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

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 208, 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: 1/4/18

For the period of 11/1/2017 through 11/30/2017

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

7000 MILES, LLC
7000 MILES, LLC
1925 CENTRAL STREET, SUITE 208, KANSAS CITY, MO 64108
ADMITTED

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

A

ANDREWS PARTNERS
ANDREWS PARTNERS
NAME CHANGED TO: LOHI SECURITIES

ANDREWS PARTNERS
LOHI SECURITIES
NEW NAME OF: ANDREWS PARTNERS

B

BEQUIA SECURITIE
BEQUIA SECURITIES, LLC
22 MILL STREET, SUITE 303, ARLINGTON, MA 02476
MAILING ADDRESS: 125 28 MILL STREET, SUITE 303, ARLINGTON, MA 02476
ADMITTED

BP SECURITIES, L
BP SECURITIES, LLC
11100 NE 8TH STREET, SUITE 400, BELLEVUE, WA 98004
ADMITTED

BRANDT, KELLY &
BRANDT, KELLY & SIMMONS SECURITIES, LLC
SOUTHFIELD, MI, USA
RESIGNED

BRANDYWINE INVES
BRANDYWINE INVESTMENT SECURITIES, LLC
CHADDS FORD, PA
RESIGNED

BUTLER MUNI, LLC
BUTLER MUNI, LLC
SAN RAMON, CA, UNITED STATES
RESIGNED

C

CADIA CAPITAL AD
CADIA CAPITAL ADVISORS, LLC
2ND FLOOR, EMBASSY HOUSE, BALLSBRIDGE, DUBLIN 4 IRELAND
MAILING ADDRESS: 1270 AVENUE OF THE AMERICAS, SUITE 2219, NEW YORK, NY 10020
ADMITTED

CETERA ADVISOR N
CETERA ADVISOR NETWORKS LLC
GIRARD SECURITIES, INC.
SELBY DIAMOND ENTERPRISES, INC.

D

DEFCOM ADVISORS,
DEFCOM ADVISORS, LLC
DALLAS, TX
RESIGNED

DRU STOCK, INC.
DRU STOCK, INC.
KINNELON, NJ, UNITED STATES
RESIGNED

E

EQUABLE SECURITI
EQUABLE SECURITIES CORPORATION
MILWAUKEE, WI, UNITED STATES
RESIGNED

ESHARES SECURITI
ESHARES SECURITIES, LLC
NAME CHANGED TO: CARTA SECURITIES, LLC

ESHARES SECURITI
CARTA SECURITIES, LLC
NEW NAME OF: ESHARES SECURITIES, LLC

F

FBR CAPITAL MARK
FRIEDMAN, BILLINGS, RAMSEY & CO., INC.
B. RILEY & CO., LLC
MERGED B. RILEY AND CO. INC.
TO FORM FBR CAPITAL MARKETS & CO.

FINANCIAL AMERIC
FINANCIAL AMERICA SECURITIES, INC.
CLEVELAND, OH, UNITED STATES
RESIGNED

G

G&L PARTNERS, IN
G&L PARTNERS, INC.
SEA CLIFF, NY, USA
RESIGNED

GLOBAL DIRECT EQ
GLOBAL DIRECT EQUITIES, LLC
NEW YORK, NY, USA
RESIGNED

H

HOLLENCREST CAPI
HOLLENCREST CAPITAL MANAGEMENT
NAME CHANGED TO: HOLLENCREST CAPITAL MANAGEMENT, LLC

HOLLENCREST CAPI
HOLLENCREST CAPITAL MANAGEMENT, LLC
NEW NAME OF: HOLLENCREST CAPITAL MANAGEMENT

I

INL SECURITIES,
INL SECURITIES, LLC
4131 NORTH CENTRAL EXPRESSWAY, SUITE 800, DALLAS, TX 75204
MAILING ADDRESS: 4131 NORTH CENTRAL EXPRESSWAY, SUITE 820, DALLAS, TX 75204 ADMITTED

L

LPL FINANCIAL LL
TO FORM LPL FINANCIAL LLC
ACQUIRED NATIONAL PLANNING CORPORATION

LPL FINANCIAL LL
TO FORM LPL FINANCIAL LLC
ACQUIRED JACKSON NATIONAL FINANCIAL SERVICES, INC.

LPL FINANCIAL LL
TO FORM LPL FINANCIAL LLC
ACQUIRED INVESTMENT CENTERS OF AMERICA, INC.

LPL FINANCIAL LL
TO FORM LPL FINANCIAL LLC
ACQUIRED FARWEST SECURITIES CORPORATION

N

NGAM DISTRIBUTIO
NGAM DISTRIBUTION, L.P.
NAME CHANGED TO: NATIXIS DISTRIBUTION, L.P.

NGAM DISTRIBUTIO
NATIXIS DISTRIBUTION, L.P.
NEW NAME OF: NGAM DISTRIBUTION, L.P.

O

OTKRITIE CAPITAL
OTKRITIE CAPITAL U.S. INC.
NEW YORK, NY, USA
RESIGNED

P

PHILLIPS CAPITAL
PHILLIPS CAPITAL
DENVER, CO, UNITED STATES
RESIGNED

PQT SERVICES LLC
PQT SERVICES LLC
NEW YORK, NY, USA
RESIGNED

R

RESOLUTE INVESTM
RESOLUTE INVESTMENT DISTRIBUTORS, INC.
220 EAST LAS COLINAS BLVD. STE. 1200, IRVING, TX 75039 ADMITTED

ROYAL SECURITIES
ROYAL SECURITIES COMPANY
GRANDVILLE, MI, UNITED STATES
RESIGNED

S

STONECROFT SECUR
STONECROFT SECURITIES LLC
RESIGNED

STRATEGAS RESEAR
STRATEGAS RESEARCH PARTNERS
NAME CHANGED TO: STRATEGAS SECURITIES, LLC DBA STRATEGAS RESEARCH PARTNERS

STRATEGAS RESEAR
STRATEGAS SECURITIES, LLC DBA STRATEGAS RESEARCH PARTNERS
NEW NAME OF: STRATEGAS RESEARCH PARTNERS

STRATEGAS RESEAR
STRATEGAS RESEARCH PARTNERS, LLC
NAME CHANGED TO: STRATEGAS SECURITIES, LLC DBA STRATEGAS RESEARCH PARTNERS

STRATEGAS RESEAR
STRATEGAS SECURITIES, LLC DBA STRATEGAS RESEARCH PARTNERS
NEW NAME OF: STRATEGAS RESEARCH PARTNERS, LLC

STRATEGIC POINT
STRATEGIC POINT SECURITIES, LLC
PROVIDENCE, RI, USA
RESIGNED

T

TAVIRA SECURITIE
TAVIRA SECURITIES US LLC
MIAMI, FL, USA
RESIGNED

TORREYA CAPITAL,
TORREYA CAPITAL, LLC
555 MADISON AVENUE, SUITE 1201, NEW YORK, NY 10022
MAILING ADDRESS: 555 MADISON AVENUE,, SUITE 1201, NEW YORK, NY 10022
ADMITTED

W

WELSH SECURITIES
WELSH SECURITIES LLC
MINNEAPOLIS, MN, USA
RESIGNED

WESTLAKE SECURIT
WESTLAKE SECURITIES
AUSTIN, TX
RESIGNED

WHITEWOOD GROUP,
WHITEWOOD GROUP, INC
NAME CHANGED TO: MM IGLOBAL INC.

WHITEWOOD GROUP,
MM IGLOBAL INC.
NEW NAME OF: WHITEWOOD GROUP, INC