Changes to List of Broker Dealer Firms We Regulate

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

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1ST BRIDGEHOUSE
1ST BRIDGEHOUSE SECURITIES, LLC
MIAMI, FL, UNITED STATES
CANCELLED FOR FAILURE TO PAY OUTSTANDING FEES.

A

ALLY SECURITIES
ALLY SECURITIES LLC
DETROIT, MI, UNITED STATES
RESIGNED

ARI FINANCIAL SE
ARI FINANCIAL SERVICES, INC.
NAME CHANGED TO: CABIN SECURITIES, INC.

ARI FINANCIAL SE
CABIN SECURITIES, INC.
NEW NAME OF: ARI FINANCIAL SERVICES, INC.

ASPERION GROUP L
ASPERION GROUP LLC
NAME CHANGED TO: ERG SECURITIES (US) LLC

ASPERION GROUP L
ERG SECURITIES (US) LLC
NEW NAME OF: ASPERION GROUP LLC

ATLANTIC STATE P
ATLANTIC STATE PARTNERS, LLC
LARCHMONT, NY, USA
RESIGNED

B

BLUE ROCK GLOBAL
BLUE ROCK GLOBAL PARTNERS, INC.
WAYZATA, MN, USA
RESIGNED

C

CALDWELL INTERNA
CALDWELL INTERNATIONAL SECURITIES
NASSAU, BAHAMAS
EXPELLED FOR FAILURE TO PAY FINES AND/OR COSTS.

CHEEVERS & COMPA
CHEEVERS & COMPANY INC.
NAME CHANGED TO: CHEEVERS & COMPANY, LLC

CHEEVERS & COMPA
CHEEVERS & COMPANY, LLC
NEW NAME OF: CHEEVERS & COMPANY INC.

CITI PRIVATE ADV
CITI PRIVATE ADVISORY, LLC
153 EAST 53RD STREET, NEW YORK, NY 10022
MAILING ADDRESS: 399 PARK AVENUE, NEW YORK, NY 10022
ADMITTED

D

DINAN CAPITAL AD
DINAN CAPITAL ADVISORS, CERES CAPITAL ADVISORS
NAME CHANGED TO: DINAN CAPITAL ADVISORS

DINAN CAPITAL AD
DINAN CAPITAL ADVISORS
NEW NAME OF: DINAN CAPITAL ADVISORS, CERES CAPITAL ADVISORS

DOGWOOD SECURITI
DOGWOOD SECURITIES LLC
NAME CHANGED TO: 16 POINTS LLC

DOGWOOD SECURITI
16 POINTS LLC
NEW NAME OF: DOGWOOD SECURITIES LLC

DOUBLE EAGLE SEC
DOUBLE EAGLE SECURITIES OF AMERICA, INC.
TAMARAC, FL, UNITED STATES
RESIGNED

E

ELEFANT MARKETS
ELEFANT MARKETS
250 MUNOZ RIVERA AVENUE, SUITE 1130, SAN JUAN, PR 00918
ADMITTED

F

FACTSET DATA SYS
FACTSET DATA SYSTEMS, INC.
NORWALK, CT, UNITED STATES
RESIGNED

FIVE MILE CAPITA
FIVE MILE CAPITAL SECURITIES LLC
STAMFORD, CT, USA
RESIGNED

FORT DEARBORN CA
FORT DEARBORN CAPITAL ADVISORS, LLC
CHICAGO, IL
RESIGNED

FULCRUM SECURITI
FULCRUM SECURITIES, LLC
SAINT LOUIS, MO, USA
RESIGNED

G

GLOBAL LIQUIDITY
GLOBAL LIQUIDITY EXECUTION SERVICES, LLC
NAME CHANGED TO: COMHAR CAPITAL MARKETS, LLC

GLOBAL LIQUIDITY
COMHAR CAPITAL MARKETS, LLC
NEW NAME OF: GLOBAL LIQUIDITY EXECUTION SERVICES, LLC

H

HA&W STRATEGIC P
HA&W STRATEGIC PARTNERS, LLC
NAME CHANGED TO: APRIO STRATEGIC PARTNERS, LLC

HA&W STRATEGIC P
APRIO STRATEGIC PARTNERS, LLC
NEW NAME OF: HA&W STRATEGIC PARTNERS, LLC

HOCKING CAPITAL,
HOCKING CAPITAL, LLC
SAN FRANCISCO, CA, USA
RESIGNED

HYUNDAI SECURITI
HYUNDAI SECURITIES (AMERICA) INC.
NAME CHANGED TO: KBFG SECURITIES AMERICA INC.

HYUNDAI SECURITI
KBFG SECURITIES AMERICA INC.
NEW NAME OF: HYUNDAI SECURITIES (AMERICA) INC.

I

INVESTORS CAPITA
INVESTORS CAPITAL CORP.
LYNNFIELD, MA, UNITED STATES
RESIGNED

K

KYSON & CO
KYSON & CO
COVINA, CA, UNITED STATES
RESIGNED

L

LEGEND SECURITIE
LEGEND SECURITIES, INC.
NEW YORK, NY, UNITED STATES
CANCELLED FOR FAILURE TO PAY OUTSTANDING FEES.

LIBERTY TREE ADV
LIBERTY TREE ADVISORS, LLC
ACTON, MA
RESIGNED

LINCOLN INVESTME
LINCOLN INVESTMENT
LEGEND EQUITIES CORPORATION

M

MERCANTIL COMMER
MERCANTIL COMMERCEBANK INVESTMENT SERVICES
NAME CHANGED TO: MERCANTIL INVESTMENT SERVICES

MERCANTIL COMMER
MERCANTIL INVESTMENT SERVICES
NEW NAME OF: MERCANTIL COMMERCEBANK INVESTMENT SERVICES

MERRIMAN CAPITAL
MERRIMAN CAPITAL, INC.
NEW YORK, NY, UNITED STATES
EXPELLED FOR FAILURE TO PAY FINES AND/OR COSTS.

MONTECITO ADVISO
MONTECITO ADVISORS, INC.
SANTA BARBARA, CA, USA
RESIGNED

MORPHEUS SECURIT
MORPHEUS SECURITIES LLC
WEST ORANGE, NJ, UNITED STATES
RESIGNED

N

NAVY FEDERAL BRO
NAVY FEDERAL BROKERAGE SERVICES, LLC

NEUBERGER BERMAN
NEUBERGER BERMAN LLC
NAME CHANGED TO: NEUBERGER BERMAN BD LLC

NEUBERGER BERMAN
NEUBERGER BERMAN BD LLC
NEW NAME OF: NEUBERGER BERMAN LLC

NOBLE FINANCIAL
NOBLE FINANCIAL CAPITAL MARKETS< NAME CHANGED TO: NOBLE CAPITAL MARKETS, INC.

NOBLE FINANCIAL
NOBLE CAPITAL MARKETS, INC.
NEW NAME OF: NOBLE FINANCIAL CAPITAL MARKETS

NORTH STAR INVES
NORTH STAR INVESTMENT SERVICES, INC.
CHICAGO, IL, UNITED STATES
RESIGNED

O

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

OFFERBOARD SECUR
CARROLLTON CAPITAL PARTNERS, LLC
NEW NAME OF: OFFERBOARD SECURITIES

OWL ROCK SECURIT
OWL ROCK SECURITIES
245 PARK AVENUE,, 41ST FLOOR, NEW YORK, NY 10167
MAILING ADDRESS: 485 MADISON AVENUE, 15TH FLOOR, 41ST FLOOR, NEW YORK, NY 10022
ADMITTED

P

PANTHEON SECURIT
PANTHEON SECURITIES, LLC
1095 AVENUE OF THE AMERICAS, 24TH FLOOR, NEW YORK, NY 10036
ADMITTED

PENSION SERVICE
PENSION SERVICE ASSOCIATES SECURITIES
SHERMAN OAKS, CA, UNITED STATES
RESIGNED

R

REGIONS SECURITI
REGIONS SECURITIES
NAME CHANGED TO: REGIONS SECURITIES LLC

REGIONS SECURITI
REGIONS SECURITIES LLC
NEW NAME OF: REGIONS SECURITIES

REMINGTON GROUP,
REMINGTON GROUP, LLC
NEW YORK, NY, USA
RESIGNED

REPUBLIC PARTNER
REPUBLIC PARTNERS, LLC
2000 NORTH RACINE AVENUE, SUITE 4700, CHICAGO, IL 60614-4045
MAILING ADDRESS: 2000 NORTH RACINE AVENUE, SUITE 4700, CHICAGO, IL 60614-4045
ADMITTED

RICE PONTES CAPI
RICE PONTES CAPITAL, INC.
SAN RAMON, CA, UNITED STATES
RESIGNED

S

SANTOS CAPITAL G
SANTOS CAPITAL GROUP, LLC
1111 BRICKELL AVENUE, SUITE 1100, MIAMI, FL 33131
MAILING ADDRESS: 1100 BRICKELL AVENUE, SUITE 1100, MIAMI, FL 33131
ADMITTED

SEA STREET CAPIT
SEA STREET CAPITAL ADVISORS LLC
NEW YORK, NY
RESIGNED

SNOWDEN ACCOUNT
SNOWDEN ACCOUNT SERVICES, INC.
NAME CHANGED TO: SNOWDEN ACCOUNT SERVICES LLC

SNOWDEN ACCOUNT
SNOWDEN ACCOUNT SERVICES LLC
NEW NAME OF: SNOWDEN ACCOUNT SERVICES, INC.

SSC NY CORP.
SSC NY CORP.
NEW YORK, NY, UNITED STATES
RESIGNED

STRATTON CAPITAL
STRATTON CAPITAL MANAGEMENT, LTD.
NEW YORK, NY, USA
RESIGNED

T

TEACHERS FINANCI
TEACHERS FINANCIAL INVESTMENT CORPORATION
LAGUNA HILLS, CA
RESIGNED

TEXAS E&P PARTNE
TEXAS E&P PARTNERS, INC.
RICHARDSON, TX
EXPELLED FOR FAILURE TO PAY FEES

THE OIL & GAS AS
THE OIL & GAS ASSET CLEARINGHOUSE II, LLC
NAME CHANGED TO: CLEARINGHOUSE SECURITIES LLC

THE OIL & GAS AS
CLEARINGHOUSE SECURITIES LLC
NEW NAME OF: THE OIL & GAS ASSET CLEARINGHOUSE II, LLC

TRANSAMERICA CAP
TRANSAMERICA CAPITAL, INC.
TRANSAMERICA INVESTORS SECURITIES CORPORATION
DIVERSIFIED INVESTORS SECURITIES CORP.

TUDOR, PICKERING
TUDOR, PICKERING, HOLT & CO. ADVISORS, LLC
NAME CHANGED TO: TUDOR PICKERING HOLT & CO ADVISORS LP

TUDOR, PICKERING
TUDOR PICKERING HOLT & CO ADVISORS LP
NEW NAME OF: TUDOR, PICKERING, HOLT & CO. ADVISORS, LLC

V

VANGUARD CAPITAL
VANGUARD CAPITAL
DEL MAR, CA, UNITED STATES
RESIGNED

VICTOR SECURITIE
VICTOR SECURITIES, LLC
ENGLEWOOD, NJ, USA
RESIGNED

VSR FINANCIAL SE
VSR FINANCIAL SERVICES, INC.
OVERLAND PARK, KS, UNITED STATES
RESIGNED

W

WEALTHSTONE EQUI
WEALTHSTONE EQUITIES, INC.
COLUMBUS, OH, UNITED STATES
RESIGNED

WINDHAM FINANCIA
WINDHAM FINANCIAL SERVICES, INC.
CHARLOTTE, VT, UNITED STATES
RESIGNED