Changes to List of Firms We Regulate

For the period of 02/01/2015 through 02/28/2015

A

 

AFS SECURITIES,
AFS SECURITIES, LLC
404 WYMAN STREET, SUITE 100, WALTMAN, MA 02451
ADMITTED

 

A.M. OPPENHEIMER
A.M. OPPENHEIMER SECURITIES,INC.
SAN DIEGO, CA, UNITED STATES
RESIGNED

 

ANGEL ISLAND CAP
ANGEL ISLAND CAPITAL SERVICES, LLC
ONE EMBARCADERO CENTER, SUITE 2110, SAN FRANCISCO, CA 94111
1 EMBARCADERO CENTER, SUITE 2110, SAN FRANCISCO, CA 94111
ADMITTED

ANGELES CAPITAL
ANGELES CAPITAL GROUP, LLC
LACANADA FLINTRIDGE, CA, USA
RESIGNED

 

ANNASCAUL ADVISO
ANNASCAUL ADVISORS LLC
STAMFORD, CT, UNITED STATES
RESIGNED

 

APT HEALTHCARE C
APT HEALTHCARE CAPITAL
18100 VON KARMAN, SUITE 500, IRVINE, CA 92612
ADMITTED

 

ASCENT REAL ESTA
ASCENT REAL ESTATE SECURITIES, LLC
NAME CHANGED TO: CATALYST MUTUALS FUND DISTRIBUTORS LLC


ASCENT REAL ESTA
CATALYST MUTUALS FUND DISTRIBUTORS LLC
NEW NAME OF: ASCENT REAL ESTATE SECURITIES, LLC

 

B

 

BANIF SECURITIES
BANIF SECURITIES INC
MIAMI, FL, UNITED STATES
RESIGNED

 

BEDMINSTER FINAN
BEDMINSTER FINANCIAL GROUP, LIMITED
HOLICONG, PA, UNITED STATES
RESIGNED

 

BLUE CREEK SECUR
BLUE CREEK SECURITIES, LLC
NAME CHANGED TO: KEEL POINT CAPITAL, LLC

 

BLUE CREEK SECUR
KEEL POINT CAPITAL, LLC
NEW NAME OF: BLUE CREEK SECURITIES, LLC

 

BOSTON EQUITY AD
BOSTON EQUITY ADVISORS, LLC
CANTON, MA, USA
RESIGNED

C

 

CAPITAL ONE SHAR
CAPITAL ONE SHAREBUILDER, INC.
NAME CHANGED TO: CAPITAL ONE INVESTING, LLC

 

CAPITAL ONE SHAR
CAPITAL ONE INVESTING, LLC
NEW NAME OF: CAPITAL ONE SHAREBUILDER, INC.

 

CB REALTY SALES,
CB REALTY SALES, INC.
SCOTTSDALE, AZ, UNITED STATES
RESIGNED

 

CERES CAPITAL AD
CERES CAPITAL ADVISORS
NAME CHANGED TO: DINAN CAPITAL ADVISORS, CERES CAPITAL ADVISORS

 

CERES CAPITAL AD
DINAN CAPITAL ADVISORS, CERES CAPITAL ADVISORS
NEW NAME OF: CERES CAPITAL ADVISORS

 

COHEN FINANCIAL
COHEN FINANCIAL EQUITIES LLC
CHICAGO, IL
RESIGNED

 

COOPERATIVE OF A
COOPERATIVE OF AMERICAN PHYSICIANS INSURANCE SERVICES, INC.
LOS ANGELES, CA
RESIGNED

 

C.P. BAKER SECUR
C.P. BAKER SECURITIES INCORPORATED
BOSTON, MA, UNITED STATES
RESIGNED

 

CQ SOLUTIONS, LL
CQ SOLUTIONS, LLC
CHICAGO, IL
RESIGNED

 

CROFT & BENDER,
CROFT & BENDER, LLC
NAME CHANGED TO: CROFT & BENDER, LP

 

CROFT & BENDER,
CROFT & BENDER, LP
NEW NAME OF: CROFT & BENDER, LLC

 

CROSSROADS CAPIT
CROSSROADS CAPITAL DISTRIBUTORS, LLC
NAME CHANGED TO: APT HEALTHCARE CAPITAL

 

CROSSROADS CAPIT
APT HEALTHCARE CAPITAL
NEW NAME OF: CROSSROADS CAPITAL DISTRIBUTORS, LLC

D

 

DECOSIMO CORPORA
DECOSIMO CORPORATE FINANCE, LLC
NAME CHANGED TO: DCF, LLC

 

DECOSIMO CORPORA
DCF, LLC
NEW NAME OF: DECOSIMO CORPORATE FINANCE, LLC

 

DOMINICK & DOMIN
DOMINICK & DOMINICK LLC
NAME CHANGED TO: DOMINICK & DICKERMAN LLC

 

DOMINICK & DOMIN
DOMINICK & DICKERMAN LLC
NEW NAME OF: DOMINICK & DOMINICK LLC

E

 

EDELWEISS FINANC
EDELWEISS FINANCIAL SERVICES INC.
1979 MARCUS AVENUE STE 210, LAKE SUCCESS, NY 11004
ADMITTED

 

EMG CAPITAL LLC
EMG CAPITAL LLC
MIAMI, FL, USA
RESIGNED

F

 

FIRST SOUTHWEST
FIRST SOUTHWEST COMPANY
NAME CHANGED TO: FIRST SOUTHWEST COMPANY, LLC

 

FIRST SOUTHWEST
FIRST SOUTHWEST COMPANY, LLC
NEW NAME OF: FIRST SOUTHWEST COMPANY

 

FLOW TRADERS U.S
FLOW TRADERS U.S. LLC
1140 AVENUE OF THE AMERICAS, 4TH FLOOR, NEW YORK, NY 10036
ADMITTED

G

 

GOLDIN ASSOCIATE
GOLDIN ASSOCIATES BROKERAGE LLC
NAME CHANGED TO: GOLDIN CAPITAL ADVISORS LLC

 

GOLDIN ASSOCIATE
GOLDIN CAPITAL ADVISORS LLC
NEW NAME OF: GOLDIN ASSOCIATES BROKERAGE LLC

 

G.X. CLARKE & CO
G.X. CLARKE & CO.
NAME CHANGED TO: INTL FCSTONE PARTNERS L.P.

 

G.X. CLARKE & CO
INTL FCSTONE PARTNERS L.P.
NEW NAME OF: G.X. CLARKE & CO.

H

 

HAMPTON SECURITI
HAMPTON SECURITIES (USA), INC.
TORONTO, ONTARIO, CANADA
RESIGNED

J

 

JANE STREET MARK
JANE STREET MARKETS, LLC
NEW YORK, NY, USA
RESIGNED

K

 

KEEL POINT INVES
KEEL POINT INVESTMENTS, LLC
VIENNA, VA
RESIGNED

L

 

LEONARD SECURITI
LEONARD SECURITIES, INC
OKLAHOMA CITY, OK, UNITED STATES
RESIGNED

 

LIQUIDITY FINANC
LIQUIDITY FINANCE LLC
NAME CHANGED TO: LIQUIDITY FINANCE LP

 

LIQUIDITY FINANC
LIQUIDITY FINANCE LP
NEW NAME OF: LIQUIDITY FINANCE LLC

 

LJS CAPITAL, LLC
LJS CAPITAL, LLC
BOULDER, CO, USA
RESIGNED

M

 

MERCARI CROSSING
MERCARI CROSSING LLC
NEW YORK, NY, USA
RESIGNED

 

MERITUS FINANCIA
MERITUS FINANCIAL GROUP, INC.
ELGIN, IL, USA
CANCELLED FOR FAILURE TO MEET THE ELIGIBILITY OR QUALIFICATION STANDARDS OR PREREQUISITES FOR ACCESS TO SERVICES.

 

MTS MARKETS INTE
MTS MARKETS INTERNATIONAL, INC.
NEW YORK, NY, USA
RESIGNED

N

 

NATIONAL BANK OF
PUTNAM, LOVELL & THORNTON INC.
NBF SECURITIES (USA) CORP.
NBC INTERNATIONAL (USA) INC.
MERGED WITH FIRST MARATHON (U.S.A.) INC.
TO FORM NATIONAL BANK OF CANADA FINANCIAL INC.

 

NORTHWINDS ADVIS
NORTHWINDS ADVISORS LLC
NAME CHANGED TO: CREATIS CAPITAL LLC

 

NORTHWINDS ADVIS

CREATIS CAPITAL LLC
NEW NAME OF: NORTHWINDS ADVISORS LLC

O

 

OPTIONSHOUSE, LL
OPTIONSHOUSE, LLC
NAME CHANGED TO: OPTIONSHOUSE1, LLC

 

OPTIONSHOUSE, LL
OPTIONSHOUSE1, LLC
NEW NAME OF: OPTIONSHOUSE, LLC

P

 

PREFERRED CAPITA
PREFERRED CAPITAL SECURITIES, LLC
3284 NORTHSIDE PARKWAY, NW, SUITE150, ATLANTA, GA 30327
3625 CUMBERLAND BLVD, STE. 1150, ATLANTA, GA 30339
ADMITTED

Q

 

QUANTUMWAVE CAPI
QUANTUMWAVE CAPITAL INC.
GEORGETOWN, CA, USA
RESIGNED

R

 

RHCA SECURITIES,
RHCA SECURITIES, LLC
5065 WESTHEIMER, SUITE 604, HOUSTON, TX 77056
5065 WESTHEIMER, SUITE 604, HOUSTON, TX 77056
ADMITTED

 

RICHARD BROTHERS
RICHARD BROTHERS FINANCIAL ADVISORS
NAME CHANGED TO: RICHARD BROTHERS SECURITIES

 

RICHARD BROTHERS
RICHARD BROTHERS SECURITIES
NEW NAME OF: RICHARD BROTHERS FINANCIAL ADVISORS

 

RK EQUITY CAPITA
RK EQUITY CAPITAL MARKETS LLC
NEW YORK, NY, USA
RESIGNED

 

ROKA CAPITAL DIS
ROKA CAPITAL DISTRIBUTORS, LLC
14362 N. FRANK LLOYD WRIGHT BLVD., STE 1000, SCOTTSDALE, AZ 85260
14362 N. FRANK LLOYD WRIGHT BLVD., STE. 1000, SCOTTSDALE, AZ 85260
ADMITTED

S

 

SEAVIEW SECURITI
SEAVIEW SECURITIES LLC
NEW YORK, NY, USA
RESIGNED

 

SHELTER BAY SECU
SHELTER BAY SECURITIES, LLC
NAME CHANGED TO: V2V SECURITIES LLC

 

SHELTER BAY SECU
V2V SECURITIES LLC
NEW NAME OF: SHELTER BAY SECURITIES, LLC

 

SIMMONS FIRST IN
SIMMONS FIRST INVESTMENT GROUP, INC.
LITTLE ROCK, AR
RESIGNED

 

SINCLAIR & COMPA
SINCLAIR & COMPANY, LLC
DARIEN, CT
RESIGNED

 

SINCERE & CO., L
SINCERE & CO., LLC
NAME CHANGED TO: SINCERE & CO.

 

SINCERE & CO., L
SINCERE & CO.
NEW NAME OF: SINCERE & CO., LLC

 

STONEWALL INVEST
STONEWALL INVESTMENTS, INC.
NAME CHANGED TO: HANOVER SECURITIES

 

STONEWALL INVEST
HANOVER SECURITIES
NEW NAME OF: STONEWALL INVESTMENTS, INC.

 

STRATA CAPITAL,
STRATA CAPITAL, INC.
DENVER, CO
RESIGNED

T

 

THOMAS M. NIXON
THOMAS M. NIXON & ASSOCIATES, INC.
PITTSBURGH, PA, UNITED STATES
RESIGNED

 

TORSIELLO SECURI
TORSIELLO SECURITIES, INC.
NEW YORK, NY, USA
RESIGNED

 

TRADE MONSTER
TRADE MONSTER
NAME CHANGED TO: OPTIONSHOUSE

 

TRADE MONSTER
OPTIONSHOUSE
NEW NAME OF: TRADE MONSTER

 

TRANS-CAP SECURI
TRANS-CAP SECURITIES, INC
NAME CHANGED TO: ZEUS SECURITIES, INC

 

TRANS-CAP SECURI
ZEUS SECURITIES, INC
NEW NAME OF: TRANS-CAP SECURITIES, INC

U

 

UNIVEST SECURITI
UNIVEST SECURITIES, INC. DBA UNIVERSAL FINANCIAL GROUP
NAME CHANGED TO: UNIVEST SECURITIES, LLC

 

UNIVEST SECURITI
UNIVEST SECURITIES, LLC
NEW NAME OF: UNIVEST SECURITIES, INC. DBA UNIVERSAL FINANCIAL GROUP

V

 

VCAP SECURITIES,
VCAP SECURITIES, LLC
NEW YORK, NY, USA
RESIGNED

W

 

WEDGE ALTERNATIV
WEDGE ALTERNATIVES LLC
LONDON, UNITED KINGDOM
RESIGNED

Z

 

ZACKS & COMPANY
ZACKS & COMPANY
NAME CHANGED TO: LBMZ SECURITIES, INC.

 

ZACKS & COMPANY
LBMZ SECURITIES, INC.
NEW NAME OF: ZACKS & COMPANY