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

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

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: 12/21/2018

For the period of 11/1/2018 through 11/30/2018

A

ADCAP SECURITIES
ADCAP SECURITIES LLC
NAME CHANGED TO: LAKE FOREST SECURITIES, LLC

ADCAP SECURITIES
LAKE FOREST SECURITIES, LLC
NEW NAME OF: ADCAP SECURITIES LLC

AGRICAPITAL SECU
AGRICAPITAL SECURITIES INC.
NEW YORK, NY, UNITED STATES
RESIGNED

ALYSSA LLC
ALYSSA LLC
NEW YORK, NY, USA
RESIGNED

ARTIVEST BROKERA
ARTIVEST BROKERAGE LLC
NEW YORK, NY, US
RESIGNED

ASPIRATION FINAN
ASPIRATION FINANCIAL LLC
4551 GLENCOE AVE., SUITE 300, MARINA DEL REY, CA 90292
ADMITTED

AVENUE SECURITIE
AVENUE SECURITIES LLC
78 SW 7TH STREET, MIAMI, FL 33130
MAILING ADDRESS: 15901 COLLINS AVENUE, UNIT 4202, NORTH MIAMI BEACH, FL 33160
ADMITTED

C

CADIA CAPITAL AD
CADIA CAPITAL ADVISORS, LLC
NAME CHANGED TO: RUBICON CAPITAL ADVISORS

CADIA CAPITAL AD
RUBICON CAPITAL ADVISORS
NEW NAME OF: CADIA CAPITAL ADVISORS, LLC

CEBILE CAPITAL L
CEBILE CAPITAL LLC
295 MADISON AVENUE, 12TH FLOOR, NEW YORK, NY 10017
ADMITTED

D

DEFILIPPO CAPITA
DEFILIPPO CAPITALE PARTNERS LLC
LAS VEGAS, NV, USA
RESIGNED

DIVY EQUITIES, I
DIVY EQUITIES, INC.
NAME CHANGED TO: TRADEZERO AMERICA, INC.

DIVY EQUITIES, I
TRADEZERO AMERICA, INC.
NEW NAME OF: DIVY EQUITIES, INC.

E

EKS&H CAPITAL AD
EKS&H CAPITAL ADVISORS, LLC
DENVER, CO, USA
RESIGNED

F

FERGUSON & BREWE
FERGUSON & BREWER SECURITIES
PARADISE, CA, UNITED STATES
RESIGNED

FIELDSTONE SERVI
FIELDSTONE SERVICES CORP.
NAME CHANGED TO: AURIA SERVICES CORP.

FIELDSTONE SERVI
AURIA SERVICES CORP.
NEW NAME OF: FIELDSTONE SERVICES CORP.

HUFFMAN PRAIRIE
HUFFMAN PRAIRIE CAPITAL, LLC
MIAMISBURG, OH, USA
RESIGNED

I

INVESTMENT PROFE
INVESTMENT PROFESSIONALS, INC.
SAN ANTONIO, TX, UNITED STATES
RESIGNED

K

KGS-ALPHA CAPITA
KGS-ALPHA CAPITAL MARKETS, L.P.
NEW YORK, NY, U.S.
RESIGNED

L

LEVY, HARKINS &
LEVY, HARKINS & CO., INC.
NEW YORK, NY, UNITED STATES
RESIGNED

LONG NECK SERVIC
LONG NECK SERVICES LLC
17 OLD KINGS HIGHWAY, SUITE 140, DARIEN, CT 06820
ADMITTED

M

MCA SECURITIES
MCA SECURITIES
3060 PEACHTREE ROAD NW, ATLANTA, GA 30305
ADMITTED

MEADOWVALE ADVIS
MEADOWVALE ADVISORS LLC
NAME CHANGED TO: CABOT LANE LLC

MEADOWVALE ADVIS
CABOT LANE LLC
NEW NAME OF: MEADOWVALE ADVISORS LLC

MERCANTIL INVEST
MERCANTIL INVESTMENT SERVICES, INC.
NAME CHANGED TO: AMERANT INVESTMENTS, INC.

MERCANTIL INVEST
AMERANT INVESTMENTS, INC.
NEW NAME OF: MERCANTIL INVESTMENT SERVICES, INC.

MNR EXECUTIONS,
MNR EXECUTIONS, LLC
CHICAGO, IL, USA
RESIGNED

MOUNTAINSIDE SEC
MOUNTAINSIDE SECURITIES LLC
450 SPRINGFIELD AVENUE,, SUITE 201, SUMMIT, NJ 07901
ADMITTED

N

NAVIGANT CAPITAL
NAVIGANT CAPITAL ADVISORS, LLC
NAME CHANGED TO: ANKURA CAPITAL ADVISORS, LLC

NAVIGANT CAPITAL
ANKURA CAPITAL ADVISORS, LLC
NEW NAME OF: NAVIGANT CAPITAL ADVISORS, LLC

NIGHTSKY SECURIT
NIGHTSKY SECURITIES LLC
39 BROADWAY SUITE 3300, NEW YORK, NY 10006
ADMITTED

O

OLSTEIN CAPITAL
OLSTEIN CAPITAL MANAGEMENT, L.P.
PURCHASE, NY, UNITED STATES
RESIGNED

P

P. R. HERZIG & C
P. R. HERZIG & CO. INC.
ROSLYN HEIGHTS, NY, UNITED STATES
RESIGNED

PACES BATTLE GRO
PACES BATTLE GROUP, INC.
ALPHARETTA, GA, UNITED STATES
CANCELED FOR FAILURE TO MEET THE ELIGIBILITY OR QUALIFICATION STANDARDS OR PREREQUISITES FOR ACCESS TO SERVICES.

R

REPOWER CAPITAL
REPOWER CAPITAL NETWORK, LLC
NAME CHANGED TO: ZYNCAP SECURITIES, LLC

REPOWER CAPITAL
ZYNCAP SECURITIES, LLC
NEW NAME OF: REPOWER CAPITAL NETWORK, LLC

RIVERBANK CAPITA
RIVERBANK CAPITAL SECURITIES, INC.
NEW YORK, NY
RESIGNED

ROYAL ALLIANCE A
INTEGRATED INVESTMENTS, INC.
SIGNATOR INVESTORS, INC.
MERGED JOHN HANCOCK DISTRIBUTORS, INC.
TO FORM ROYAL ALLIANCE ASSOCIATES, INC.

ROYAL ALLIANCE A
INTEGRATED INVESTMENTS, INC.
SIGNATOR INVESTORS, INC.
MERGED JOHN HANCOCK DISTRIBUTORS, INC.
TO FORM ROYAL ALLIANCE ASSOCIATES, INC.

S

SAYBRUS EQUITY S
SAYBRUS EQUITY SERVICES, INC
NAME CHANGED TO: SAYBRUS EQUITY SERVICES, LLC

SAYBRUS EQUITY S
SAYBRUS EQUITY SERVICES, LLC
NEW NAME OF: SAYBRUS EQUITY SERVICES, INC

T

THE YALE GROUP,
THE YALE GROUP, INC.
NAME CHANGED TO: CBC SECURITIES, INC.

THE YALE GROUP,
CBC SECURITIES, INC.
NEW NAME OF: THE YALE GROUP, INC.

TRADE MANAGE CAP
TRADE MANAGE CAPITAL, INC.
WALDWICK, NJ, UNITED STATES
RESIGNED

V

VGL GLOBAL LLC
VGL GLOBAL LLC
NAME CHANGED TO: AENIGMA ADVISORS LLC

VGL GLOBAL LLC
AENIGMA ADVISORS LLC
NEW NAME OF: VGL GLOBAL LLC

VISION 4 FUND DI
VISION 4 FUND DISTRIBUTORS
9260 E. RAINTREE DRIVE, SUITE 100, SCOTTSDALE, AZ 85260
ADMITTED

W

WAFRA SECURITIES
WAFRA SECURITIES CORPORATION
NEW YORK, NY
RESIGNED

WESTPORT RESOURC
WESTPORT RESOURCES INVESTMENT SERVICES, INC.
NAME CHANGED TO: SMH CAPITAL INVESTMENTS LLC

WESTPORT RESOURC
SMH CAPITAL INVESTMENTS LLC
NEW NAME OF: WESTPORT RESOURCES INVESTMENT SERVICES, INC.

Y

YUKI-CO, LLC
YUKI-CO, LLC
2173 WALKER LANE, SALT LAKE CITY, UT 84117
ADMITTED

For the period of 10/1/2018 through 10/31/2018

A

ARC SECURITIES,
ARC SECURITIES, LLC
WASHINGTON, DC, UNITED STATES
RESIGNED

ASCENSUS BROKER
ASCENSUS BROKER DEALER SERVICES, LLC
MERGED ASCENSUS FINANCIAL SERVICES, LLC.
EFC FINANCIAL SERVICES, LLC
TO FORM ASCENSUS BROKER DEALER SERVICES, LLC

B

BCS PLACEMENTS,
BCS PLACEMENTS, LLC
NAME CHANGED TO: 1964 GLOBAL

BCS PLACEMENTS,
1964 GLOBAL
NEW NAME OF: BCS PLACEMENTS, LLC

C

CADENA SECURITIE
CADENA SECURITIES SERVICES, LLC.
NAME CHANGED TO: NETREX CAPITAL MARKETS, LLC

CADENA SECURITIE
NETREX CAPITAL MARKETS, LLC
NEW NAME OF: CADENA SECURITIES SERVICES, LLC.

CAMBRIDGE INVEST
TO FORM CAMBRIDGE INVESTMENT RESEARCH, INC.
ACQUIRED BROKER DEALER FINANCIAL SERVICES CORP.

CAMBRIDGE INVEST
TO FORM CAMBRIDGE INVESTMENT RESEARCH, INC.
ACQUIRED BDF INVESTMENTS AND IBA SECURITIES

CAMBRIDGE INVEST
TO FORM CAMBRIDGE INVESTMENT RESEARCH, INC.
ACQUIRED INVESTCENTRAL

CAMBRIDGE INVEST
TO FORM CAMBRIDGE INVESTMENT RESEARCH, INC.
ACQUIRED D. K. THIELEKE SECURITIES, INC.

D

DAKOTA SECURITIE
DAKOTA SECURITIES INTERNATIONAL, INC.
MIAMI, FL, USA
RESIGNED

E

EDGE CORPORATE F
EDGE CORPORATE FINANCE, LLC
NAME CHANGED TO: EHCP CORPORATE FINANCE, LLC

EDGE CORPORATE F
EHCP CORPORATE FINANCE, LLC
NEW NAME OF: EDGE CORPORATE FINANCE, LLC

EQUITY INVESTMEN
EQUITY INVESTMENT SERVICES, INC
LAKE WORTH, FL, UNITED STATES
RESIGNED

F

FIRST BANK PUERT
FIRST BANK PUERTO RICO SECURITIES, CORP.
SAN JUAN, PR
RESIGNED

FORESIDE FINANCI
TO FORM FORESIDE FINANCIAL SERVICES, LLC
ACQUIRED LORING WARD SECURITIES INC.

FORESIDE FINANCI
TO FORM FORESIDE FINANCIAL SERVICES, LLC
ACQUIRED ASSANTE CAPITAL MANAGEMENT INC.

FORESIDE FINANCI
TO FORM FORESIDE FINANCIAL SERVICES, LLC
ACQUIRED RWB SECURITIES INC.

L

LWPARTNERS CAPIT
LWPARTNERS CAPITAL GROUP LLC
NEW YORK, NY, USA
RESIGNED

M

MARPINE SECURITI
MARPINE SECURITIES LLC
39 BROADWAY, SUITE 3300, NEW YORK, NY 10006
ADMITTED

METZLER SECURITI
METZLER SECURITIES GMBH
FRANKFURT AM MAIN, GERMANY
RESIGNED

N

NEST INVESTMENTS
NEST INVESTMENTS BD LLC
1845 WALNUT STREET, 22ND FLOOR, PHILADELPHIA, PA 19103-4722
ADMITTED

NEXTSEED SECURIT
NEXTSEED SECURITIES, LLC
3 GREENWAY PLAZA, SUITE 110, HOUSTON, TX 77046
MAILING ADDRESS: 3 GREENWAY PLAZA, SUITE 110, HOUSTON, TX 77046
ADMITTED

NORTHSTAR SECURI
NORTHSTAR SECURITIES, LLC
GREENWOOD VILLAGE, CO, USA
RESIGNED

P

PEAK6 MARKETS LL
PEAK6 MARKETS LLC
NAME CHANGED TO: DOUGH LLC

PEAK6 MARKETS LL
DOUGH LLC
NEW NAME OF: PEAK6 MARKETS LLC

PHILIP J. GREENB
PHILIP J. GREENBLATT SECURITIES LTD
NORTHBROOK, IL, UNITED STATES
RESIGNED

R

RAYMOND JAMES IN
RAYMOND JAMES INSURANCE GROUP, INC.
ST. PETERSBURG, FL, USA
RESIGNED

REDBIRD BD LLC
REDBIRD BD LLC
667 MADISON AVE, 16TH FLOOR, NEW YORK, NY 10065
ADMITTED

RELIABLE IMMIGRA
RELIABLE IMMIGRATION SOLUTIONS ENTERPRISES, INC.
WINCHESTER, MA, USA
RESIGNED

ROCKEFELLER FINA
ROCKEFELLER FINANCIAL LLC
10 ROCKEFELLER PLAZA, NEW YORK, NY 10020
MAILING ADDRESS: 10 ROCKEFELLER PLAZA, NEW YORK, NY 10022
ADMITTED

S

SITUS CAPITAL MA
SITUS CAPITAL MANAGEMENT LLC
ATLANTA, GA, USA
RESIGNED

T

TOKEN FOUNDRY SE
TOKEN FOUNDRY SECURITIES LLC
NAME CHANGED TO: CONSENSYS DIGITAL SECURITIES LLC

TOKEN FOUNDRY SE
CONSENSYS DIGITAL SECURITIES LLC
NEW NAME OF: TOKEN FOUNDRY SECURITIES LLC

W

WHEELHOUSE SECUR
WHEELHOUSE SECURITIES CORPORATION
ST. LOUIS, MO
RESIGNED