Changes to List of Broker Dealer Firms We Regulate

For the period of 7/1/2016 through 7/31/2016

A

ACN SECURITIES I
ACN SECURITIES INC.
NEW YORK, NY, UNITED STATES
EXPELLED FOR PURSUANT TO FINRA RULE 9552

ADIRONDACK TRADI
ADIRONDACK TRADING GROUP LLC
NEW WOODSTOCK, NY, USA
RESIGNED

ALFORMA CAPITAL
ALFORMA CAPITAL MARKETS, INC.
NAME CHANGED TO: BCS AMERICAS, INC.

ALFORMA CAPITAL
BCS AMERICAS, INC.
NEW NAME OF: ALFORMA CAPITAL MARKETS, INC.

AMEGY INVESTMENT
AMEGY INVESTMENTS, INC.
HOUSTON, TX, USA
RESIGNED

AMERICAFIRST SEC
AMERICAFIRST SECURITIES, INC.
ROSEVILLE, CA, UNITED STATES
RESIGNED

ARDEA PARTNERS L
ARDEA PARTNERS LLC
32 NASSAU STREET, SUITE 300, PRINCETON, NJ 08542
MAILING ADDRESS: 226 HOPEWELL-AMWELL ROAD, HOPEWELL, NJ 08525-1919
ADMITTED

AVIATE GLOBAL (U
AVIATE GLOBAL (US) LLP
LONDON, U.K.
RESIGNED

B

BOFA DISTRIBUTOR
BOFA DISTRIBUTORS, INC.
BOSTON, MA, UNITED STATES
RESIGNED

BRANT POINT CAPI
BRANT POINT CAPITAL, LLC
NEW YORK, NY
RESIGNED

BRIGHTON 5TH PAR
BRIGHTON 5TH PARTNERS LLC
22 ELM PLACE, SUITE 403, RYE, NY 10580
MAILING ADDRESS: 22 ELM PLACE, SUITE 403, RYE, NY 10580
ADMITTED

BURNHAM SECURITI
BURNHAM SECURITIES INC.
NEW YORK, NY, USA
RESIGNED

C

CALDWELL INTERNA
CALDWELL INTERNATIONAL SECURITIES
CANYON LAKE, TX, USA
RESIGNED

CLEAN ENERGY CAP
CLEAN ENERGY CAPITAL SECURITIES LLC
HOUSTON, TX, USA
RESIGNED

CROWN STERLING C
CROWN STERLING CAPITAL LLC
NEW YORK, NY, USA
RESIGNED

D

D.A. DAVIDSON &
D. A. DAVIDSON & CO. INCORPORATED
SMITH HAYES FINANCIAL SERVICES CORPORATION
MERGE SMITH & HAYES FINANCIAL SERVICES CORPORATION
TO FORM D.A. DAVIDSON & CO.

DERMOTT W. CLANC
DERMOTT W. CLANCY CORP.
NEW YORK, NY, UNITED STATES
RESIGNED

E

E.J. STERLING, L
E.J. STERLING, LLC
NAME CHANGED TO: ALLIED MILLENNIAL PARTNERS, LLC

EAGLEVIEW SECURI
EAGLEVIEW SECURITIES, INC
DOYLESTOWN, PA
RESIGNED

E.J. STERLING, L
ALLIED MILLENNIAL PARTNERS, LLC
NEW NAME OF: E.J. STERLING, LLC

F

FIRST AMERICAN S
FIRST AMERICAN SECURITIES, INC.
ORRVILLE, OH, UNITED STATES
RESIGNED

FIRST MUTUAL PLA
FIRST MUTUAL PLANNING CORP.
DELRAY BEACH, FL, UNITED STATES
RESIGNED

G

GORDON, HASKETT
GORDON, HASKETT & CO.
GREENWICH, CT, UNITED STATES
RESIGNED

H

HOLD BROTHERS CA
HOLD BROTHERS CAPITAL LLC
10 WEST 46TH STREET, SUITE 1407, NEW YORK, NY 10036
MAILING ADDRESS: 10 W. 46TH STREET, SUITE 1407, NEW YORK, NY 10036
ADMITTED

I

IMS HEALTH CAPIT
IMS HEALTH CAPITAL, INC.
LA JOLLA, CA, USA
RESIGNED

INFINEX INVESTME
CONNECTICUT ASSOCIATION SECURITIES, INC.
ESSEX NATIONAL SECURITIES, LLC
MERGE ESSEX NATIONAL SECURITIES, INC.
TO FORM INFINEX INVESTMENTS, INC.

IQ CAPITAL (USA)
IQ CAPITAL (USA) LLC
400 MADISON AVE, SUITE 10A, NEW YORK, NY 10017
ADMITTED

K

KITTERY POINT CA
KITTERY POINT CAPITAL, LLC
PORTLAND, ME, USA
RESIGNED

L

LEVY CAPITAL PAR
LEVY CAPITAL PARTNERS, LLC
NAME CHANGED TO: OCTAGON CAPITAL GROUP, LLC

LEVY CAPITAL PAR
OCTAGON CAPITAL GROUP, LLC
NEW NAME OF: LEVY CAPITAL PARTNERS, LLC

LINCOLN FINANCIA
LINCOLN FINANCIAL INVESTMENT SERVICES CORPORATION
FORT WAYNE, IN, UNITED STATES
RESIGNED

M

MARATHON FINANCI
MARATHON FINANCIAL GROUP LLC
CHICAGO, IL, UNITED STATES
RESIGNED

METLIFE SECURITI
METLIFE SECURITIES, INC
NAME CHANGED TO: MSI FINANCIAL SERVICES, INC.

METLIFE SECURITI
MSI FINANCIAL SERVICES, INC.
NEW NAME OF: METLIFE SECURITIES, INC

MITSUBISHI UFJ S
MITSUBISHI UFJ SECURITIES (USA), INC.
NAME CHANGED TO: MUFG SECURITIES AMERICAS INC.

MITSUBISHI UFJ S
MUFG SECURITIES AMERICAS INC.
NEW NAME OF: MITSUBISHI UFJ SECURITIES (USA), INC.

MKG FINANCIAL GR
MKG FINANCIAL GROUP, INC.
PORTLAND, OR, USA
RESIGNED

O

OCEAN PARK SECUR
OCEAN PARK SECURITIES, LLC
5200 WEST CENTURY BLVD, SUITE 420, LOS ANGELES, CA 90045
ADMITTED

OLD MISSION MARK
OLD MISSION MARKETS LLC
314 W. SUPERIOR, SUITE 200, CHICAGO, IL 60654
ADMITTED

ORBIT GROUP LLC
ORBIT GROUP LLC
WILLIAMSVILLE, NY
RESIGNED

P

PANMURE GORDON S
PANMURE GORDON SECURITIES LIMITED
ONE NEW ORANGE, LONDON EC4M 9AF UNITED KINGDOM
ADMITTED

PHALANX TRADING,
PHALANX TRADING, LLC
NAME CHANGED TO: HUNTWICKE SECURITIES, LLC

PHALANX TRADING,
HUNTWICKE SECURITIES, LLC
NEW NAME OF: PHALANX TRADING, LLC

PLAINSCAPITAL SE
PLAINSCAPITAL SECURITIES, LLC
DALLAS, TX, USA
RESIGNED

R

REVL SECURITIES,
REVL SECURITIES, LLC
1921 WALNUT STREET, 2ND FLOOR, PHILADELPHIA, PA 19103
MAILING ADDRESS: 1921 WALNUT STREET, 2ND FLOOR, PHILADELPHIA, PA 19103
ADMITTED

RIDGEWAY & CONGE
RIDGEWAY & CONGER, INC.
NEW WOODSTOCK, NY
RESIGNED

RUSSELL FINANCIA
RUSSELL FINANCIAL SERVICES, INC., PART OF RUSSELL INVESTMENTS
NAME CHANGED TO: RUSSELL INVESTMENTS FINANCIAL SERVICES, LLC

RUSSELL FINANCIA
RUSSELL INVESTMENTS FINANCIAL SERVICES, LLC
NEW NAME OF: RUSSELL FINANCIAL SERVICES, INC., PART OF RUSSELL INVESTMENTS

RUSSELL IMPLEMEN
RUSSELL IMPLEMENTATION SERVICES INC. PART OF RUSSELL INVESTMENTS
NAME CHANGED TO: RUSSELL INVESTMENTS IMPLEMENTATION SERVICES, LLC

RUSSELL IMPLEMEN
RUSSELL INVESTMENTS IMPLEMENTATION SERVICES, LLC
NEW NAME OF: RUSSELL IMPLEMENTATION SERVICES INC. PART OF RUSSELL INVESTMENTS

S

SOUZA BARROS SEC
SOUZA BARROS SECURITIES, INC
MIAMI, FL
RESIGNED

SUNRISE SECURITI
SUNRISE SECURITIES CORP.
NAME CHANGED TO: SSC NY CORP.

SUNRISE SECURITI
SSC NY CORP.
NEW NAME OF: SUNRISE SECURITIES CORP.

T

TOPCAP PARTNERS,
TOPCAP PARTNERS, INC.
63 MAIN STREET, SUITE 202, SOUTHAMPTON, NY 11968
ADMITTED

Y

YIELDQUEST SECUR
YIELDQUEST SECURITIES, LLC
ATLANTA, GA
CANCELLED FOR FAILED TO PAY OUTSTANDING FEES