Changes to List of Broker Dealer Firms We Regulate

For the period of 8/1/2017 through 8/31/2017

A

ACF INTERNATIONA
ACF INTERNATIONAL INC.
BOSTON, MA, UNITED STATES
RESIGNED

ADVISORS CLEARIN
ADVISORS CLEARING NETWORK, INC.
NAME CHANGED TO: MID ATLANTIC CLEARING & SETTLEMENT CORPORATION

ADVISORS CLEARIN
MID ATLANTIC CLEARING & SETTLEMENT CORPORATION
NEW NAME OF: ADVISORS CLEARING NETWORK, INC.

ALLIANCE-ONE INV
TO FORM ALLIANCE-ONE INVESTMENTS, LLC
ACQUIRED METLIFE INVESTORS DISTRIBUTION COMPANY

ALLIANCE-ONE INV
TO FORM ALLIANCE-ONE INVESTMENTS, LLC
ACQUIRED AMERICAN DISTRIBUTORS, INC.

ALLIANCE-ONE INV
TO FORM ALLIANCE-ONE INVESTMENTS, LLC
ACQUIRED GENERAL AMERICAN DISTRIBUTORS, INC.

AVILA CAPITAL MA
AVILA CAPITAL MARKETS, INC.
NAME CHANGED TO: AVANZA CAPITAL MARKETS INC.

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

AVILA CAPITAL MA
AVANZA CAPITAL MARKETS INC.
NEW NAME OF: AVILA CAPITAL MARKETS, INC.

B

BELVEDERE GLOBAL
BELVEDERE GLOBAL INVESTORS LLC
TIBURON, CA, USA
RESIGNED

BIC DISTRIBUTORS
BIC DISTRIBUTORS, LLC
PHOENIX, AZ, UNITED STATES
RESIGNED

C

CAPITAL GROWTH S
CAPITAL GROWTH SECURITIES LLC
NAME CHANGED TO: CAPITAL GROWTH ADVISORS LLC

CAPITAL GROWTH S
CAPITAL GROWTH ADVISORS LLC
NEW NAME OF: CAPITAL GROWTH SECURITIES LLC

CAPSTONE ASSET P
CAPSTONE ASSET PLANNING COMPANY
NAME CHANGED TO: CROSSMARK DISTRIBUTORS, INC.

CAPSTONE ASSET P
CROSSMARK DISTRIBUTORS, INC.
NEW NAME OF: CAPSTONE ASSET PLANNING COMPANY

COASTAL SECURITI
COASTAL SECURITIES, INC.
HOUSTON, TX, UNITED STATES
RESIGNED

CONTINUITY PARTN
CONTINUITY PARTNERS GROUP, LLC
FAIRFIELD, IA, USA
RESIGNED

E

E*TRADE SECURITI
TO FORM E*TRADE SECURITIES LLC
ACQUIRED OPTIONSHOUSE

E*TRADE SECURITI
TO FORM E*TRADE SECURITIES LLC
ACQUIRED TRADE MONSTER

E*TRADE SECURITI
TO FORM E*TRADE SECURITIES LLC
ACQUIRED OM SECURITIES, LLC.

EFG-HERMES USA,
EFG-HERMES USA, INC.
3 COLUMBUS CIRCLE, 15TH FLOOR, NEW YORK, NY 10019
MAILING ADDRESS: SEWARD &KISSEL LLP C/O MARLON PAZ, ONE BATTERY PARK PLAZA, NEW YORK, NY 10004
ADMITTED

ELEVATE CAPITAL
ELEVATE CAPITAL LLC
1200 BRICKELL AVE, SUITE 1950, MIAMI, FL 33131
ADMITTED

ENTREX CAPITAL M
ENTREX CAPITAL MARKETS
NAME CHANGED TO: ENTREX CAPITAL MARKET, LLC

ENTREX CAPITAL M
ENTREX CAPITAL MARKET, LLC
NEW NAME OF: ENTREX CAPITAL MARKETS

ENVOY SECURITIES
ENVOY SECURITIES, LLC
COLORADO SPRINGS, CO, USA
RESIGNED

ESH CAPITAL, LLC
ESH CAPITAL, LLC
NAME CHANGED TO: FIRST SOUTHERN, LLC

ESH CAPITAL, LLC
FIRST SOUTHERN, LLC
NEW NAME OF: ESH CAPITAL, LLC

EQUITEQ SECURITI
EQUITEQ SECURITIES LLC
477 MADISON AVENUE, SUITE 740, NEW YORK, NY 10022
MAILING ADDRESS: 1120 AVENUE OF THE AMERICAS, 4TH FLOOR, NEW YORK, NY 10036 ADMITTED

F

FIRST SOUTHEAST
FIRST SOUTHEAST INVESTOR SERVICES, INC.
CHARLESTON, SC, UNITED STATES
RESIGNED

FREEDOM INVESTOR
FREEDOM INVESTORS CORP.
BROOKFIELD, WI, UNITED STATES
RESIGNED

G

GFA SECURITIES,
GFA SECURITIES, LLC
NEW YORK, NY
RESIGNED

GLOBAL SHARES FI
GLOBAL SHARES FINANCIAL SERVICES INC.
111 TOWN SQUARE PLACE 14TH FLOOR, SUITE 1401, JERSEY CITY, NJ 07310
ADMITTED

GOLDMAN SACHS EX
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
NEW YORK, NY, UNITED STATES
RESIGNED

GPP SECURITIES,
GPP SECURITIES, LLC
165 MASON STREET, 3RD FLOOR, GREENWICH, CT 06830
ADMITTED

H

HEADLANDS GLOBAL
HEADLANDS GLOBAL MARKETS, LLC
NAME CHANGED TO: HEADLANDS TECH GLOBAL MARKETS, LLC

HEADLANDS GLOBAL
HEADLANDS TECH GLOBAL MARKETS, LLC
NEW NAME OF: HEADLANDS GLOBAL MARKETS, LLC

HEADLANDS TECH G
HEADLANDS TECH GLOBAL MARKETS
NAME CHANGED TO: HEADLANDS TECH GLOBAL MARKETS, LLC

HEADLANDS TECH G
HEADLANDS TECH GLOBAL MARKETS, LLC
NEW NAME OF: HEADLANDS TECH GLOBAL MARKETS

HENDERSON GLOBAL
HENDERSON GLOBAL INVESTORS EQUITY PLANNING, INC.
CHICAGO, IL, USA
RESIGNED

HEWITT FINANCIAL
HEWITT FINANCIAL SERVICES LLC
NAME CHANGED TO: ALIGHT FINANCIAL SOLUTIONS, LLC

HEWITT FINANCIAL
ALIGHT FINANCIAL SOLUTIONS, LLC
NEW NAME OF: HEWITT FINANCIAL SERVICES LLC

I

INDIAN HARBOR, L
INDIAN HARBOR, LLC
COS COB, CT, USA
RESIGNED

J

JOHN JAMES INVES
JOHN JAMES INVESTMENTS, LTD.
WILLIAMSVILLE, NY, UNITED STATES
EXPELLED FOR THE FIRM FAILED TO REQUEST TERMINATION OF ITS SUSPENSION WITHIN THREE MONTHS OF DATE OF NOTICE

K

KARVY, INC.
KARVY, INC.
NEW YORK, NY
RESIGNED

KCM SECURITIES,
KCM SECURITIES, LLC
114 PACIFICA, SUITE 370, IRVINE, CA 92618
MAILING ADDRESS: 8875 RESEARCH DRIVE, IRVINE, CA 92618
ADMITTED

L

LEVEL 9 TECHNOLO
LEVEL 9 TECHNOLOGY ADVISORS, LLC
NAME CHANGED TO: VOYAGER GLOBAL ADVISORS LLC

LEVEL 9 TECHNOLO
VOYAGER GLOBAL ADVISORS LLC
NEW NAME OF: LEVEL 9 TECHNOLOGY ADVISORS, LLC

M

MADISON GLOBAL P
MADISON GLOBAL PARTNERS LLC
350 VANDERBILT MOTOR PARKWAY, SUITE 205, HAUPPAUGE, NY 11788 ADMITTED

METLIFE INVESTME
METLIFE INVESTMENTS SECURITIES, LLC
ONE METLIFE WAY, WHIPPANY, NJ 07981-1449
ADMITTED

N

NEWCASTLE DISTRI
NEWCASTLE DISTRIBUTORS LLC
AVON, CT, USA
RESIGNED

O

ODDO NEW YORK CO
ODDO NEW YORK CORPORATION
NAME CHANGED TO: ODDO BHF NEW YORK CORPORATION

ODDO NEW YORK CO
ODDO BHF NEW YORK CORPORATION
NEW NAME OF: ODDO NEW YORK CORPORATION

OPTIONSHOUSE
OPTIONSHOUSE
NAME CHANGED TO: E*TRADE FUTURES LLC

OPTIONSHOUSE
E*TRADE FUTURES LLC
NEW NAME OF: OPTIONSHOUSE

P

PINNACLE CAPITAL
PINNACLE CAPITAL MARKETS, LLC
RALEIGH, NC, USA
RESIGNED

R

RDM INVESTMENT S
RDM INVESTMENT SERVICES, LLC
WESTPORT, CT
RESIGNED

RESOURCE SECURIT
RESOURCE SECURITIES, INC.
NAME CHANGED TO: RESOURCE SECURITIES LLC

RESOURCE SECURIT
RESOURCE SECURITIES LLC
NEW NAME OF: RESOURCE SECURITIES, INC.

RIDGEWORTH DISTR
RIDGEWORTH DISTRIBUTORS LLC
NAME CHANGED TO: FORESIDE ASSOCIATES, LLC

RIDGEWORTH DISTR
FORESIDE ASSOCIATES, LLC
NEW NAME OF: RIDGEWORTH DISTRIBUTORS LLC

S

SAWAYA SEGALAS S
SAWAYA SEGALAS SECURITIES, LLC
NAME CHANGED TO: SAWAYA PARTNERS SECURITIES, LLC

SAWAYA SEGALAS S
SAWAYA PARTNERS SECURITIES, LLC
NEW NAME OF: SAWAYA SEGALAS SECURITIES, LLC

SHELYN SECURITIE
SHELYN SECURITIES CORP
NAME CHANGED TO: GLOBAL SILICON VALLEY SECURITIES LLC

SHELYN SECURITIE
GLOBAL SILICON VALLEY SECURITIES LLC
NEW NAME OF: SHELYN SECURITIES CORP

SIEMER & ASSOCIA
SIEMER & ASSOCIATES, LLC
NAME CHANGED TO: CHINA ECAPITAL PARTNERS, LLC

SIEMER & ASSOCIA
CHINA ECAPITAL PARTNERS, LLC
NEW NAME OF: SIEMER & ASSOCIATES, LLC

STASH CAPITAL LL
STASH CAPITAL LLC
19 WEST 22ND STREET, 12TH FL, NEW YORK, NY 10010
MAILING ADDRESS: 27 WEST 24TH STREET, #901, NEW YORK, NY 10010
ADMITTED

STONINGTON DRIVE
STONINGTON DRIVE SECURITIES LLC
51 JFK PARKWAY FIRST FLOOR WEST, SHORT HILLS, NJ 07078
ADMITTED

T

TFA SECURITIES,
TFA SECURITIES, INC.
400 CONTINENTAL BLVD., SUITE 320, EL SEGUNDO, CA 90245
ADMITTED

TKG FINANCIAL, L
TKG FINANCIAL, LLC
SANTA BARBARA, CA
RESIGNED

V

VISIONS ANALYSIS
VISIONS ANALYSIS LLC
24 MCKINLEY AVENUE, ENDICOTT, NY 13760
ADMITTED

VONTOBEL DISTRIB
VONTOBEL DISTRIBUTORS LLC
NAME CHANGED TO: VT DISTRIBUTORS LLC

VONTOBEL DISTRIB
VT DISTRIBUTORS LLC
NEW NAME OF: VONTOBEL DISTRIBUTORS LLC

W

WESTERN INTERNAT
TO FORM WESTERN INTERNATIONAL SECURITIES, INC.
ACQUIRED FINANCIAL WEST GROUP

WESTERN INTERNAT
TO FORM WESTERN INTERNATIONAL SECURITIES, INC.
ACQUIRED PACIFIC ASSET GROUP, INC.