Firms We Regulate - D

D. B. MCKENNA & CO., INC.
207 WEST MAIN STREET, BENNINGTON, VT 05201-2108

D. WECKSTEIN & CO., INC.
230 PARK AVENUE, SUITE 1516, NEW YORK, NY 10169
Mailing Address: 230 PARK AVE-STE. 1516, NEW YORK, NY 10169

D.A. DAVIDSON & CO.
8 THIRD STREET NORTH, GREAT FALLS, MT 59401-3104
Mailing Address: P.O. BOX 5015, GREAT FALLS, MT 59403-5015

D.E. SHAW SECURITIES, L.L.C.
1166 AVENUE OF THE AMERICAS, 9TH FLOOR, NEW YORK, NY 10036

D.H. HILL SECURITIES, LLLP
1543 GREEN OAK PLACE, SUITE 100, KINGWOOD, TX 77339

D.M. KELLY & COMPANY
3900 INGERSOLL AVENUE, SUITE 300, DES MOINES, IA 50312

D/B/A CLARKSONS PLATOU SECURITIES
597 FIFTH AVENUE, 8TH FLOOR, NEW YORK, NY 10017

D/B/A PALAZZO
145 WEST 57TH STREET, 17TH FLOOR, NEW YORK, NY 10019
Mailing Address: 145 WEST 57TH STREET, 17TH FLOOR, NEW YORK, NY 10010

DABBAH SECURITIES CORP.
6 EAST 46TH STREET, SUITE 300, NEW YORK, NY 10017

DAEWOO SECURITIES (AMERICA) INC.
320 PARK AVENUE, 31ST FLOOR, NEW YORK, NY 10022

DAG SECURITIES INC.
C/O ACCOUNTING & COMPLIANCE INTERNATIONAL, 40 WALL STREET, 17TH FLOOR, NEW YORK, NY 10006

DAIWA CAPITAL MARKETS AMERICA INC.
FINANCIAL SQUARE, 32 OLD SLIP, NEW YORK, NY 10005-3538

DAK CAPITAL, LLC
195 ROUTE 17 SOUTH, ROCHELLE PARK, NJ 07662

DAKOTA SECURITIES INTERNATIONAL, INC.
1111 BRICKELL AVENUE, SUITE 2803, MIAMI, FL 33131

DAKOY CAPITAL MARKETS LLC
420 LEXINGTON AVENUE, SUITE 2301, NEW YORK, NY 10170

DALMORE GROUP LLC
525 GREEN PLACE, WOODMERE, NY 11598

DANSKE MARKETS INC.
280 PARK AVENUE, 35TH FLOOR, NEW YORK, NY 10017

DAROTH CAPITAL ADVISORS LLC
130 EAST 59TH ST., 12TH FLOOR, NEW YORK, NY 10022

DART EXECUTIONS, LLC
350 NORTH ORLEANS STREET, 2N, CHICAGO, IL 60654

DART, PAPESH & COMPANY, INCORPORATED
4572 S. HAGADORN ROAD, SUITE 2-C, EAST LANSING, MI 48823-5385

DARWOOD ASSOCIATES INCORPORATED
284 U.S. HIGHWAY 206, UNIT D3, HILLSBOROUGH, NJ 08844

DASH FINANCIAL LLC
910 W. VAN BUREN ST., 4TH FLOOR, CHICAGO, IL 60607

DAVENPORT & COMPANY LLC
ONE JAMES CENTER, 901 E. CARY STREET, RICHMOND, VA 23219
Mailing Address: P.O. BOX 85678, RICHMOND, VA 23285-5678

DAVID A. NOYES & COMPANY
209 SOUTH LA SALLE STREET, 12TH FLOOR, CHICAGO, IL 60604-1203

DAVID HARRIS & CO., INC.
222 MAMARONECK AVENUE, WHITE PLAINS, NY 10605
Mailing Address: P.O. BOX 668, WHITE PLAINS, NY 10602

DAVID LERNER ASSOCIATES, INC.
477 JERICHO TPKE, P.O.BOX 9006, SYOSSET, NY 11791-9006

DAVINCI CAPITAL MANAGEMENT INC.
801 CAMBRIDGE ST., CAMBRIDGE, MA 02141
Mailing Address: 801 CAMBRIDGE ST., CAMBRIDGE, MA 02141

DAVIS DISTRIBUTORS, LLC
3601 E. BRITANNIA DRIVE, TUCSON, AZ 85706
Mailing Address: 2949 EAST ELVIRA ROAD, SUITE 101, TUCSON, AZ 85756

DAVIS SECURITIES LLC
1375 BROADWAY, 10TH FLOOR, NEW YORK, NY 10018

DAVY SECURITIES
DAVY HOUSE, 49 DAWSON STREET, DUBLIN 2, D2 IRELAND

DAWSON JAMES SECURITIES, INC.
1 NORTH FEDERAL HIGHWAY, SUITE 500, BOCA RATON, FL 33432

DBS VICKERS SECURITIES (USA) INC.
777 THIRD AVE, SUITE 26A, NEW YORK, NY 10017
Mailing Address: 777 THIRD AVENUE, SUITE 26A, NEW YORK, NY 10017

DCF, LLC
SUITE 902, TALLAN FINANCIAL CENTER, CHATTANOOGA, TN 37402

DCM BROKERS, LLC
555 W. JACKSON, SUITE 600, CHICAGO, IL 60661
Mailing Address: 555 W. JACKSON, SUITE 600, CHICAGO, IL 60661

DCMB SECURITIES LLC
2121 SAGE RD, SUITE 225, HOUSTON, TX 77056

DE GUARDIOLA ADVISORS, INC.
1 NORTH CLEMATIS STREET, SUITE 307, WEST PALM BEACH, FL 33401
Mailing Address: 12 LAGOMAR ROAD, PALM BEACH, FL 10022

DEALERWEB INC.
2200 PLAZA FIVE, HARBORSIDE FINANCIAL CENTER, JERSEY CITY, NJ 07311

DEAN BRADLEY OSBORNE PARTNERS LLC
ONE EMBARCADERO CENTER, STE 3700, SAN FRANCISCO, CA 94111
Mailing Address: ONE EMBARCADERO, STE 3700, SAN FRANCISCO, CA 94111

DEARBORN CAPITAL MARKETS GROUP, LLC
3065 EAST CORPORATE EDGE DRIVE, SUITE 101, GERMANTOWN, TN 38138

DEAWM DISTRIBUTORS, INC.
222 SOUTH RIVERSIDE PLAZA, CHICAGO, IL 60606-5808
Mailing Address: 60 WALL STREET, 25 TH FLOOR, NEW YORK, NY 10005

DECADE SECURITIES CORP.
13555 BISHOPS COURT, BROOKFIELD, WI 53005

DECKER & CO, LLC
855 OAK GROVE, SUITE 209, MENLO PARK, CA 94025

DEEP ATS, LLC
3225 SMOKY RIDGE ROAD, AUSTIN, TX 78730

DEER ISLE CAPITAL, LLC
THE FISK BUILDING, 250 WEST 57TH STREET, SUITE 620, NEW YORK, NY 10107

DEFCOM ADVISORS, LLC
6817 DELOACHE AVE., DALLAS, TX 75225

DEFILIPPO CAPITALE PARTNERS LLC
1820 DESSERT INN ROAD, LAS VEGAS, NV 89109
Mailing Address: 29 FROST LANE, LAWRENCE, NY 11559

DELANEY EQUITY GROUP LLC
2401 PGA BLVD, SUITE 110, PALM BEACH GARDENS, FL 33410

DELAWARE DISTRIBUTORS, L.P.
2005 MARKET ST, 9TH FLOOR, PHILADELPHIA, PA 19103

DELOITTE CORPORATE FINANCE LLC
200 RENAISSANCE CENTER - SUITE 3900, DETROIT, MI 48243-1900

DELPHX SERVICES CORPORATION
5 GREAT VALLEY PARKWAY, MALVERN, PA 19355

DEMATTEO MONNESS LLC
780 THIRD AVENUE (45TH FLOOR), NEW YORK, NY 10017

DEMETER ADVISORY GROUP, LLC
220 HALLECK STREET, SUITE 220, SAN FRANCISCO, CA 94129

DEMOCRACY FUNDING LLC
2200 WILSON BLVD., SUITE 805, ARLINGTON, VA 22201

DEMPSEY FINANCIAL NETWORK, INC.
2951 PIEDMONT ROAD NE, SUITE 200, ATLANTA, GA 30305-2786

DEMPSEY LORD SMITH, LLC
901 N BROAD STREET, SUITE 400, ROME, GA 30161

DENNING & COMPANY LLC
ONE CALIFORNIA STREET, SUITE 2800, SAN FRANCISCO, CA 94111

DERMOTT W. CLANCY CORP.
C/O LAW OFFICE OF DONNA H. CLANCY, 40 WALL STREET, 30TH FLOOR, NEW YORK, NY 10005

DESILVA & PHILLIPS CORPORATE FINANCE LLC
475 PARK AVENUE SOUTH, NEW YORK, NY 10016

DESJARDINS SECURITIES INTERNATIONAL INC
1170 PEEL STREET, SUITE 300, MONTREAL, QUEBEC, H3B 0A9 CANADA

DESON & CO.
945 ENCORVADO STREET, LAS VEGAS, NV 89138

DESPAIN FINANCIAL CORPORATION
502 WEST MAIN STREET, COLLINSVILLE, IL 62234-3019

DESTINY CAPITAL SECURITIES CORPORATION
13922 DENVER WEST PARKWAY, SUITE 150, GOLDEN, CO 80401-3102
Mailing Address: 13922 DENVER WEST PARKWAY-SUITE 150, GOLDEN, CO 80401-3102

DESTRA CAPITAL INVESTMENTS LLC
ONE NORTH WACKER DRIVE, 48TH FLOOR, CHICAGO, IL 60606-2829

DETWILER FENTON & CO.
225 FRANKLIN STREET, SUITE 2300, BOSTON, MA 02110

DETWILER FENTON WEALTH MANAGEMENT INC
225 FRANKLIN STREET, SUITE 2300, BOSTON, MA 02110

DEUTSCHE BANK SECURITIES INC.
60 WALL STREET, NEW YORK, NY 10005
Mailing Address: 60 WALL STREET, NYC60-3712, NEW YORK, NY 10005

DEVELOPMENT CORPORATION FOR ISRAEL
641 LEXINGTON AVENUE, NEW YORK, NY 10022

DEVENIR, LLC
8500 NORMANDALE LAKE BLVD, SUITE 2160, MINNEAPOLIS, MN 55437

DFA SECURITIES LLC
6300 BEE CAVE ROAD, AUSTIN, TX 78746

DFP EQUITIES, INC.
501 PENNSYLVANIA PARKWAY, SUITE 155, INDIANAPOLIS, IN 46280
Mailing Address: P.O. BOX 80154, INDIANAPOLIS, IN 46280

DFPG INVESTMENTS, INC.
406 W. SOUTH JORDAN PKWY, STE 240, SOUTH JORDAN, UT 84095

DH FREDERICK SECURITIES, INC.
5000 BIRCH ST., SUITE 3000; WEST TOWER, NEWPORT BEACH, CA 92660

DIAMANT INVESTMENT CORPORATION
170 MASON STREET, GREENWICH, CT 06830-6642

DIGITAL OFFERING LLC
4600 CAMPUS DRIVE, SUITE 108, NEWPORT BEACH, CA 92660

DILLON - GAGE SECURITIES, INC.
15301 DALLAS PKWY SUITE 200, ADDISON, TX 75001
Mailing Address: 15301 DALLAS PARKWAY SUITE 200, ADDISON, TX 75001

DINAN CAPITAL ADVISORS, CERES CAPITAL ADVISORS
3010 E. CAMELBACK ROAD, SUITE 100, PHOENIX, AZ 85016-4415

DINOSAUR SECURITIES, L.L.C.
470 PARK AVE SOUTH, 9TH FLOOR, NEW YORK, NY 10016
Mailing Address: 470 PARK AVENUE SOUTH, 9TH FLOOR, NEW YORK, NY 10016

DIRECT REALTY SECURITIES, INC.
5743 CORSA AVENUE, SUITE 215, WESTLAKE VILLIAGE, CA 91362

DIRECTED SERVICES LLC
ONE ORANGE WAY, ATTN. COMPLIANCE C2N, WINDSOR, CT 06095

DISCERN SECURITIES, INC.
100 PINE STREET, SUITE 1850, SAN FRANCISCO, CA 94111

DITTO TRADE, INC.
200 W. MONROE, #1430, CHICAGO, IL 60606

DIVERSIFIED RESOURCES, LLC
70 JEFFERSON BLVD., WARWICK, RI 02888

DIVERSIFIED SECURITIES, INCORPORATED
6700 E. PACIFIC COAST HWY-150, LONG BEACH, CA 90803
Mailing Address: P. O. BOX 357, LONG BEACH, CA 90801

DIVIDEND CAPITAL SECURITIES, LLC
518 17TH STREET, 12TH FLOOR, DENVER, CO 80202

DIVINE CAPITAL MARKETS LLC
39 BROADWAY, 36TH FLOOR, NEW YORK, NY 10006

DLS CAPITAL PARTNERS, INC.
5527 FARQUHAR, DALLAS, TX 75209

DLX FINANCIAL GROUP, LLC
4143 TAMARACK DRIVE, MEDFORD, OR 97504-9299

DME SECURITIES, LLC
C/O BUTTONWOOD BUSINESS SOLUTIONS LLC, 30 BROAD STREET, 14TH FLOOR, NEW YORK, NY 10005

DMG SECURITIES, INC.
746 WALKER ROAD, SUITE 10, GREAT FALLS, VA 22066-2643

DNB MARKETS, INC.
200 PARK AVENUE, NEW YORK, NY 10166-0396

DOFT & CO., INC.
55 EAST 59TH STREET, 12TH FLOOR, NEW YORK, NY 10022

DOLE CAPITAL, LLC
1188 BISHOP STREET, SUITE 1901, HONOLULU, HI 96813

DOMINICK & DICKERMAN LLC
260 MADISON AVE, EIGHT FLOOR, NEW YORK, NY 10016
Mailing Address: 260 MADISON AVE, EIGHT FLOOR, NEW YORK CITY, NY 10016

DOMINION INVESTOR SERVICES, INC.
9000 HIGHWAY 2147 WEST, SUITE 201, HORSESHOE BAY, TX 78657
Mailing Address: P. O. BOX 4768, HORSESHOE BAY, TX 78657

DOMINION PARTNERS, L.C.
4801COX ROAD, STE 104, GLEN ALLEN, VA 23060

DON ALEXANDER INVESTMENTS, INC.
1301 WEST 22ND STREET - SUITE 713, OAK BROOK, IL 60523
Mailing Address: 1301 WEST 22ND STREET, SUITE 713, OAK BROOK, IL 60523

DONEGAL SECURITIES, INC.
20 WALNUT STREET, #12, WELLESLEY, MA 02481

DONNELLY PENMAN & PARTNERS
17160 KERCHEVAL AVENUE, GROSSE POINTE, MI 48230

DORIC CORPORATION
191 POST ROAD WEST, WESTPORT, CT 06880

DORN & CO., INC.
216 EAST WASHINGTON AVENUE, FERGUS FALLS, MN 56537-2812

DORSEY & COMPANY, INC.
511 GRAVIER STREET, NEW ORLEANS, LA 70130-2701

DOUBLE EAGLE SECURITIES OF AMERICA, INC.
6610 N. UNIVERSITY DRIVE, SUITE 250, TAMARAC, FL 33321

DOUGHERTY & COMPANY LLC
90 SOUTH SEVENTH ST-STE 4300, MINNEAPOLIS, MN 55402-4108

DOUGLAS & CO. MUNICIPALS, INC.
14 EAST 60TH ST., NEW YORK, NY 10022

DOUGLAS SCOTT SECURITIES, INC.
3820 AMERICAN DRIVE, SUITE 300, PLANO, TX 75075

DOWLING & PARTNERS SECURITIES LLC
190 FARMINGTON AVENUE, FARMINGTON, CT 06032

DOWNER & COMPANY
75 STATE STREET, SUITE 1210, BOSTON, MA 02109

DOYLE, INC.
24 UTICA WALK, QUEENS, NY 11697-1510

DPEC CAPITAL, INC.
135 FIFTH AVE. 10TH FLOOR, NEW YORK, NY 10010

DRAGONFLY CAPITAL PARTNERS, LLC
1310 S. TRYON ST., SUITE 109, CHARLOTTE, NC 28203

DRESNER INVESTMENT SERVICES, INC.
20 NORTH CLARK STE- STE 3550, CHICAGO, IL 60602
Mailing Address: 20 NORTH CLARK ST- STE 3550, CHICAGO, IL 60602

DREXEL HAMILTON, LLC
2000 MARKET STREET, SUITE 780, PHILADELPHIA, PA 19103

DRIEHAUS SECURITIES LLC
25 EAST ERIE ST, CHICAGO, IL 60611-2703

DRIVEWEALTH, LLC
97 MAIN STREET, SECOND FLOOR, CHATHAM, NJ 07928

DRU STOCK, INC.
57 FOX LEDGE ROAD, KINNELON, NJ 07405
Mailing Address: 57 FOX LEDGE ROAD, KINNELON, NJ 07405

DSIL INVESTMENT SERVICES LLC
532 BROADWAY, 9TH FLOOR, NEW YORK, NY 10012-3939

DST MARKET SERVICES, LLC
920 2ND AVE SOUTH SUITE 700, MINNEAPOLIS, MN 55402-4007

DT SECURITIES, LTD.
4421 WEST RIVERSIDE DRIVE, SUITE 102, TOLUCA LAKE, CA 91505

DUBEAU CAPITAL USA, INC.
440-5700, BOUL. DES GALERIES, QUEBEC CITY, QC G2K 0H5 CANADA

DUFF & PHELPS SECURITIES LLC
311 S. WACKER DRIVE, SUITE 4200, CHICAGO, IL 60606

DUNCAN-WILLIAMS, INC.
6750 POPLAR A VENUE - SUITE 300, MEMPHIS (SHELBY), TN 38138-7424
Mailing Address: 6750 POPLAR AVENUE - SUIITE 300, MEMPHIS (SHELBY), TN 38138-7424

DUNDEE SECURITIES INC.
1 ADELAIDE STREET EAST, SUITE 2100, TORONTO, M5C 2V9 CANADA

DUNES SECURITIES CORPORATION
12 NEW ORLEANS ROAD, HILTON HEAD ISLAND, SC 29928

DUNHAM & ASSOCIATES INVESTMENT COUNSEL, INC.
10251 VISTA SORRENTO PARKWAY, SUITE 200, SAN DIEGO, CA 92121
Mailing Address: P.O. BOX 910309, SAN DIEGO, CA 92191

DUNN RUSH & CO. LLC
225 FRANKLIN STREET, 26TH FLOOR, BOSTON, MA 02110

DUPONT CAPITAL MANAGEMENT MARKETING CORPORATION
DELAWARE CORPORATE CENTER, ONE RIGHTER PARKWAY, SUITE 3200, WILMINGTON, DE 19803-1534

DUPREE & COMPANY, INC.
125 SOUTH MILL STREET, LEXINGTON, KY 40507-1683
Mailing Address: P. O. BOX 1149, LEXINGTON, KY 40588-1149

DV FINANCIAL SERVICES, LLC
22 E. JACKSON STREET, PHOENIX, AZ 85004

DVB CAPITAL MARKETS LLC
609 FIFTH AVENUE, 5TH FLOOR, NEW YORK, NY 10017

DWM FINANCE LLC
750 WASHINGTON BLVD, 5TH FLOOR, STAMFORD, CT 06901

DYNAMEX TRADING, LLC
11 BROADWAY, SUITE 360, NEW YORK, NY 10004

DYNASTY CAPITAL PARTNERS, INC.
5445 DTC PARKWAY, SUITE 940, GREENWOOD VILLAGE, CO 80111

DYNASTY SECURITIES, LLC
1350 AVENUE OF THE AMERICAS, 32ND FLOOR, NEW YORK, NY 10019

DZ FINANCIAL MARKETS LLC
609 FIFTH AVENUE, NEW YORK, NY 10017
Mailing Address: 609 FIFTH AVE, NEW YORK, NY 10017

Last updated: 6/2/15