Changes to List of Broker-Dealer Firms We Regulate
For the period of 2/1/2024 through 2/29/2024
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4170 SECURITIES
4170 SECURITIES LLC
372 WEST ONTARIO STREET, SUITE 400, CHICAGO, IL 60654
ADMITTED
A
ABNER HERRMAN &
ABNER HERRMAN & BROCK, LLC
JERSEY CITY, NJ, UNITED STATES
RESIGNED
ASIA PACIFIC FIN
ASIA PACIFIC FINANCIAL MANAGEMENT GROUP, INC.
HAGATNA, GUAM, USA
RESIGNED
AVATAR SECURITIE
AVATAR SECURITIES, LLC
148 MADISON AVE, 5TH FLOOR, NEW YORK, NY 10016
MAILING ADDRESS: 60 MADISON AVE, STE 1101, NEW YORK, NY 10010
ADMITTED
B
BRIARCLIFFE CRED
BRIARCLIFFE CREDIT PARTNERS, LLC
NEW YORK, NY, UNITED STATES
RESIGNED
C
CBRE SECURITIES,
CBRE SECURITIES, LLC
LAS VEGAS, NV
RESIGNED
CGS - CIMB SECUR
CGS - CIMB SECURITIES (USA), INC.
NAME CHANGED TO: CGS INTERNATIONAL SECURITIES USA, INC.
CGS - CIMB SECUR
CGS INTERNATIONAL SECURITIES USA, INC.
NEW NAME OF: CGS - CIMB SECURITIES (USA), INC.
CONSELLO FINANCI
CONSELLO FINANCIAL LLC
590 MADISON AVENUE, 28TH FLOOR, NEW YORK, NY 10022
ADMITTED
D
DEMPSEY FINANCIA
DEMPSEY FINANCIAL NETWORK, INC.
ATLANTA, GA, UNITED STATES
RESIGNED
DIFFRACTIVE DIST
DIFFRACTIVE DISTRIBUTION, LLC
NAME CHANGED TO: F/M DISTRIBUTORS, LLC
DIFFRACTIVE DIST
F/M DISTRIBUTORS, LLC
NEW NAME OF: DIFFRACTIVE DISTRIBUTION, LLC
DV EQUITIES
DV EQUITIES
425 S. FINANCIAL PLACE, SUITE 2800, CHICAGO, IL 60605
MAILING ADDRESS: 216 WEST JACKSON BLVD, SUITE 300, CHICAGO, IL 60606
ADMITTED
DYNAMIC CAPITAL
DYNAMIC CAPITAL INVESTMENTS
NAME CHANGED TO: DYNAMIC CAPITAL INVESTMENTS, LLC
DYNAMIC CAPITAL
DYNAMIC CAPITAL INVESTMENTS, LLC
NEW NAME OF: DYNAMIC CAPITAL INVESTMENTS
E
E*TRADE SECURITI
E*TRADE SECURITIES LLC
JERSEY CITY, NJ, UNITED STATES
RESIGNED
ENVOY SECURITIES
ENVOY SECURITIES
1422 S TRYON ST, STE 300, CHARLOTTE, NC 28203
ADMITTED
EXCEL SECURITIES
EXCEL SECURITIES & ASSOCIATES, INC.
NAME CHANGED TO: ASHTON THOMAS SECURITIES, LLC
EXCEL SECURITIES
ASHTON THOMAS SECURITIES, LLC
NEW NAME OF: EXCEL SECURITIES & ASSOCIATES, INC.
F
FINANCIAL ADVOCA
FINANCIAL ADVOCATES SECURITIES, LLC
OLYMPIA, WA, UNITED STATES
RESIGNED
FIRST NATIONAL C
FIRST NATIONAL CAPITAL MARKETS
OMAHA, NE, USA
RESIGNED
G
GALENA CAPITAL
GALENA CAPITAL
BOISE, ID, UNITED STATES
RESIGNED
GW & WADE ASSET
GW & WADE ASSET MANAGEMENT COMPANY, LLC
WELLESLEY, MA, UNITED STATES
RESIGNED
H
HALL & ROMKEMA F
HALL & ROMKEMA FINANCIAL SERVICES, LLC
EAST LANSING, MI, USA
RESIGNED
HUDSON PARTNERS
HUDSON PARTNERS SECURITIES LLC
GREENWICH, CT, USA
RESIGNED
I
IMA WEALTH
IMA WEALTH
WICHITA, KS, USA
RESIGNED
INTERLINK CAPITA
INTERLINK CAPITAL, LLC
ALEXANDRIA, VA, UNITED STATES
CANCELED FOR NO SEC REGISTRATION
INTL FILLMORE AD
INTL FILLMORE ADVISORS LLC
NAME CHANGED TO: STONEX OUTSOURCED SERVICES LLC
INTL FILLMORE AD
STONEX OUTSOURCED SERVICES LLC
NEW NAME OF: INTL FILLMORE ADVISORS LLC
INVESTSHARES
INVESTSHARES
MIAMI, FL
RESIGNED
J
JUDGE & ASSOCIAT
JUDGE & ASSOCIATES, INC.
DES PLAINES, IL, UNITED STATES
RESIGNED
L
LABRUNERIE FINAN
LABRUNERIE FINANCIAL SERVICES, INC.
COLUMBIA, MO, UNITED STATES
RESIGNED
LEE FINANCIAL SE
LEE FINANCIAL SECURITIES, INC.
HONOLULU, HI, UNITED STATES
RESIGNED
LPL ENTERPRISE
LPL ENTERPRISE
NAME CHANGED TO: LPL ENTERPRISE, LLC
LPL ENTERPRISE
LPL ENTERPRISE, LLC
NEW NAME OF: LPL ENTERPRISE
M
MURIEL SIEBERT &
MURIEL SIEBERT & CO., INC.
NAME CHANGED TO: MURIEL SIEBERT & CO., LLC
MURIEL SIEBERT &
MURIEL SIEBERT & CO., LLC
NEW NAME OF: MURIEL SIEBERT & CO., INC.
P
POLYSIGN CAPITAL
POLYSIGN CAPITAL LLC
13 PALAFOX PL, STE. 9, PENSACOLA, FL 32502
ADMITTED
R
RAFFERTY CAPITAL
RAFFERTY CAPITAL MARKETS, LLC
GARDEN CITY, NY, UNITED STATES
RESIGNED
RD CAPITAL GROUP
RD CAPITAL GROUP, INC.
SAN JUAN, PR, UNITED STATES
RESIGNED
RIVERSTONE CAPIT
RIVERSTONE CAPITAL SERVICES LLC
NEW YORK, NY
RESIGNED
S
S&L CAPITAL MARK
S&L CAPITAL MARKETS LLC
DALLAS, TX, UNITED STATES
RESIGNED
SEQUOIA INVESTME
SEQUOIA INVESTMENTS, INC.
ROSWELL, GA, UNITED STATES
RESIGNED
SFA FINANCIAL, L
SFA FINANCIAL, LLC
GREENVILLE, SC, USA
RESIGNED
SFI CAPITAL GROU
SFI CAPITAL GROUP, LLC
CLEVELAND, OH, USA
RESIGNED
SIGNATURE ESTATE
SIGNATURE ESTATE SECURITIES, INC.
NAME CHANGED TO: SIGNATURE ESTATE SECURITIES, LLC
SIGNATURE ESTATE
SIGNATURE ESTATE SECURITIES, LLC
NEW NAME OF: SIGNATURE ESTATE SECURITIES, INC.
SVB INVESTMENT S
SVB INVESTMENT SERVICES INC.
SAN FRANCISCO, CA, UNITED STATES
RESIGNED
T
TGP SECURITIES,
TGP SECURITIES, INC.
SUMMIT, NJ, USA
RESIGNED
THOMASLLOYD CAPI
THOMASLLOYD CAPITAL LLC
PLEASANTVILLE, NY, UNITED STATES
RESIGNED
THORNBURG SECURI
THORNBURG SECURITIES CORPORATION
NAME CHANGED TO: THORNBURG SECURITIES LLC
THORNBURG SECURI
THORNBURG SECURITIES LLC
NEW NAME OF: THORNBURG SECURITIES CORPORATION
V
VESTRA ADVISORS,
VESTRA ADVISORS, LLC
200 VESEY STREET, 24TH FLOOR, NEW YORK, NY 10281
MAILING ADDRESS: 115 TRINITY HOLLOW DRIVE, CANTON, GA 30115
ADMITTED
VIANT CAPITAL LL
VIANT CAPITAL LLC
SAN FRANCISCO, CA, UNITED STATES
RESIGNED
W
WATKINS FINANCIA
WATKINS FINANCIAL SERVICES, INC.
FARMINGTON, UT, USA
RESIGNED
Z
ZINK DISTRIBUTIO
ZINK DISTRIBUTION SOLUTIONS
2937 SW 27TH AVENUE, SUITE 302/303, COCONUT GROVE, FL 33133
MAILING ADDRESS: 155 OCEAN LANE DR, APT 1001, KEY BISCAYNE, FL 33149
ADMITTED