Broker Dealer Firms We Regulate - E

E D & F MAN CAPITAL MARKETS INC.
140 EAST 45TH STREET, 42ND FLOOR, NEW YORK, NY 10017

E&J SECURITIES CORP.
C/O ACCOUNTING & COMPLIANCE INTERNATIONAL, 40 WALL STREET, 17TH FLOOR, NEW YORK, NY 10005
Mailing Address: C/O ACCOUNTING & COMPLIANCE INTERNATIONAL, 40 WALL STREET, 17TH FLOOR, NEW YORK, NY 10005

E*TRADE SECURITIES LLC
1271 AVENUE OF THE AMERICAS, 14TH FLOOR, NEW YORK, NY 10020

E-W INVESTMENTS, INC.
205 E. LAS TUNAS DRIVE, SAN GABRIEL, CA 91776

E. E. POWELL & COMPANY INC.
200 NORTHPOINTE CIRCLE, SUITE 304, SEVEN FIELDS, PA 16046

E. MAGNUS OPPENHEIM & CO. INC.
261 MADISON AVENUE, 9TH FLOOR, STE. 9015, NEW YORK, NY 10016-2303

E.K. WALLACE SECURITIES LLC
270 LAFAYETTE ST. SUITE 1204, NEW YORK, NY 10012

E.L.K. CAPITAL ADVISORS, LLC
40 SKOKIE BOULEVARD, SUITE 430, NORTHBROOK, IL 60062

E1 ASSET MANAGEMENT, INC.
185 HUDSON ST. SUITE 2500, SUITE 2500, JERSEY CITY, NJ 07311

EA MARKETS SECURITIES LLC
120 W 45TH ST., 24TH FLOOR, NEW YORK, NY 10036

EAGLE LEDGE CAPITAL, LLC
5825 E. BURNS AVE., FRESNO, CA 93727

EARLYBIRDCAPITAL, INC.
ONE HUNTINGTON QUADRANGLE, SUITE 4C18, MELVILLE, NY 11747

EAST WIND SECURITIES, LLC
135 WEST 50TH STREET, SUITE 19D, NEW YORK, NY 10020

EASTERLY SECURITIES LLC
138 CONANT STREET, BEVERLY, MA 01915

EASTERN POINT SECURITIES, INC.
3 RIVER PLACE, LEXINGTON, VA 24450

EASTRIDGE CAPITAL, LP
200 EAST 90TH STREET, #20H, NEW YORK, NY 10128

EATON PARTNERS, LLC
131 ROWAYTON AVENUE, ROWAYTON, CT 06853

EATON VANCE DISTRIBUTORS, INC.
TWO INTERNATIONAL PLACE, BOSTON, MA 02110

EBH SECURITIES, INC.
6525 E. 82ND ST. SUITE 209, INDIANAPOLIS, IN 46250
Mailing Address: 6525 E. 82ND ST  SUITE 209, INDIANAPOLIS, IN 46250

EBOND SECURITIES, LLC
330 MADISON AVENUE, 6TH FLOOR, NEW YORK, NY 10017

ECHELON CAPITAL
1500 ROSECRANS AVENUE, SUITE 416, MANHATTAN BEACH, CA 90266

ECOBAN SECURITIES CORPORATION
521 FIFTH AVENUE SUITE 630, NEW YORK, NY 10175

ECONOMY SECURITIES, INCORPORATED
1301 MORTENSEN LANE, EVANSVILLE, IN 47715

EDELMAN & CO., LTD.
627 EAST BAY POINT ROAD, BAYSIDE, WI 53217
Mailing Address: 333 WEST BROWN DEER ROAD, MILWAUKEE, WI 53217

EDELWEISS FINANCIAL SERVICES INC.
205 E 42ND STREET, 20TH FLOOR, NEW YORK, NY 10017

EDGE CORPORATE FINANCE, LLC
1380 W. PACES FERRY RD., SUITE 1000, ATLANTA, GA 30327
Mailing Address: 1380 W. PACES FERRY RD., SUITE 1000, ATLANTA, GA 30327

EDGELINE CAPITAL, LLC.
11726 SAN VICENTE BLVD., SUITE 610, LOS ANGELES, CA 90049

EDGEMONT CAPITAL PARTNERS, L.P.
570 LEXINGTON AVENUE, 29TH FLOOR, NEW YORK, NY 10022

EDGEMOOR PARTNERS LLC
600 CALIFORNIA STREET, SUITE 560, SAN FRANCISCO, CA 94108

EDGEPOINT CAPITAL ADVISORS LLC
2000 AUBURN DRIVE, SUITE 330, BEACHWOOD, OH 44122
Mailing Address: 2000 AUBURN DRIVE, SUITE 330, BEACHWOOD, OH 44122

EDGEWATER CAPITAL, LLC
6 HUTTON CENTRE DRIVE, #860, SOUTH COAST METRO, CA 92707

EDWARD JONES
12555 MANCHESTER ROAD, ST. LOUIS, MO 63131-3729

EF LEGACY SECURITIES, LLC
200 WESTGATE PARKWAY, SUITE 202, HENRICO, VA 23233

EFG CAPITAL INTERNATIONAL
701 BRICKELL AVE, 9TH FLOOR & SUITE 1350, MIAMI, FL 33131-2867

EFG-HERMES USA, INC.
3 COLUMBUS CIRCLE, 15TH FLOOR, NEW YORK, NY 10019
Mailing Address: SEWARD &KISSEL LLP C/O MARLON PAZ, ONE BATTERY PARK PLAZA, NEW YORK, NY 10004

EG MARKET TECHNOLOGIES LLC
767 5TH AVE, 45TH FLOOR, NEW YORK, NY 10153

EIDE BAILLY SECURITIES, LLC
4310 17TH AVENUE S, FARGO, ND 58108-2545
Mailing Address: PO BOX 2545, FARGO, ND 58108-2545

EIGHT CAPITAL CORP.
1 ADELAIDE STREET EAST, SUITE 2100, TORONTO, M5C 2V9 CANADA

EIGHT PINES SECURITIES LLC
1301 MCKINNEY STREET, SUITE 2025, HOUSTON, TX 77010

EK RILEY INVESTMENTS, LLC
1420 5TH AVENUE SUITE 3300, SEATTLE, WA 98101
Mailing Address: 1420 5TH AVENUE SUITE 3300, SEATTLE, WA 98101

EKS&H CAPITAL ADVISORS, LLC
8181 E. TUFTS AVENUE, SUITE 600, DENVER, CO 80237

ELARA SECURITIES, INC.
950 THIRD AVENUE, SUITE 1903, NEW YORK, NY 10022

ELE WEALTH ADVISORS, INC.
18700 W. 10 MILE ROAD, STE 100, SOUTHFIELD, MI 48075

ELECTRONIC TRANSACTION CLEARING, INC.
660 S. FIGUEROA STREET SUITE 1450, LOS ANGELES, CA 90017
Mailing Address: 660 S. FIGUEROA STREET SUITE 1450, LOS ANGELES, CA 90017

ELECTRONIFIE SECURITIES LLC
5 BRYANT PARK, 8TH FLOOR, NEW YORK, NY 10018

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

ELEVATE CAPITAL LLC
1200 BRICKELL AVE, SUITE 1950, MIAMI, FL 33131

ELEVATION, LLC
1355 GREENWOOD CLIFF ROAD, SUITE 250, CHARLOTTE, NC 28204

ELKHORN SECURITIES, LLC
207 REBER ST., SUITE 201, WHEATON, IL 60187-5415

ELM CAPITAL USA LIMITED
26 ST JAMES'S SQUARE, LONDON, SW1Y 4JH UNITED KINGDOM

ELMCORE SECURITIES LLC
8985 S EASTERN AVENUE, SUITE 205, LAS VEGAS, NV 89123

EM SECURITIES LLC
C/O EVOLUTION MEDIA CAPITAL, 405 LEXINGTON AVENUE, 19TH FLOOR, NEW YORK, NY 10174

EMBONDS INC.
44 WEST 28TH STREET, SUITE 806, NEW YORK, NY 10011

EMERALD POINT CAPITAL, LLC
420 LEXINGTON AVENUE, SUITE 1718, NEW YORK, NY 10170

EMERGING GROWTH EQUITIES, LTD.
1150 FIRST AVE, PARK VIEW TOWER, SUITE 450, KING OF PRUSSIA, PA 19406-2816

EMERGING MANAGER ADVISORS LLC
84 MORRIS STREET, JERSEY CITY, NJ 07302

EMERSON EQUITY LLC
155 BOVET ROAD, SUITE 725, SAN MATEO, CA 94402
Mailing Address: 155 BOVET ROAD, SUITE 725, SAN MATEO, CA 94402

EMMET & CO, INC.
12 PEAPACK ROAD, FAR HILLS, NJ 07931
Mailing Address: P.O. BOX 160, FAR HILLS, NJ 07931

EMPIRE ASSET MANAGEMENT COMPANY
29 BROADWAY, 12TH FLOOR, NEW YORK, NY 10006

EMPIRE EXECUTIONS, INC.
C/O ACCOUNTING & COMPLIANCE INTERNATIONAL, 40 WALL STREET, 17TH FLOOR, NEW YORK, NY 10005

EMPIRE INVESTMENT INC.
136-20 38TH AVE., SUITE 9E, FLUSHING, NY 11354

EMPIRE STATE FINANCIAL, INC.
20 W. PARK AVE., SUITE 207, LONG BEACH, NY 11561

EMPIRIC DISTRIBUTORS, INC.
500 N CAPITAL OF TEXAS HWY, BUILDING 8, SUITE 150, AUSTIN, TX 78746

EMPIRICAL RESEARCH PARTNERS LLC
565 FIFTH AVENUE, 25TH FLOOR, NEW YORK, NY 10017

EMPLOYEE BENEFITS INVESTMENT GROUP, INC.
261 WEST CAUSEWAY APPROACH, MANDEVILLE, LA 70448
Mailing Address: P. O. BOX 1260, MANDEVILLE, LA 70470

EMU SECURITIES LLC
39 BROADWAY SUITE 3300, ROOM 9, NEW YORK, NY 10006-3019

ENCLAVE CAPITAL LLC
19 W 44TH STREET, SUITE 1700, NEW YORK, NY 10036

ENDEAVOR CAPITAL
30 BROAD STREET, SUITE1445, NEW YORK, NY 10004
Mailing Address: 30 BROAD STREET, SUITE 1445, NEW YORK, NY 10004

ENERECAP PARTNERS, LLC
1718 PEACHTREE STREET, NW, SUITE 900, ATLANTA, GA 30309

ENERGY CAPITAL SOLUTIONS LLC
2651 NORTH HARWOOD, SUITE 410, DALLAS, TX 75201

ENERGYNET.COM, INC.
7201 I-40 WEST SUITE 319, AMARILLO, TX 79106

ENGLAND SECURITIES, LLC
7201 WISCONSIN AVE., SUITE 480, BETHESDA, MD 20814

ENLACE MARKETS, INC.
115 BROADWAY SUITE 1303, NEW YORK, NY 10005

ENSPIRE INVESTMENTS
125 SUMMER STREET, SUITE 1810, BOSTON, MA 02110

ENSTREAM CAPITAL MARKETS, LLC
5646 MILTON STREET, SUITE 318, DALLAS, TX 75206

ENTERPRISE EQUITIES, INC.
70 CORPORATE CENTER, 11000 BROKEN LAND PARKWAY , SUITE 700, COLUMBIA, MD 21044

ENTORO SECURITIES, LLC
710 N POST OAK ROAD, SUITE 150, HOUSTON, TX 77024

ENTREX CAPITAL MARKET, LLC
3700 S. EMERALD AVE, CHICAGO, IL 60609-1639

ENTRUSTPERMAL SECURITIES LLC
300 PARK AVENUE, 16TH FLOOR, NEW YORK, NY 10022

ENVERRA CAPITAL LLC
2101 L STREET NW, SUITE 800, WASHINGTON, DC 20037

EP SECURITIES, LLC
275 MADISON AVE, 40TH FLOOR, NEW YORK, NY 10016

EPIC CAPITAL SECURITIES
2000 GLADES ROAD, SUITE 210, BOCA RATON, FL 33431

EQT PARTNERS BD LLC
1114 AVENUE OF THE AMERICAS, 45TH FLOOR, NEW YORK, NY 10036
Mailing Address: 1114 AVENUE OF THE AMERICAS, NEW YORK, NY 10036

EQUABLE SECURITIES CORPORATION
330 NORTH 121ST STREET, MILWAUKEE, WI 53226-3895

EQUATEX US INC
233 BROADWAY, SUITE 954, NEW YORK, NY 10279

EQUIDATE MARKETS LLC
19 OAK LANE, GLEN COVE, NY 11542

EQUIFINANCIAL LLC
1717 NORTH BAYSHORE DRIVE, SUITE 208, MIAMI, FL 33132
Mailing Address: 1717 NORTH BAYSHORE DRIVE, SUITE 217, MIAMI, FL 33132

EQUILEND
225 LIBERTY STREET, 10TH FLOOR, SUITE 1020, NEW YORK, NY 10281

EQUILIBRIUM CAPITAL SERVICES, LLC
415 NW 11TH STREET, PORTLAND, OR 97209

EQUINOX GROUP DISTRIBUTORS, LLC
47 HULFISH STREET, SUITE 510, PRINCETON, NJ 08542

EQUITEQ SECURITIES LLC
477 MADISON AVENUE, SUITE 740, NEW YORK, NY 10022

EQUITY INVESTMENT SERVICES, INC
1808 NORTH O STREET, LAKE WORTH, FL 33460
Mailing Address: 1808 NORTH O STREET, LAKE WORTH, FL 33460

EQUITY SERVICES, INC.
ONE NATIONAL LIFE DRIVE, MONTPELIER, VT 05604

EQUITYZEN SECURITIES LLC
10 W. 18TH STREET, 7TH FLOOR, NEW YORK, NY 10011

EQUUS FINANCIAL CONSULTING LLC
78 PINE ST., SUITE 101, NEW CANAAN, CT 06840

ERG SECURITIES (US) LLC
50 WASHINGTON STREET, SUITE 401, NORWALK, CT 06854

ERNST & YOUNG CAPITAL ADVISORS, LLC
5 TIMES SQUARE, NEW YORK, NY 10036

ERNST & YOUNG CORPORATE FINANCE (CANADA) INC.
100 ADELAIDE STREET WEST, EY TOWER, TORONTO, M5H 0B3 ONTARIO, CANADA
Mailing Address: 100 ADELAIDE STREET WEST, EY TOWER, PO BOX 1, TORONTO, M5H 0B3 ONTARIO, CANADA

ERNST CAPITAL SECURITIES, LLC
101 S. REID STREET, SUITE 209, SIOUX FALLS, SD 57103

EROOM SECURITIES L.L.C.
200 SOUTH WACKER DRIVE, SUITE 2450, CHICAGO, IL 60606

ESAE CAPITAL PARTNERS, LLC
1410 BROADWAY, SUITE 1102, NEW YORK, NY 10018

ESF EQUITY, LP
31351 RANCHO VIEJO ROAD #205, SAN JUAN CAPISTRANO, CA 92675

ESHARES SECURITIES, LLC
600 HARRISON STREET, SUITE 120, SAN FRANCISCO, CA 94107

ESL INVESTMENT SERVICES, LLC
225 CHESTNUT STREET, ROCHESTER, NY 14604

ESPOSITO SECURITIES, LLC
200 CRESCENT COURT, SUITE 450, DALLAS, TX 75201

ESSEX FINANCIAL
176 WESTBROOK ROAD, ESSEX, CT 06426
Mailing Address: P.O. BOX 999, ESSEX, CT 06426-0999

ESSEX RADEZ LLC
440 S. LASALLE #1111, CHICAGO, IL 60605-1028

ESSEX SECURITIES LLC
168 CENTRE STREET, 2ND FLOOR, DANVERS, MA 01923

ESTRADA HINOJOSA & COMPANY, INC.
1717 MAIN STREET LB 47, SUITE 4700, DALLAS, TX 75201-7361
Mailing Address: 1717 MAIN STREET LB 47, DALLAS, TX 75201-7361

ETC BROKERAGE SERVICES, LLC
1 EQUITY WAY, WESTLAKE, OH 44145

ETF DISTRIBUTORS LLC
1540 BROADWAY 16TH FLOOR, NEW YORK, NY 10036

ETFMG FINANCIAL LLC
30 MAPLE STREET #2, SUMMIT, NJ 07901

EULAV SECURITIES LLC
7 TIMES SQUARE, 21ST FLOOR, NEW YORK, NY 10036

EUREKA CAPITAL MARKETS, LLC
52 VANDERBILT AVENUE, SUITE 902, NEW YORK, NY 10017

EUREKACAP PARTNERS, INC.
673 FIFTH AVENUE, 5TH FLOOR, NEW YORK, NY 10022

EURO PACIFIC CAPITAL, INC.
88 POST ROAD WEST, 2ND FLOOR, WESTPORT, CT 06880

EURO-AMERICAN EQUITIES, INC.
4327 FOREST AVENUE S.E., MERCER ISLAND, WA 98040
Mailing Address: 4327 FOREST AVENUE S.E., MERCER ISLAND, WA 98040

EUROCONSULT CAPITAL, LLC
23 BERKELEY SQUARE, LONDON, W1J 6HE UNITED KINGDOM
Mailing Address: 767 THIRD AVENUE, 19TH FLOOR, NEW YORK, NY 10017

EUROLINK SECURITIES LLC
175 HUGUENOT STREET, STE 200, NEW ROCHELLE, NY 10801

EVERCORE GROUP L.L.C.
55 EAST 52ND STREET, NEW YORK, NY 10055
Mailing Address: 55 EAST 52ND STREET, NEW YORK, NY 10055

EVERGREEN ADVISORS CAPITAL, LLC
9256 BENDIX ROAD, SUITE 300, COLUMBIA, MD 21045

EVERTRADE DIRECT BROKERAGE, INC.
8300 EAGER RD, SUITE 700, ST. LOUIS, MO 63144

EVOLUTION CAPITAL ADVISORS, LLC
500 YALE AVE N, FIRST FLOOR, SEATTLE, WA 98109

EXANE, INC.
640 FIFTH AVENUE, 15TH FLOOR, NEW YORK, NY 10019

EXCEED SECURITIES LLC
140 EAST 45TH SREET, 17C, NEW YORK, NY 10016
Mailing Address: 140 EAST 45TH SREET, NEW YORK, NY 10036

EXCEL SECURITIES & ASSOCIATES, INC.
200 CANAL VIEW BLVD., STE. 204, ROCHESTER, NY 14623

EXECUTION ACCESS, LLC
ONE LIBERTY PLAZA, 165 BROADWAY, 51ST FL, NEW YORK, NY 10006
Mailing Address: ONE LIBERTY PLAZA, 51ST FLOOR, NEW YORK, NY 10006

EXECUTIVE SERVICES SECURITIES, LLC
3445 PEACHTREE ROAD NE, SUITE 200, ATLANTA, GA 30326-1156

EXEMPLAR CAPITAL, LLC
10 POST OFFICE SQUARE,, 8TH FL SOUTH, BOSTON, MA 02109

EXOTIX USA INC.
444 MADISON AVENUE, 36TH FLOOR, NEW YORK, NY 10022

EZE CASTLE TRANSACTION SERVICES LLC
12 FARNSWORTH ST., 6TH FLOOR, BOSTON, MA 02210

Last updated: 9/14/17