLOR FINANCIAL SERVICES, LLC
WASHINGTON, DC, USA
RESIGNED

THE DARCY GROUP
THE DARCY GROUP LLC
SYRACUSE, NY, UNITED STATES
RESIGNED

THE ORR GROUP, L
THE ORR GROUP, LLC
WINSTON-SALEM, NC, USA
RESIGNED

THE TRANSPORTATI
THE TRANSPORTATION GROUP (SECURITIES) LIMITED
122 EAST 42ND STREET SUITE 2018, NEW YORK,, NY 10168
MAILING ADDRESS: 122 EAST 42ND STREET SUITE 2018, NEW YORK,, NY 10168
ADMITTED

THS LTD.
THS LTD.
NEW YORK, NY
RESIGNED

V

VENTURE PARTNERS
VENTURE PARTNERS CAPITAL, L.L.C.
EAST BERLIN, CT, UNITED STATES
RESIGNED

W

WFG INVESTMENTS,
WFG INVESTMENTS, INC.
DALLAS, TX, UNITED STATES
RESIGNED

X

XLII FINANCIAL S
XLII FINANCIAL SERVICES LLC
10023 APPLE CREEK DRIVE, DALLAS, TX 75243
ADMITTED