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

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: 10/9/2018

For the period of 9/1/2018 through 9/30/2018

A

AMERICAN DISCOVE
AMERICAN DISCOVERY ADVISORS, LLC
11150 SANTA MONICA BLVD, STE 1425, LOS ANGELES, CA 90025
MAILING ADDRESS: 11150 SANTA MONICA BLVD, STE 1425, LOS ANGELES, CA 90025
ADMITTED

AMERIPRISE FINAN
AMERIPRISE FINANCIAL SERVICES, INC.
INVESTMENT PROFESSIONALS, INC.

AVANT-GARDE TRAD
AVANT-GARDE TRADING SECURITIES
230 W. MONROE, SUITE 845, CHICAGO, IL 60606
ADMITTED

B

BEESPOKE CAPITAL
BEESPOKE CAPITAL
205 S MARION PKWY, DENVER, CO 80209
ADMITTED

BERKSHIRE CAPITA
BERKSHIRE CAPITAL SECURITIES LLC
NAME CHANGED TO: BERKSHIRE GLOBAL ADVISORS LP

BERKSHIRE CAPITA
BERKSHIRE GLOBAL ADVISORS LP
NEW NAME OF: BERKSHIRE CAPITAL SECURITIES LLC

BERNSTEIN HEBERT
BERNSTEIN HEBERT SECURITIES LLC
655 MADISON AVENUE 20TH FL., NEW YORK, NY 10065
ADMITTED

BLUESTONE CAPITA
BLUESTONE CAPITAL PARTNERS, LLC
MCLEAN, VA, USA
RESIGNED

BMO CAPITAL MARK
HARRIS NESBITT GERARD, INC.
MERGED KGS-ALPHA CAPITAL MARKETS, L.P.
KGS-ALPHA CAPITAL MARKETS LLC
TO FORM BMO CAPITAL MARKETS CORP.

C

CDX ADVISORS LLC
CDX ADVISORS LLC
NAME CHANGED TO: CDX ADVISORS

CDX ADVISORS LLC
CDX ADVISORS
NEW NAME OF: CDX ADVISORS LLC

COSSE' INTERNATI
COSSE' INTERNATIONAL SECURITIES, INC.
SEATTLE, WA, UNITED STATES
RESIGNED

COWEN PRIME SERV
COWEN PRIME SERVICES LLC
NAME CHANGED TO: COWEN PRIME SERVICES LLC

COWEN PRIME SERV
COWEN PRIME SERVICES LLC
NEW NAME OF: COWEN PRIME SERVICES LLC

COWEN OUTSOURCED
COWEN OUTSOURCED TRADING
NAME CHANGED TO: COWEN PRIME SERVICES LLC

COWEN OUTSOURCED
COWEN PRIME SERVICES LLC
NEW NAME OF: COWEN OUTSOURCED TRADING

D

DEALER SOLUTIONS
DEALER SOLUTIONS NORTH AMERICA LLC
NAME CHANGED TO: ILIAD SECURITIES LLC

DEALER SOLUTIONS
ILIAD SECURITIES LLC
NEW NAME OF: DEALER SOLUTIONS NORTH AMERICA LLC

DOCK SQUARE SECU
DOCK SQUARE SECURITIES , LLC
1200 ANASTASIA AVENUE, SUITE 500, CORAL GABLES, FL 33134-7577
ADMITTED

 

E

 

EMPIRE EXECUTION
EMPIRE EXECUTIONS, INC.
NEW YORK, NY, UNITED STATES
RESIGNED

EURONEXT SYNAPSE
EURONEXT SYNAPSE LLC
110 WALL STREET, SUITE 5070, NEW YORK, NY 10005
MAILING ADDRESS: 110 WALL STREET, SUITE 5-070, NEW YORK, NY 10005
ADMITTED

G

GOULD, AMBROSON
GOULD, AMBROSON & ASSOCIATES LTD.
GARDEN CITY, NY, UNITED STATES
RESIGNED

H

HEALTHIOS CAPITA
HEALTHIOS CAPITAL MARKETS, LLC
NAME CHANGED TO: THIRD500, LLC

HEALTHIOS CAPITA
THIRD500, LLC
NEW NAME OF: HEALTHIOS CAPITAL MARKETS, LLC

I

IMS SECURITIES,
IMS SECURITIES, INC.
HOUSTON, TX, UNITED STATES
EXPELLED FOR FAILURE TO PAY FINES AND/OR COSTS

INTL CUSTODY & C
INTL CUSTODY & CLEARING SOLUTIONS INC.
BIRMINGHAM, AL, UNITED STATES
RESIGNED

INVEST FINANCIAL
INVEST FINANCIAL CORPORATION
APPLETON, WI, UNITED STATES
RESIGNED

INVESTMENT CENTE
INVESTMENT CENTERS OF AMERICA, INC.
APPLETON, WI, UNITED STATES
RESIGNED

M

MAGSTAR CAPITAL,
MAGSTAR CAPITAL, LLC
201 WILLETT AVENUE, #PH416, PORT CHESTER, NY 10573
ADMITTED

N

NATIONAL PLANNIN
NATIONAL PLANNING CORPORATION
LOS ANGELES, CA, UNITED STATES
RESIGNED

O

OPPORTUNE PARTNE
OPPORTUNE PARTNERS LLC
711 LOUISIANA STREET, SUITE 3100, HOUSTON, TX 77002
ADMITTED

P

PROATHLETE SECUR
PROATHLETE SECURITIES LLC
733 3RD AVE, 16TH FL, NEW YORK, NY 10017
MAILING ADDRESS: 45 WEST 45 STREET, 15TH FLOOR, NEW YORK, NY 10036
ADMITTED

S

SCOTTRADE, INC.
SCOTTRADE, INC.
ST. LOUIS, MO, UNITED STATES
RESIGNED

SII INVESTMENTS,
SII INVESTMENTS, INC.
APPLETON, WI, UNITED STATES
RESIGNED

SUN LIFE FINANCI
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
WELLESLEY HILLS, MA, UNITED STATES
RESIGNED

T

TIGERBRIDGE CAPI
TIGERBRIDGE CAPITAL
115 BROADWAY, 5TH FLOOR, NEW YORK, NY 10006
ADMITTED

V

VTB CAPITAL INC.
VTB CAPITAL INC.
NAME CHANGED TO: XTELLUS CAPITAL PARTNERS, INC.

VTB CAPITAL INC.
XTELLUS CAPITAL PARTNERS, INC.
NEW NAME OF: VTB CAPITAL INC.

W

WEALTHFRONT BROK
WEALTHFRONT BROKERAGE CORPORATION
NAME CHANGED TO: WEALTHFRONT BROKERAGE LLC

WEALTHFRONT BROK
WEALTHFRONT BROKERAGE LLC
NEW NAME OF: WEALTHFRONT BROKERAGE CORPORATION

For the period of 8/1/2018 through 8/31/2018

A

AMERICAN VETERAN
AMERICAN VETERANS GROUP, PBC
19 CAMEL HOLLOW ROAD, LLOYD HARBOR, NY 11743
MAILING ADDRESS: 114 HARVEST DRIVE, CHARLOTTESVILLE, VA 22903
ADMITTED

ANTHEM SECURITIE
ANTHEM SECURITIES, INC.
PITTSBURGH, PA, UNITED STATES
RESIGNED

APPLIED CAPITAL,
APPLIED CAPITAL, LLC
NAME CHANGED TO: FNEX CAPITAL, LLC

APPLIED CAPITAL,
FNEX CAPITAL, LLC
NEW NAME OF: APPLIED CAPITAL, LLC

AQR INVESTMENTS,
AQR INVESTMENTS, LLC
TWO GREENWICH PLAZA, GREENWICH, CT 06830
ADMITTED

B

BURKE & QUICK PA
BURKE & QUICK PARTNERS LLC
UNIONDALE, NY, USA
RESIGNED

C

CHRYSALIS CAPITA
CHRYSALIS CAPITAL GROUP, LLC
SAN FRANCISCO, CA, USA
CANCELLED FOR FAILURE TO PAY ARBITRATION FEES

CPIBD LLC
CPIBD LLC
NEW YORK, NY, UNITED STATES
EXPELLED FOR FAILURE TO REQUEST TERMINATION OF SUSPENSION (RE: MARCH 2018 SUPPLEMENTAL STATEMENT OF INCOME REPORT) WITHIN THREE MONTHS OF THE NOTICE OF SUSPENSION

CSG CAPITAL ADVI
CSG CAPITAL ADVISORS, LLC
ORLANDO, FL, USA
RESIGNED

CSSC BROKERAGE S
CSSC BROKERAGE SERVICES, INC.
TROY, MI
RESIGNED

E

ELKHORN SECURITI
ELKHORN SECURITIES, LLC
WHEATON, IL, UNITED STATES
CANCELLED FOR FAILURE TO PAY OUTSTANDING FEES

EMBONDS INC.
EMBONDS INC.
NEW YORK, NY, USA
RESIGNED

EMPALA SECURITIE
EMPALA SECURITIES, LLC
32 ROSS COMMON, SUITE 200, ROSS, CA 94957
MAILING ADDRESS: PO BOX 2565, SAN ANSELMO, CA 94960
ADMITTED

ENERGYNET.COM, I
ENERGYNET.COM, INC.
NAME CHANGED TO: ENERGYNET.COM, LLC.

ENERGYNET.COM, I
ENERGYNET.COM, LLC.
NEW NAME OF: ENERGYNET.COM, INC.

F

FORTRESS PRIVATE
FORTRESS PRIVATE LEDGER, LLC
5623-141 DURALEIGH RD, RALEIGH, NC 27612-2700
ADMITTED

G

GOVERNMENT PERSP
GOVERNMENT PERSPECTIVES, LLC
LAFAYETTE, CA, UNITED STATES
RESIGNED

H

HARRIS WILLIAMS
HARRIS WILLIAMS & CO.
NAME CHANGED TO: HARRIS WILLIAMS

HARRIS WILLIAMS
HARRIS WILLIAMS
NEW NAME OF: HARRIS WILLIAMS & CO.

I

ILIAD SECURITIES
ILIAD SECURITIES LLC
NAME CHANGED TO: DEALER SOLUTIONS NORTH AMERICA LLC

ILIAD SECURITIES
DEALER SOLUTIONS NORTH AMERICA LLC
NEW NAME OF: ILIAD SECURITIES LLC

J

J. FRED MUGGS SE
J. FRED MUGGS SECURITIES LLC
NAME CHANGED TO: GALAXY DIGITAL ADVISORS LLC

J. FRED MUGGS SE
GALAXY DIGITAL ADVISORS LLC
NEW NAME OF: J. FRED MUGGS SECURITIES LLC

JG3, LLC
JG3, LLC
NAME CHANGED TO: FORTRESS PRIVATE LEDGER, LLC

JG3, LLC
FORTRESS PRIVATE LEDGER, LLC
NEW NAME OF: JG3, LLC

JIKO SECURITIES
JIKO SECURITIES INC.
1935 ADDISON ST SUITE A, BERKELEY, CA 94704
MAILING ADDRESS: 1935 ADDISON ST SUITE A, BERKELEY, CA 94704
ADMITTED

L

LANIER SECURITIE
LANIER SECURITIES LLC
BUFORD, GA
CANCELLED FOR FAILURE TO PAY OUTSTANDING FEES.

LARADORBECKER SE
LARADORBECKER SECURITIES CORPORATION
THE WOODLANDS, TX, USA
RESIGNED

LUCKYSTRIKE SECU
LUCKYSTRIKE SECURITIES LLC
39 BROADWAY, SUITE 3300, NEW YORK, NY 10006
ADMITTED

M

MONEY MANAGEMENT
MONEY MANAGEMENT ADVISORY, INC.
FEASTERVILLE, PA, UNITED STATES
RESIGNED

R

RUTBERG & COMPAN
RUTBERG & COMPANY, LLC
SAN FRANCISCO, CA, USA
RESIGNED

S

SPOONHILL ASSET
SPOONHILL ASSET MANAGEMENT INC.
NAME CHANGED TO: SPOONHILL ASSET MANAGEMENT, INC.

SPOONHILL ASSET
SPOONHILL ASSET MANAGEMENT, INC.
NEW NAME OF: SPOONHILL ASSET MANAGEMENT INC.

SUN TRADING LLC
SUN TRADING LLC
NAME CHANGED TO: HRT EXECUTION SERVICES LLC

SUN TRADING LLC
HRT EXECUTION SERVICES LLC
NEW NAME OF: SUN TRADING LLC

T

TCG CAPITAL MARK
TCG CAPITAL MARKETS L.L.C.
520 MADISON AVENUE, 38TH FLOOR, NEW YORK, NY 10022
ADMITTED

TRUMP SECURITIES
TRUMP SECURITIES, LLC
NAME CHANGED TO: INTE SECURITIES LLC

TRUMP SECURITIES
INTE SECURITIES LLC
NEW NAME OF: TRUMP SECURITIES, LLC

W

WAYNE HUMMER INV
WAYNE HUMMER INVESTMENTS L.L.C.
NAME CHANGED TO: WINTRUST INVESTMENTS LLC

WAYNE HUMMER INV
WINTRUST INVESTMENTS LLC
NEW NAME OF: WAYNE HUMMER INVESTMENTS L.L.C.

WILLIAM HOOD & C
WILLIAM HOOD & COMPANY
645 FIFTH AVENUE, 9TH FLOOR, NEW YORK, NY 10022
ADMITTED

WM. H. MURPHY &
WM. H. MURPHY & CO., INC.
HOUSTON, TX, UNITED STATES
RESIGNED

W.R. HAMBRECHT +
W.R. HAMBRECHT + CO., LLC
SAN FRANCISCO, CA, UNITED STATES
RESIGNED

Z

ZEUS SECURITIES,
ZEUS SECURITIES, INC
NAME CHANGED TO: ZEUS FINANCIAL, LLC

ZEUS SECURITIES,
ZEUS FINANCIAL, LLC
NEW NAME OF: ZEUS SECURITIES, INC