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 CLEARING LLC
HARBORSIDE FINANCIAL CENTER, 34 EXCHANGE PLACE, PLAZA II - 4TH FLOOR, JERSEY CITY, NJ 07311

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

E-SPECTRUM ADVISORS LLC
5956 SHERRY LANE, SUITE 900, DALLAS, TX 75225

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.
14 EAST 38TH STREET / 7TH FLOOR, NEW YORK, NY 10016-0005

E.J. STERLING, LLC
40 BROAD ST., 6TH FLOOR, NEW YORK, NY 10004

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

E.S. FINANCIAL SERVICES, INC.
1395 BRICKELL AVE, SUITE 490, MIAMI, FL 33131
Mailing Address: 1395 BRICKELL AVE 4TH FLOOR, MIAMI, FL 33131

E1 ASSET MANAGEMENT, INC.
15 EXCHANGE PLACE, SUITE 710, JERSEY CITY, NJ 07302

EA MARKETS SECURITIES LLC
120 W 45TH ST., 30TH FLOOR, NEW YORK, NY 10036

EAGLE FUND DISTRIBUTORS, INC.
880 CARILLON PARKWAY, ST. PETERSBURG, FL 33716

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

EAGLEVIEW SECURITIES, INC
3969 DURHAM ROAD, DOYLESTOWN, PA 18902

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

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

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 315, 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.
230 PARK AVENUE, 10TH FLOOR, NEW YORK, NY 10169

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

EDI FINANCIAL, INC.
1431 GREENWAY DRIVE, SUITE 330, IRVING, TX 75038

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

EFC FINANCIAL SERVICES, LLC
200 DRYDEN RD, SUITE 4000, DRESHER, PA 19025

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

EHRENBERG CHESLER SECURITIES, INC
7373 BROADWAY, SUITE 108, SAN ANTONIO, TX 78209

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

EIGHT PINES SECURITIES LLC
600 FIFTH AVENUE, 25TH FLOOR, NEW YORK, NY 10020

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

ELARA SECURITIES, INC.
36W 44TH STREET, UNIT 803, NEW YORK, NY 10036

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
330 HUDSON STREET SUITE 302, NEW YORK, NY 10013

ELEVATION, LLC
214 N. TRYON STREET, SUITE 3010, CHARLOTTE, NC 28202

ELKHORN SECURITIES, LLC
207 REBER ST., 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

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

EMERGENT FINANCIAL GROUP, INC.
3600 AMERICAN BOULEVARD W., SUITE 670, BLOOMINGTON, MN 55431
Mailing Address: 3600 AMERICAN BOULEVARD W., SUITE 670, BLOOMINGTON, MN 55431

EMERGING GROWTH EQUITIES, LTD.
1150 FIRST AVE, PARK VIEW TOWER, SUITE 450, KING OF PRUSSIA, PA 19406-2816
Mailing Address: 1150 FIRST AVE, PARK VIEW TOWER, SUITE 600, 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
100 BROADWAY, 16TH FLOOR, NEW YORK, NY 10005

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

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

ENDEAVOR CAPITAL
30 BROAD STREET, 25TH FLOOR, 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
888 17TH STREET, NW, SUITE 304, WASHINGTON, DC 20006

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

ENNIS KNUPP SECONDARY MARKET SERVICES, LLC
200 EAST RANDOLPH, SUITE 1500, CHICAGO, IL 60601

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

ENTRUST SECURITIES LLC
375 PARK AVENUE, 24TH FLOOR, NEW YORK, NY 10152

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

ENVOY SECURITIES, LLC
4194 ROYAL PINE DRIVE, COLORADO SPRINGS, CO 80920

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

EPIC CAPITAL SECURITIES
1951 NW 19TH STREET, SUITE A103, BOCA RATON, FL 33431

EPOCH SECURITIES, INC.
132 TURNPIKE ROAD, SUITE 210, SOUTHBOROUGH, MA 01772
Mailing Address: 132 TURNPIKE ROAD, SOUTHBOROUGH, MA 01772

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

EQUIFINANCIAL LLC
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

EQUINOX SECURITIES, INC.
1776 PARK AVE., SUITE 101, REDLANDS, CA 92374

EQUITY INVESTMENT SERVICES, INC
3916 RIVENDALE CT., FLORISSANT, MO 63034
Mailing Address: P. O. BOX 28338, ST. LOUIS, MO 63146

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

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

ERNST & YOUNG CAPITAL ADVISORS, LLC
155 N. WACKER DRIVE, CHICAGO, IL 60606

ERNST & YOUNG CORPORATE FINANCE (CANADA) INC.
222 BAY STREET, ERNST & YOUNG TOWER, TORONTO, M5K 1J7 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

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

ESPOSITO SECURITIES, LLC
300 CRESCENT COURT, SUITE 650, DALLAS, TX 75201

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

ESSEX NATIONAL SECURITIES, LLC
550 GATEWAY DRIVE, SUITE 210, NAPA, CA 94558

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

ESSEX SECURITIES LLC
218 BOSTON STREET, SUITE 101, TOPSFIELD, MA 01983

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
6 EAST 39TH ST SUITE 1003, NEW YORK, NY 10016

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

EUREKA CAPITAL MARKETS, LLC
555 ANTON BLVD, SUITE 910, COSTA MESA, CA 92626

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
711 5TH AVENUE, 16TH FLOOR, NEW YORK, NY 10022

EVENTURELINK SECURITIES INC.
1522 W. MANCHESTER AVENUE, LOS ANGELES, CA 90047

EVERCORE GROUP L.L.C.
55 EAST 52ND STREET, 38TH FLOOR, NEW YORK, NY 10055
Mailing Address: 55 EAST 52ND STREET, 38TH FLOOR, NEW YORK, NY 10055

EVERENCE SECURITIES, INC.
1110 NORTH MAIN STREET, GOSHEN, IN 46528
Mailing Address: P.O. BOX 483, GOSHEN, IN 46527

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

EWING BEMISS & CO.
901 EAST BYRD STREET SUITE 1500, RICHMOND, VA 23219-4033

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

EXCEED SECURITIES LLC
28 W. 44TH STREET - 16TH FLOOR, 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, C/O NASDAQ OMX GROUP INC., NEW YORK, NY 10006
Mailing Address: ONE LIBERTY PLAZA, 51ST FLOOR, C/O NASDAQ OMX GROUP INC., NEW YORK, NY 10006

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

EXEMPLAR CAPITAL, LLC
4 FANEUIL HALL MARKETPLACE, SOUTH BUILDING, 3RD FLOOR, SUITE 4005, BOSTON, MA 02109-6102
Mailing Address: 4 FANEUIL HALL MARKETPLACE, SOUTH BUILDING, 3RD FLOOR, SUITE 4005, BOSTON, MA 02109-6120

EXIT 3 CAPITAL MARKETS, LLC
1266 EAST MAIN STREET, SUITE 700R, STAMFORD, CT 06902-3507

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

EXVERE SECURITIES LLC
1301 FIFTH AVEUNE, STE 3405, SEATTLE, WA 98101-2601
Mailing Address: 1301 FIFTH AVENUE, STE 3405, SEATTLE, WA 98101-2601

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

Last updated: 7/15/15