Changes to List of Broker Dealer Firms We Regulate

For the period of 9/1/2018 through 9/30/2018

A

AMERICAN DISCOVE
AMERICAN DISCOVERY ADVISORS, LLC
11150 SANTA MONICA BLVD, STE 1425, LOS ANGELES, CA 90025
MAILING ADDRESS: 11150 SANTA MONICA BLVD, STE 1425, LOS ANGELES, CA 90025
ADMITTED

AMERIPRISE FINAN
AMERIPRISE FINANCIAL SERVICES, INC.
INVESTMENT PROFESSIONALS, INC.

AVANT-GARDE TRAD
AVANT-GARDE TRADING SECURITIES
230 W. MONROE, SUITE 845, CHICAGO, IL 60606
ADMITTED

B

BEESPOKE CAPITAL
BEESPOKE CAPITAL
205 S MARION PKWY, DENVER, CO 80209
ADMITTED

BERKSHIRE CAPITA
BERKSHIRE CAPITAL SECURITIES LLC
NAME CHANGED TO: BERKSHIRE GLOBAL ADVISORS LP

BERKSHIRE CAPITA
BERKSHIRE GLOBAL ADVISORS LP
NEW NAME OF: BERKSHIRE CAPITAL SECURITIES LLC

BERNSTEIN HEBERT
BERNSTEIN HEBERT SECURITIES LLC
655 MADISON AVENUE 20TH FL., NEW YORK, NY 10065
ADMITTED

BLUESTONE CAPITA
BLUESTONE CAPITAL PARTNERS, LLC
MCLEAN, VA, USA
RESIGNED

BMO CAPITAL MARK
HARRIS NESBITT GERARD, INC.
MERGED KGS-ALPHA CAPITAL MARKETS, L.P.
KGS-ALPHA CAPITAL MARKETS LLC
TO FORM BMO CAPITAL MARKETS CORP.

C

CDX ADVISORS LLC
CDX ADVISORS LLC
NAME CHANGED TO: CDX ADVISORS

CDX ADVISORS LLC
CDX ADVISORS
NEW NAME OF: CDX ADVISORS LLC

COSSE' INTERNATI
COSSE' INTERNATIONAL SECURITIES, INC.
SEATTLE, WA, UNITED STATES
RESIGNED

COWEN PRIME SERV
COWEN PRIME SERVICES LLC
NAME CHANGED TO: COWEN PRIME SERVICES LLC

COWEN PRIME SERV
COWEN PRIME SERVICES LLC
NEW NAME OF: COWEN PRIME SERVICES LLC

COWEN OUTSOURCED
COWEN OUTSOURCED TRADING
NAME CHANGED TO: COWEN PRIME SERVICES LLC

COWEN OUTSOURCED
COWEN PRIME SERVICES LLC
NEW NAME OF: COWEN OUTSOURCED TRADING

D

DEALER SOLUTIONS
DEALER SOLUTIONS NORTH AMERICA LLC
NAME CHANGED TO: ILIAD SECURITIES LLC

DEALER SOLUTIONS
ILIAD SECURITIES LLC
NEW NAME OF: DEALER SOLUTIONS NORTH AMERICA LLC

DOCK SQUARE SECU
DOCK SQUARE SECURITIES , LLC
1200 ANASTASIA AVENUE, SUITE 500, CORAL GABLES, FL 33134-7577
ADMITTED

 

E

 

EMPIRE EXECUTION
EMPIRE EXECUTIONS, INC.
NEW YORK, NY, UNITED STATES
RESIGNED

EURONEXT SYNAPSE
EURONEXT SYNAPSE LLC
110 WALL STREET, SUITE 5070, NEW YORK, NY 10005
MAILING ADDRESS: 110 WALL STREET, SUITE 5-070, NEW YORK, NY 10005
ADMITTED

G

GOULD, AMBROSON
GOULD, AMBROSON & ASSOCIATES LTD.
GARDEN CITY, NY, UNITED STATES
RESIGNED

H

HEALTHIOS CAPITA
HEALTHIOS CAPITAL MARKETS, LLC
NAME CHANGED TO: THIRD500, LLC

HEALTHIOS CAPITA
THIRD500, LLC
NEW NAME OF: HEALTHIOS CAPITAL MARKETS, LLC

I

IMS SECURITIES,
IMS SECURITIES, INC.
HOUSTON, TX, UNITED STATES
EXPELLED FOR FAILURE TO PAY FINES AND/OR COSTS

INTL CUSTODY & C
INTL CUSTODY & CLEARING SOLUTIONS INC.
BIRMINGHAM, AL, UNITED STATES
RESIGNED

INVEST FINANCIAL
INVEST FINANCIAL CORPORATION
APPLETON, WI, UNITED STATES
RESIGNED

INVESTMENT CENTE
INVESTMENT CENTERS OF AMERICA, INC.
APPLETON, WI, UNITED STATES
RESIGNED

M

MAGSTAR CAPITAL,
MAGSTAR CAPITAL, LLC
201 WILLETT AVENUE, #PH416, PORT CHESTER, NY 10573
ADMITTED

N

NATIONAL PLANNIN
NATIONAL PLANNING CORPORATION
LOS ANGELES, CA, UNITED STATES
RESIGNED

O

OPPORTUNE PARTNE
OPPORTUNE PARTNERS LLC
711 LOUISIANA STREET, SUITE 3100, HOUSTON, TX 77002
ADMITTED

P

PROATHLETE SECUR
PROATHLETE SECURITIES LLC
733 3RD AVE, 16TH FL, NEW YORK, NY 10017
MAILING ADDRESS: 45 WEST 45 STREET, 15TH FLOOR, NEW YORK, NY 10036
ADMITTED

S

SCOTTRADE, INC.
SCOTTRADE, INC.
ST. LOUIS, MO, UNITED STATES
RESIGNED

SII INVESTMENTS,
SII INVESTMENTS, INC.
APPLETON, WI, UNITED STATES
RESIGNED

SUN LIFE FINANCI
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
WELLESLEY HILLS, MA, UNITED STATES
RESIGNED

T

TIGERBRIDGE CAPI
TIGERBRIDGE CAPITAL
115 BROADWAY, 5TH FLOOR, NEW YORK, NY 10006
ADMITTED

V

VTB CAPITAL INC.
VTB CAPITAL INC.
NAME CHANGED TO: XTELLUS CAPITAL PARTNERS, INC.

VTB CAPITAL INC.
XTELLUS CAPITAL PARTNERS, INC.
NEW NAME OF: VTB CAPITAL INC.

W

WEALTHFRONT BROK
WEALTHFRONT BROKERAGE CORPORATION
NAME CHANGED TO: WEALTHFRONT BROKERAGE LLC

WEALTHFRONT BROK
WEALTHFRONT BROKERAGE LLC
NEW NAME OF: WEALTHFRONT BROKERAGE CORPORATION