Changes to List of Broker Dealer Firms We Regulate

For the period of 8/1/2016 through 8/31/2016

A

AARDVARK SECURIT
AARDVARK SECURITIES LLC
550 W JACKSON BLVD., CHICAGO, IL 60661
ADMITTED

ALLIED ASSET MAN
ALLIED ASSET MANAGEMENT, INC.
SEATTLE, WA, UNITED STATES
RESIGNED

A. R. SCHMEIDLER
A. R. SCHMEIDLER & CO., INC.
NEW YORK, NY, UNITED STATES
RESIGNED

ASTOR RIDGE N.A.
ASTOR RIDGE N.A. LLP
60 CANNON STREET, LONDON EC4N 6NP UNITED KINGDOM
ADMITTED

AVENIR FINANCIAL
AVENIR FINANCIAL GROUP
NEW YORK, NY
RESIGNED

B

BAIN CAPITAL DIS
BAIN CAPITAL DISTRIBUTORS, LLC
200 CLARENDON STREET, FLOOR 44, BOSTON, MA 02116
JOHN HANCOCK TOWER, 200 CLARENDON STREET; FLOOR 40, BOSTON, MA 02116
ADMITTED

BFIN FINANCIAL S
BFIN FINANCIAL SERVICES, LLC
440 S. LASALLE ST., STE. 900, CHICAGO, IL 60605
440 S. LASALLE ST. STE. 900, CHICAGO, IL 60605
ADMITTED

BHIL DISTRIBUTOR
BHIL DISTRIBUTORS, INC.
NAME CHANGED TO: BHIL DISTRIBUTORS, LLC

BHIL DISTRIBUTOR
BHIL DISTRIBUTORS, LLC
NEW NAME OF: BHIL DISTRIBUTORS, INC.

BOSC, INC.
BOSC, INC.
NAME CHANGED TO: BOK FINANCIAL SECURITIES, INC.

BOSC, INC.
BOK FINANCIAL SECURITIES, INC.
NEW NAME OF: BOSC, INC.

BROOKLANDS CAPIT
BROOKLANDS CAPITAL STRATEGIES BD, LP
301 COMMERCE ST., STE. 3300, FORT WORTH, TX 76102-4100
301 COMMERENCE ST., STE. 3300, FORT WORTH, TX 76102-4100
ADMITTED

C

CAVANAL HILL DIS
CAVANAL HILL DISTRIBUTORS, INC,
ONE WILLIAMS CENTER, 15TH FLOOR, TULSA, OK 74172
1 WILLIAMS CTR, FL 15, TULSA, OK 74172
ADMITTED

CERES SECURITIES
CERES SECURITIES, LLC

1251 N. EDDY STREET, SUITE 200, SOUTH BEND, IN 46617
18 SHIPYARD DRIVE, SUITE 2B, HINGHAM, MA 02043-1670
ADMITTED

CHART GROUP ADVI
CHART GROUP ADVISORS, LLC
NEW YORK, NY, USA
RESIGNED

E

EG MARKET TECHNO
EG MARKET TECHNOLOGIES LLC
640 FIFTH AVENUE, 19TH FLOOR, NEW YORK, NY 10019
767 5TH AVE, 45TH FLOOR, NEW YORK, NY 10153

ADMITTED

E-SPECTRUM ADVIS
E-SPECTRUM ADVISORS LLC
DALLAS, TX, USA
RESIGNED

F

FAIRBRIDGE CAPIT
FAIRBRIDGE CAPITAL MARKETS
GUAYNABO, PR, USA
CANCELLED FOR FAILURE TO PAY OUTSTANDING FEES

FINANCIAL STRATE
FINANCIAL STRATEGIES FP, LLC
DEDHAM, MA, USA
RESIGNED

FOLIOFN INVESTME
FOLIOFN INVESTMENTS, INC.
NAME CHANGED TO: FOLIO INVESTMENTS, INC.

FOLIOFN INVESTME
FOLIO INVESTMENTS, INC.
NEW NAME OF: FOLIOFN INVESTMENTS, INC.

FS2 CAPITAL PART
FS2 CAPITAL PARTNERS, LLC
NAME CHANGED TO: FS INVESTMENT SOLUTIONS, LLC

FUNDAMERICA SECU
FUNDAMERICA SECURITIES
FUNDAMERICA SECU
JUMPSTART SECURITIES, LLC
NEW NAME OF: FUNDAMERICA SECURITIES

FS2 CAPITAL PART
FS INVESTMENT SOLUTIONS, LLC
NEW NAME OF: FS2 CAPITAL PARTNERS, LLC

G

GCA SAVVIAN ADVI
GCA SAVVIAN ADVISORS, LLC
NAME CHANGED TO: GCA ADVISORS, LLC

GCA SAVVIAN ADVI
GCA ADVISORS, LLC
NEW NAME OF: GCA SAVVIAN ADVISORS, LLC

H

HILCO CORPORATE
HILCO CORPORATE FINANCE, LLC
5 REVERE DRIVE, SUITE 300, NORTHBROOK, IL 60062
ADMITTED

HYPATIA CAPITAL
HYPATIA CAPITAL ADVISORS LLC
NAME CHANGED TO: MANTLE CAPITAL ADVISORS LLC

HYPATIA CAPITAL
MANTLE CAPITAL ADVISORS LLC
NEW NAME OF: HYPATIA CAPITAL ADVISORS LLC

I

INTERTRADING SEC
INTERTRADING SECURITIES
MIAMI, FL, USA
RESIGNED

L

LEECAM ADVISORS
LEECAM ADVISORS LLC
NAME CHANGED TO: CHIRON CAPITAL LLC

LEECAM ADVISORS
CHIRON CAPITAL LLC
NEW NAME OF: LEECAM ADVISORS LLC

LODESTAR SECURIT
LODESTAR SECURITIES CORP.
NEW YORK, NY
RESIGNED

M

MADISON PAIGE SE
MADISON PAIGE SECURITIES LLC
599 LEXINGTON AVENUE, 47TH FLOOR, NEW YORK, NY 10022
39 BROADWAY, SUITE 3300, ROOM 17, NEW YORK, NY 10006
ADMITTED

MAXWELL SIMON, I
MAXWELL SIMON, INC.
MINNEAPOLIS, MN, UNITED STATES
RESIGNED

N

NASDAQ OPTIONS S
NASDAQ OPTIONS SERVICES, LLC
NAME CHANGED TO: NASDAQ CAPITAL MARKETS ADVISORY LLC

NASDAQ OPTIONS S
NASDAQ CAPITAL MARKETS ADVISORY LLC
NEW NAME OF: NASDAQ OPTIONS SERVICES, LLC

NELNET CAPITAL L
NELNET CAPITAL LLC
LINCOLN, NE, USA
RESIGNED

NEUBERGER BERMAN
NEUBERGER BERMAN MANAGEMENT LLC
NEW YORK, NY, UNITED STATES
RESIGNED

NVSTR FINANCIAL
NVSTR FINANCIAL LLC
280 PARK AVE. SOUTH, 27B, NEW YORK, NY 10010
ADMITTED

O

OAKBRIDGE FINANC
OAKBRIDGE FINANCIAL SERVICES
KIRKWOOD, MO, UNITED STATES
EXPELLED FOR FAILURE TO PAY FINES AND/OR COSTS.

P

PICO QUANTITATIV
PICO QUANTITATIVE TRADING LLC
NEW YORK, NY, USA
RESIGNED

PORTALES PARTNER
PORTALES PARTNERS, LLC
NEW YORK, NY, USA
RESIGNED

PROTECTED INVEST
PROTECTED INVESTORS OF AMERICA
SAN FRANCISCO, CA, UNITED STATES
RESIGNED

R

RDM INVESTMENT S
RDM INVESTMENT SERVICES, INC.
NAME CHANGED TO: RDM INVESTMENT SERVICES, LLC

RDM INVESTMENT S
RDM INVESTMENT SERVICES, LLC
NEW NAME OF: RDM INVESTMENT SERVICES, INC.

S

SHELBY CULLOM DA
SHELBY CULLOM DAVIS & CO., L.P.
NEW YORK, NY, UNITED STATES
RESIGNED

SIEBERT, BRANDFO
SIEBERT, BRANDFORD, SHANK & CO., L.L.C.
NAME CHANGED TO: SIEBERT CISNEROS SHANK & CO., L.L.C.

SIEBERT, BRANDFO
SIEBERT CISNEROS SHANK & CO., L.L.C.
NEW NAME OF: SIEBERT, BRANDFORD, SHANK & CO., L.L.C.

SINCERE & CO.
SINCERE & CO.
EVANSTON, IL, UNITED STATES
RESIGNED

SYMPHERON
SYMPHERON
FARGO, ND, USA
RESIGNED

 

T

TOPEKA CAPITAL M
TOPEKA CAPITAL MARKETS INC.
NEW YORK, NY, UNITED STATES
RESIGNED