Changes to List of Broker Dealer Firms We Regulate

For the period of 4/1/2016 through 4/30/2016

A

AMBIT AMERICA IN
AMBIT AMERICA INC.
AMBIT AMERICA INC., 777 WESTCHESTER AVENUE, SUITE 101, WHITE PLAINS, NY 10604
MAILING ADDRESS: C/O SEYFARTH SHAW LLP, NEW YORK TIMES BUILDING, 620 EIGHTH AVENUE, NEW YORK
NY 10018-1405 ADMITTED

ARDEN SECURITIES
ARDEN SECURITIES LLC
NAME CHANGED TO: FORESIDE FUND PARTNERS LLC

ARDEN SECURITIES
FORESIDE FUND PARTNERS LLC
NEW NAME OF: ARDEN SECURITIES LLC

ATREYU GROUP LLCv ATREYU GROUP LLC
28 W. 44TH STREET, 15TH FLOOR, NEW YORK, NY 10036
ADMITTED

C

CAPITAL SUISSE L
CAPITAL SUISSE LLC
107 SPRING ST, STE 2022, SEATTLE, WA 98104
MAILING ADDRESS: 500 YALE AVE N, STE 132, SEATTLE, WA 98109-5680

CARROLLTON CAPIT
CARROLLTON CAPITAL PARTNERS, LLC
NAME CHANGED TO: OFFERBOARD SECURITIES

CARROLLTON CAPIT
OFFERBOARD SECURITIES
NEW NAME OF: CARROLLTON CAPITAL PARTNERS, LLC
ADMITTED

CNBS
CNBS
OVERLAND PARK, KS, UNITED STATES
RESIGNED

CVC CREDIT PARTN
CVC CREDIT PARTNERS 712, LLC
712 FIFTH AVENUE, 42ND FLOOR, NEW YORK, NY 10019
MAILING ADDRESS: 712 FIFTH AVENUE, NEW YORK, NY 10019
ADMITTED

D

DEIMOS SECURITIE
DEIMOS SECURITIES LLC
4 MANHATTANVILLE ROAD, PURCHASE, NY 10577
MAILING ADDRESS: 4 MANHATTANVILLE ROAD, PRUCHASE, NY 10577
ADMITTED

DYNAMIC YIELDS C
DYNAMIC YIELDS CAPITAL MARKET
1394 VINE STREET, SAN JOSE, CA 95110
MAILING ADDRESS: 1657 VIA CAMPO VERDE, SAN JOSE, CA 95120
ADMITTED

E

EF LEGACY SECURI
EF LEGACY SECURITIES, LLC
SANDERS MORRIS HARRIS LLC
SANDERS MORRIS HARRIS INC.
SMH CAPITAL INC.
SANDERS MORRIS HARRIS INC.
SANDERS MORRIS MUNDY INC.
SANDERS MORRIS & MUNDY INC.

F

FORETHOUGHT DIST
FORETHOUGHT DISTRIBUTORS, LLC
NAME CHANGED TO: GLOBAL ATLANTIC DISTRIBUTORS, LLC

FORETHOUGHT DIST
GLOBAL ATLANTIC DISTRIBUTORS, LLC
NEW NAME OF: FORETHOUGHT DISTRIBUTORS, LLC

G

GLOBAL WINE PART
GLOBAL WINE PARTNERS (U.S.) LLC
ST. HELENA, CA
RESIGNED

J

J.P. TURNER & CO
J.P. TURNER & COMPANY, L.L.C.
ATLANTA, GA, UNITED STATES
RESIGNED

L

LINCOLN INTERNAT
LINCOLN INTERNATIONAL L.L.C.
NAME CHANGED TO: LINCOLN INTERNATIONAL LLC

LINCOLN INTERNAT
LINCOLN INTERNATIONAL LLC
NEW NAME OF: LINCOLN INTERNATIONAL L.L.C.

M

MF GLOBAL INC.
MF GLOBAL INC.
NEW YORK, NY, UNITED STATES
RESIGNED

N

NFP ADVISOR SERV
NFP ADVISOR SERVICES, LLC
NAME CHANGED TO: KESTRA INVESTMENT SERVICES, LLC

NFP ADVISOR SERV
KESTRA INVESTMENT SERVICES, LLC
NEW NAME OF: NFP ADVISOR SERVICES, LLC

P

PERAZA CAPITAL A
PERAZA CAPITAL AND INVESTMENT, LLC
NAME CHANGED TO: LPE SECURITIES, LLC

PERAZA CAPITAL A
LPE SECURITIES, LLC
NEW NAME OF: PERAZA CAPITAL AND INVESTMENT, LLC

PRINCOR FINANCIA
PRINCOR FINANCIAL SERVICES CORPORATION
NAME CHANGED TO: PRINCIPAL SECURITIES, INC.

PRINCOR FINANCIA
PRINCIPAL SECURITIES, INC.
NEW NAME OF: PRINCOR FINANCIAL SERVICES CORPORATION

PROPELLR SECURIT
PROPELLR SECURITIES LLC
54 WEST 21ST STREET, SUITE 709, NEW YORK, NY 10010
MAILING ADDRESS: 54 WEST 21ST STREET,, SUITE 709, NEW YORK, NY 10010
ADMITTED

R

RLJ CAPITAL MARK
RLJ CAPITAL MARKETS, LLC
3 BETHESDA METRO CENTER, SUITE 1000, BETHESDA, MD 20814
ADMITTED

S

SECURITY RESEARC
SECURITY RESEARCH ASSOCIATES, INC.
SAN FRANCISCO, CA, UNITED STATES
RESIGNED

SHAY FINANCIAL S
SHAY FINANCIAL SERVICES, INC.
NAME CHANGED TO: PROVENANCE FINANCIAL INC.

SHAY FINANCIAL S
PROVENANCE FINANCIAL INC.
NEW NAME OF: SHAY FINANCIAL SERVICES, INC.

SINGAL CAPITAL L
SINGAL CAPITAL LLC
NAME CHANGED TO: CAPRO CAPITAL

SINGAL CAPITAL L
CAPRO CAPITAL
NEW NAME OF: SINGAL CAPITAL LLC

T

TCW FUNDS DISTRI
TCW FUNDS DISTRIBUTORS
NAME CHANGED TO: TCW FUNDS DISTRIBUTORS LLC

TCW FUNDS DISTRI
TCW FUNDS DISTRIBUTORS LLC
NEW NAME OF: TCW FUNDS DISTRIBUTORS

TRADITION ASIEL
TRADITION ASIEL SECURITIES INC.
NAME CHANGED TO: TRADITION SECURITIES AND DERIVATIVES INC.

TRADITION ASIEL
TRADITION SECURITIES AND DERIVATIVES INC.
NEW NAME OF: TRADITION ASIEL SECURITIES INC.

V

VENTURE.CO BROKE
VENTURE.CO BROKERAGE SERVICES LLC
159 BANK STREET, SUITE 202, BURLINGTON, VT 05401
ADMITTED