Changes to List of Broker Dealer Firms We Regulate

For the period of 4/1/2017 through 4/30/2017

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280 SECURITIES L
280 SECURITIES LLC
244 CALIFORNIA STREET STE. 610, SAN FRANCISCO, CA 94111
ADMITTED

A

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

APB FINANCIAL GR
APB FINANCIAL GROUP, LLC
NEW YORK, NY, UNITED STATES
RESIGNED

B

BARCLAY INVESTME
BARCLAY INVESTMENTS, INC.
NAME CHANGED TO: BARCLAY INVESTMENTS LLC

BARCLAY INVESTME
BARCLAY INVESTMENTS LLC
NEW NAME OF: BARCLAY INVESTMENTS, INC.

BLOOM SECURITIES
BLOOM SECURITIES, LLC
21500 BISCAYNE BLVD., SUITE 403, AVENTURA, FL 33180
ADMITTED

BLUE POINT SECUR
BLUE POINT SECURITIES INC.
NEW YORK, NY, USA
RESIGNED

BUCK KWASHA SECU
BUCK KWASHA SECURITIES LLC
NAME CHANGED TO: CONDUENT SECURITIES, LLC

BUCK KWASHA SECU
CONDUENT SECURITIES, LLC
NEW NAME OF: BUCK KWASHA SECURITIES LLC

BUCKLER SECURITI
BUCKLER SECURITIES LLC
3001 OCEAN DRIVE, SUITE 201, VERO BEACH, FL 32963
ADMITTED

C

CARROLLTON CAPIT
CARROLLTON CAPITAL PARTNERS, LLC
NAME CHANGED TO: MERIT HARBOR CAPITAL

CARROLLTON CAPIT
MERIT HARBOR CAPITAL
NEW NAME OF: CARROLLTON CAPITAL PARTNERS, LLC

CENTERRE CAPITAL
CENTERRE CAPITAL LLC
LAKE ST. LOUIS, MO
RESIGNED

CFA FINANCIAL LL
CFA FINANCIAL LLC
SARASOTA, FL, USA
RESIGNED

CP CAPITAL SECUR
CP CAPITAL SECURITIES
MIAMI, FL, UNITED STATES
RESIGNED

COHNREZNICK CAPI
COHNREZNICK CAPITAL MARKETS SECURITIES, LLC
NAME CHANGED TO: COHNREZNICK CAPITAL

COHNREZNICK CAPI
COHNREZNICK CAPITAL
NEW NAME OF: COHNREZNICK CAPITAL MARKETS SECURITIES, LLC

CROWDFUNDER FINA
CROWDFUNDER FINANCIAL SERVICES INC.
1434 6TH STREET, SUITE 4, SANTA MONICA, CA 90401-2527
ADMITTED

D

DS INVESTMENTS &
DS INVESTMENTS & FINANCIAL SERVICES
148 N. 48TH STREET, PHOENIX, AZ 85034
ADMITTED

DYNASTY CAPITAL
DYNASTY CAPITAL PARTNERS, INC.
GREENWOOD VILLAGE, CO
RESIGNED

E

EMERGENT FINANCI
EMERGENT FINANCIAL GROUP, INC.
BLOOMINGTON, MN, UNITED STATES
RESIGNED

ESSEX FINANCIAL
ESSEX FINANCIAL SERVICES, INC.
NAME CHANGED TO: ESSEX FINANCIAL

ESSEX FINANCIAL
ESSEX FINANCIAL
NEW NAME OF: ESSEX FINANCIAL SERVICES, INC.

F

FIRST BROKERAGE
FIRST BROKERAGE AMERICA, L.L.C.
CLAYTON, MO, UNITED STATES
RESIGNED

FONDSFINANS INC.
FONDSFINANS INC.
NAME CHANGED TO: BERINGER FINANCE US INC.

FONDSFINANS INC.
BERINGER FINANCE US INC.
NEW NAME OF: FONDSFINANS INC.

FTN FINANCIAL SE
FTN FINANCIAL SECURITIES CORP
MERGED COASTAL SECURITIES, INC.
COASTAL SECURITIES L.P.
COASTAL SECURITIES LTD.
COASTAL SECURITIES CORPORATION
MASTER HOLDINGS, INC.
TO FORM FTN FINANCIAL SECURITIES CORP

G

GILL CAPITAL PAR
GILL CAPITAL PARTNERS
NAME CHANGED TO: GILL CAPITAL PARTNERS, LLC

GILL CAPITAL PAR
GILL CAPITAL PARTNERS, LLC
NEW NAME OF: GILL CAPITAL PARTNERS

GRAIL SECURITIES
GRAIL SECURITIES, LLC
SAN FRANCISCO, CA, USA
RESIGNED

H

HONEY BADGER INV
HONEY BADGER INVESTMENT SECURITIES, LLC
2010 MAIN STREET, SUITE 320, IRVINE, CA 92614
ADMITTED

K

KEELEY INVESTMEN
KEELEY INVESTMENT CORP.
CHICAGO, IL, UNITED STATES
RESIGNED

L

LANIER SECURITIE
LANIER SECURITIES LLC
5328 LANIER ISLANDS PARKWAY #201, BUFORD, GA 30518
ADMITTED

LEGEND SECURITIE
LEGEND SECURITIES, INC.
NEW YORK, NY, UNITED STATES
EXPELLED FOR FAILURE TO PAY FINES AND/OR COSTS.

M

MAPLE SECURITIES
MAPLE SECURITIES U.S.A. INC.
JERSEY CITY, NJ, UNITED STATES
RESIGNED

MC ASSET MANAGEM
MC ASSET MANAGEMENT AMERICAS, LTD.
STAMFORD, CT, UNITED STATES
RESIGNED

MIRABELLA US, LL
MIRABELLA US, LLC
455 MARKET STREET, SUITE 970, SAN FRANCISCO, CA 94105
ADMITTED

MIZUHO SECURITIE
MIZUHO SECURITIES USA INC.
NAME CHANGED TO: MIZUHO SECURITIES USA LLC

MIZUHO SECURITIE
MIZUHO SECURITIES USA LLC
NEW NAME OF: MIZUHO SECURITIES USA INC.

MUFG SECURITIES
MUFG SECURITIES AMERICAS INC.
BTMU SECURITIES, INC.
BTMU FINANCIAL SERVICES, INC.
BTM FINANCIAL SERVICES, INC.
BOT FINANCIAL SERVICES, INC.
BNE FINANCIAL SERVICES, INC

N

NSX SECURITIES L
NSX SECURITIES LLC
JERSEY CITY, NJ, USA
RESIGNED

O

ORCA CAPITAL SEC
ORCA CAPITAL SECURITIES, LLC
PORTLAND, OR
RESIGNED

P

PRINCETON SECURI
PRINCETON SECURITIES GROUP, LLC
NEW YORK, NY, USA
EXPELLED FOR FAILURE TO PAY FINES AND/OR COSTS

R

RCP CAPITAL MARK
RCP CAPITAL MARKETS
NAME CHANGED TO: AEON CAPITAL INC.

RCP CAPITAL MARK
AEON CAPITAL INC.
NEW NAME OF: RCP CAPITAL MARKETS

RIDGEWAY & CONGE
RIDGEWAY & CONGER, INC.
NEW WOODSTOCK, NY
CANCELLED FOR FOR FAILURE TO PAY OUTSTANDING FEES.

S

SGI CAMBIUM SECU
SGI CAMBIUM SECURITIES LLC
NAME CHANGED TO: SGI SECURITIES LLC

SGI CAMBIUM SECU
SGI SECURITIES LLC
NEW NAME OF: SGI CAMBIUM SECURITIES LLC

SOURCE CAPITAL G
SOURCE CAPITAL GROUP, INC.
WESTPORT, CT, UNITED STATES
RESIGNED

STATE STREET GLO
STATE STREET GLOBAL MARKETS, LLC
NAME CHANGED TO: STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC

STATE STREET GLO
STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC
NEW NAME OF: STATE STREET GLOBAL MARKETS, LLC

STATE STREET NEW
STATE STREET NEWCO, LLC
NAME CHANGED TO: STATE STREET GLOBAL MARKETS, LLC

STATE STREET NEW
STATE STREET GLOBAL MARKETS, LLC
NEW NAME OF: STATE STREET NEWCO, LLC

T

THE SECURITIES C
THE SECURITIES CENTER, INC.
CHULA VISTA, CA, UNITED STATES
RESIGNED

TORTOISE SECURIT
TORTOISE SECURITIES, LLC
11550 ASH STREET, SUITE 300, LEAWOOD, KS 66211
11550 ASH STREET, SUITE 300, LEAWOOD, KS 66211
ADMITTED