Changes to List of Broker Dealer Firms We Regulate

For the period of 3/1/2018 through 3/31/2018

A

AFW ASSOCIATES L
AFW ASSOCIATES LLC
1185 AVENUE OF THE AMERICAS, 3RD FLOOR, NEW YORK, NY 10036
ADMITTED

ALPACA SECURITIE
ALPACA SECURITIES LLC
217 SOUTH B STREET, SUITES 2 & 4, SAN MATEO, CA 94401
MAILING ADDRESS: 217 SOUTH B STREET, SUITES 2&4, SAN MATEO, CA 94401
ADMITTED

B

BD4RIA, INC.
BD4RIA, INC.
3520 WEST VICKERY BLVD., FORT WORTH, TX 76107
ADMITTED

BUMPED FINANCIAL
BUMPED FINANCIAL LLC
6420 SW MACADAM AVE, SUITE 150, PORTLAND, OR 97239
MAILING ADDRESS: 6420 SW MACADAM, SUITE 150, PORTLAND, OR 97239
ADMITTED

C

CAIN BROTHERS &
CAIN BROTHERS & COMPANY, LLC
NEW YORK, NY, UNITED STATES
RESIGNED

CAPITAL ASSET AD
CAPITAL ASSET ADVISORS, INC.
OYSTER BAY, NY, UNITED STATES
RESIGNED

CIMB SECURITIES
CIMB SECURITIES (USA), INC.
NAME CHANGED TO: CGS - CIMB SECURITIES (USA), INC.

CIMB SECURITIES
CGS - CIMB SECURITIES (USA), INC.
NEW NAME OF: CIMB SECURITIES (USA), INC.

CLARY INVESTMENT
CLARY INVESTMENT AND INSURANCE PLANNING CORP.
SO. EASTON, MA, UNITED STATES
RESIGNED

CMG SECURITIES L
CMG SECURITIES LLC
3160 CROW CANYON ROAD SUITE #345, SAN RAMON, CA 94583
MAILING ADDRESS: 3160 CROW CANYON ROAD SUITE #290, SAN RAMON, CA 94583
ADMITTED

COLE CAPITAL COR
COLE CAPITAL CORPORATION
NAME CHANGED TO: CCO CAPITAL, LLC

COLE CAPITAL COR
CCO CAPITAL, LLC
NEW NAME OF: COLE CAPITAL CORPORATION

CROSS RESEARCH
CROSS RESEARCH
MILLBURN, NJ
RESIGNED

CROSSROADS CAPIT
CROSSROADS CAPITAL DISTRIBUTORS, LLC
NAME CHANGED TO: CR CAPITAL DISTRIBUTORS, LLC

CROSSROADS CAPIT
CR CAPITAL DISTRIBUTORS, LLC
NEW NAME OF: CROSSROADS CAPITAL DISTRIBUTORS, LLC

D

DALZELL TRADING,
DALZELL TRADING, LLC
20 MAIN STREET, SUITE 203A, NATICK, MA 01760
ADMITTED

DART EXECUTIONS,
DART EXECUTIONS, LLC
NAME CHANGED TO: RONIN PROFESSIONAL LLC

DART EXECUTIONS,
RONIN PROFESSIONAL LLC
NEW NAME OF: DART EXECUTIONS, LLC

DCS ADVISORY LLC
SAGENT ADVISORS, INC.
MERGED SIGNAL HILL CAPITAL GROUP LLC
TO FORM DCS ADVISORY LLC

DEUTSCHE AM DIST
DEUTSCHE AM DISTRIBUTORS, INC.
NAME CHANGED TO: DWS DISTRIBUTORS, INC.

DEUTSCHE AM DIST
DWS DISTRIBUTORS, INC.
NEW NAME OF: DEUTSCHE AM DISTRIBUTORS, INC.

E

EAGLE LEDGE CAPI
EAGLE LEDGE CAPITAL, LLC
FRESNO, CA, USA
RESIGNED

F

FFC CAPITAL ADVI
FFC CAPITAL ADVISORS, LLC
NEW ORLEANS, LA
RESIGNED

FULCRUM SECURITI
FULCRUM SECURITIES, LLC
SAINT LOUIS, MO, USA
EXPELLED FOR FAILED PAY FINES AND/OR COSTS.

I

INDEPENDENT BROK
INDEPENDENT BROKERS LLC
WOODBURY, NY, U S A
RESIGNED

INVICTA CAPITAL
INVICTA CAPITAL LLC
606 CORBET STREET, TARENTUM, PA 15084
MAILING ADDRESS: P.O. BOX 505, TARENTUM, PA 15084
ADMITTED

K

KOMODO SECURITIE
KOMODO SECURITIES LLC
39 BROADWAY, SUITE 3300, NEW YORK, NY 10006
ADMITTED

M

MARTIN WOLF
MARTIN WOLF
NAME CHANGED TO: MARTINWOLF

MARTIN WOLF
MARTINWOLF
NEW NAME OF: MARTIN WOLF

O

OXFORD CAPITAL,
OXFORD CAPITAL, LLC
NEW YORK, NY, USA
RESIGNED

P

PHASE ONE FINANC
PHASE ONE FINANCIAL SERVICES, LLC
450 LEXINGTON AVENUE, 4TH FLOOR, NEW YORK, NY 10017
MAILING ADDRESS: 450 LEXINGTON AVENUE, 4TH FLOOR, NEW YORK, NY 10017
ADMITTED

Q

QUILVEST SECURIT
QUILVEST SECURITIES LLC
527 MADISON AVENUE, 11TH FLOOR, NEW YORK, NY 10022
ADMITTED

R

RH INVESTMENT CO
RH INVESTMENT CORPORATION
GLENDALE, CA, UNITED STATES
RESIGNED

RICHARD D. SCHUB
RICHARD D. SCHUBERT, INC.
EAST LANSING, MI, UNITED STATES
RESIGNED

S

SAGENT ADVISORS,
SAGENT ADVISORS, LLC
NAME CHANGED TO: DCS ADVISORY LLC

SAGENT ADVISORS,
DCS ADVISORY LLC
NEW NAME OF: SAGENT ADVISORS, LLC

SAVILLS STUDLEY
SAVILLS STUDLEY SECURITIES LLC
399 PARK AVENUE, 11TH FLOOR, NEW YORK, NY 10022
MAILING ADDRESS: 399 PARK AVENUE, 11TH FLOOR, NEW YORK, NY 10022
ADMITTED

STIFEL, NICOLAUS
TO FORM STIFEL, NICOLAUS & COMPANY, INCORPORATED
ACQUIRED B. C. ZIEGLER AND COMPANY

T

TAYLOR FINANCIAL
TAYLOR FINANCIAL SERVICES, LLC
WASHINGTON, DC, USA
RESIGNED

THE DARCY GROUP
THE DARCY GROUP LLC
SYRACUSE, NY, UNITED STATES
RESIGNED

THE ORR GROUP, L
THE ORR GROUP, LLC
WINSTON-SALEM, NC, USA
RESIGNED

THE TRANSPORTATI
THE TRANSPORTATION GROUP (SECURITIES) LIMITED
122 EAST 42ND STREET SUITE 2018, NEW YORK,, NY 10168
MAILING ADDRESS: 122 EAST 42ND STREET SUITE 2018, NEW YORK,, NY 10168
ADMITTED

THS LTD.
THS LTD.
NEW YORK, NY
RESIGNED

V

VENTURE PARTNERS
VENTURE PARTNERS CAPITAL, L.L.C.
EAST BERLIN, CT, UNITED STATES
RESIGNED

W

WFG INVESTMENTS,
WFG INVESTMENTS, INC.
DALLAS, TX, UNITED STATES
RESIGNED

X

XLII FINANCIAL S
XLII FINANCIAL SERVICES LLC
10023 APPLE CREEK DRIVE, DALLAS, TX 75243
ADMITTED