Broker Dealer Firms We Regulate - N

N.A. INVESTCORP LLC
280 PARK AVENUE, 39TH FLOOR, NEW YORK, NY 10017

N.B. ZOULLAS SECURITIES, INC.
555 MADISON AVENUE, 17TH FLOOR, NEW YORK, NY 10022
Mailing Address: 555 MADISON AVENUNE, 17TH FLOOR, NEW YORK, NY 10022

N.E. PRIVATE CLIENT ADVISORS, LTD.
790 NORTH MAIN STREET, PROVIDENCE, RI 02904

N.I.S. FINANCIAL SERVICES, INC.
500 EAST 9TH ST., KANSAS CITY, MO 64106
Mailing Address: P. O. BOX 219103, KANSAS CITY, MO 64121-9103

N4 FINANCIAL, INC.
1900 O'FARRELL STREET, SUITE 145, SAN MATEO, CA 94403
Mailing Address: 1900 O'FARRELL STREET SUITE 145, SAN MATEO, CA 94404

NABSECURITIES, LLC
245 PARK AVE 28TH FL, NEW YORK, NY 10167

NAFA CAPITAL MARKETS, LLC
100 NORTH BROADWAY, SUITE 2550, OKLAHOMA CITY, OK 73102

NANCY BARRON & ASSOCIATES, INC.
150 GRAND BOULEVARD, LEXINGTON, KY 40507

NANES, DELORME CAPITAL MANAGEMENT LLC
250 PARK AVENUE, SEVENTHFLOOR, NEW YORK, NY 10017

NASDAQ CAPITAL MARKETS ADVISORY LLC
ONE LIBERTY PLAZA, 165 BROADWAY, NEW YORK, NY 10006
Mailing Address: ONE LIBERTY PLAZA, 51ST FLOOR, NEW YORK, NY 10006

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

NATHAN HALE CAPITAL, LLC
227 W TRADE ST, SUITE 2150, CHARLOTTE, NC 28202

NATIONAL ALLIANCE SECURITIES, LLC
515 CONGRESS AVENUE, SUITE 2410, AUSTIN, TX 78701

NATIONAL BANK OF CANADA FINANCIAL INC.
65 EAST 55TH STREET, 31ST FLOOR, NEW YORK, NY 10022

NATIONAL FINANCIAL SERVICES LLC
200 SEAPORT BOULEVARD, BOSTON, MA 02210
Mailing Address: ONE DESTINY WAY, MAIL ZONE: WA1M, WESTLAKE, TX 76262

NATIONAL PENSION & GROUP CONSULTANTS, INC
3130 BROADWAY, KANSAS CITY, MO 64111-2406

NATIONAL PLANNING CORPORATION
100 NORTH SEPULVEDA BLVD SUITE 1800, EL SEGUNDO, CA 90245

NATIONAL SECURITIES CORPORATION
ONE UNION SQUARE 600 UNIVERSITY STREET, SUITE 2900, SEATTLE, WA 98101

NATIONS FINANCIAL GROUP, INC.
4000 RIVER RIDGE DR NE, CEDAR RAPIDS, IA 52402

NATIONWIDE FUND DISTRIBUTORS LLC
1000 CONTINTENTAL DRIVE, SUITE 400, KING OF PRUSSIA, PA 19406

NATIONWIDE INVESTMENT SERVICES CORPORATION
ONE NATIONWIDE PLAZA, 1-33-401, COLUMBUS, OH 43215

NATIONWIDE PLANNING ASSOCIATES INC.
115 WEST CENTURY ROAD, SUITE 360, PARAMUS, NJ 07652

NATIONWIDE SECURITIES, LLC
1050 YARD STREET BUILDING I, MAILING CODE:  GI-1D-NSL1, GRANDVIEW HEIGHTS, OH 43212
Mailing Address: ONE NATIONWIDE PLAZA, MAIL CODE: 01-33-401, COLUMBUS, OH 43215

NATIXIS SECURITIES AMERICAS LLC
1251 AVENUE OF THE AMERICAS, 5TH FLOOR, NEW YORK, NY 10020
Mailing Address: 1251 AVENUE OF THE AMERICAS 5TH FLOOR, NEW YORK, NY 10020

NAVAID FINANCIAL SERVICES, INC.
1520 LOCUST ST., FL. 12, PHILADELPHIA, PA 19102

NAVIAN CAPITAL SECURITIES LLC
425 WALNUT STREET, SUITE 1100, CINCINNATI, OH 45202

NAVIDAR GROUP LLC
400 WEST 15TH ST, SUITE 325, AUSTIN, TX 78701

NAVIGANT CAPITAL ADVISORS, LLC
30 S. WACKER DRIVE, SUITE 3100, CHICAGO, IL 60606

NAVY FEDERAL BROKERAGE SERVICES, LLC
820 FOLLIN LANE, VIENNA, VA 22180

NBC SECURITIES, INC.
1927 1ST AVENUE NORTH, BIRMINGHAM, AL 35203-0686

NC SECURITIES, LLC
7910 WOODMONT AVE, SUITES 910 AND 1250, BETHESDA, MD 20814
Mailing Address: 7910 WOODMONT AVENUE, SUITES 910 AND 1250, BETHESDA, MD 20814

NCG SECURITIES LLC
12 BROAD STREET, 5TH FLOOR, RED BANK, NJ 07701

NEAR EARTH, LLC
945 WEST ROAD, NEW CANAAN, CT 06840

NEEDHAM & COMPANY, LLC
445 PARK AVENUE, NEW YORK, NY 10022-2602

NEIDIGER, TUCKER, BRUNER, INC.
9540 SOUTH MAROON CIRCLE, SUITE 250, ENGLEWOOD, CO 80112

NEIGHBORLY SECURITIES
115 WEST 18TH STREET, SUITE 302, KANSAS CITY, MO 64108
Mailing Address: PO BOX 412511, KANSAS CITY, MO 64141

NELSON IVEST BROKERAGE SERVICES, INC.
423 COUNTRY CLUB DRIVE, WINTER PARK, FL 32789-2968

NELSON SECURITIES,INC.
9718 N MORTON CT, SPOKANE, WA 99218

NESTLERODE & LOY, INC.
110 REGENT COURT, SUITE 202, STATE COLLEGE, PA 16801
Mailing Address: P.O. BOX 343, STATE COLLEGE, PA 16804-0343

NETWORK 1 FINANCIAL SECURITIES INC.
THE GALLERIA, SUITE 241, 2 BRIDGE AVENUE, RED BANK, NJ 07701

NEUBERGER BERMAN LLC
605 THIRD AVENUE, NEW YORK, NY 10158-3698

NEW ALBION PARTNERS LLC
1500 BROADWAY, SUITE 904, NEW YORK, NY 10036

NEW CENTURY CAPITAL PARTNERS, INC.
1510 11TH STREET, SUITE 203, SANTA MONICA, CA 90401

NEW CITY CAPITAL LLC
1999 S. BASCOM, #700, CAMPBELL, CA 95008

NEW HARBOR VENTURE PARTNERS LLC
71 CARRIAGE HILL DRIVE, COLTS NECK, NJ 07722

NEW INVESTOR WORLD INCORPORATED
4975 PRESTON PARK BLVD., SUITE 425, PLANO, TX 75093

NEW RYE SECURITIES, LLC
411 THEODORE FREMD AVENUE, SUITE 150 SOUTH, RYE, NY 10580
Mailing Address: 411 THEODORE FREMD AVENUE, SUITE 150S, RYE, NY 10580

NEWBRIDGE SECURITIES CORPORATION
5200 TOWN CENTER CIRCLE, TOWER 1, SUITE 306, BOCA RATON, FL 33486

NEWBURY PIRET & CO.
ONE BOSTON PLACE, SUITE 2600, BOSTON, MA 02108-2600

NEWBURY STREET CAPITAL LIMITED PARTNERSHIP
500 BOYLSTON STREET, SUITE 440, BOSTON, MA 02116

NEWCAP PARTNERS, INC.
5777 W. CENTURY BLVD., SUITE 1135, LOS ANGELES, CA 90045

NEWCASTLE DISTRIBUTORS LLC
127 WOODHAVEN DRIVE, AVON, CT 06001-2432

NEWCOURT SECURITIES, LTD
23 WARING RD, POUND RIDGE, NY 10576

NEWOAK CAPITAL MARKETS LLC
685 THIRD AVENUE, 21ST FL., NEW YORK, NY 10017

NEWPORT GROUP SECURITIES, INC.
300 INTERNATIONAL PARKWAY STE 270, SUITE 270, HEATHROW, FL 32746-5035

NEXBANK SECURITIES INC
2515 MCKINNEY AVE, SUITE 1100, DALLAS, TX 75201

NEXT FINANCIAL GROUP, INC.
2500 WILCREST DRIVE, SUITE 620, HOUSTON, TX 77042

NEXTGEN CAPITAL MARKETS, LLC
3715 NORTHSIDE PKWY NW, STE.,1-250, ATLANTA, GA 30327

NEXTREND SECURITIES, INC.
STATE OF TEXAS ADDRESS CONFIDENTIALITY, AUSTIN, TX 78711
Mailing Address: PO BOX 12108, AUSTIN, TX 78711

NGAM DISTRIBUTION, L.P.
399 BOYLSTON STREET, BOSTON, MA 02116-9848

NGC FINANCIAL, LLC
36-01 208TH STREET, BAYSIDE, NY 11361

NH INVESTMENT & SECURITIES AMERICA, INC.
120 WEST 45TH STREET, SUITE 3010, NEW YORK, NY 10036

NHCOHEN CAPITAL LLC
2 PARK AVENUE, 14TH FLOOR, NEW YORK, NY 10016

NI ADVISORS
638 WEBSTER STREET, SUITE 410, OAKLAND, CA 94607
Mailing Address: 638 WEBSTER STREET, SUITE 410, OAKLAND, CA 94607

NIAGARA INTERNATIONAL CAPITAL LIMITED
8940 MAIN STREET, CLARENCE, NY 14031

NICOL INVESTORS CORPORATION
1 EXECUTIVE PARK, GRANITE CITY, IL 62040-0907
Mailing Address: 1 EXECUTIVE PARK, P.O. BOX 907, GRANITE CITY, IL 62040-0907

NIKOH SECURITIES CORPORATION
707 SKOKIE BOULEVARD, SUITE 520, NORTHBROOK, IL 60062

NMS CAPITAL ADVISORS, LLC.
433 NORTH CAMDEN DRIVE, 4TH FLOOR, BEVERLY HILLS, CA 90210

NOBLE FINANCIAL CAPITAL MARKETS
951 YAMATO ROAD, SUITE 210, BOCA RATON, FL 33431

NOBLES & RICHARDS, INC.
801 EAST PLANO PARKWAY, SUITE 220, PLANO, TX 75074

NOLAN SECURITIES CORP.
535 MAIN ROAD, MONTEREY, MA 01245

NOMURA SECURITIES INTERNATIONAL, INC.
WORLDWIDE PLAZA, 309 WEST 49TH STREET, NEW YORK, NY 10019

NORFOLK MARKETS, LLC
360 MADISON AVENUE, 19TH FLOOR, NEW YORK, NY 10017

NORTH BRIDGE CAPITAL, LLC
85 CONSTITUTION LANE, SUITE 3C1, DANVERS, MA 01923

NORTH CAPITAL PRIVATE SECURITIES CORPORATION
623 E FT UNION BLVD, SUITE 101, SALT LAKE CITY, UT 84047

NORTH INLET ADVISORS, LLC
ONE MORROCROFT CENTRE, 6805 MORRISON BLVD, SUITE 380, CHARLOTTE, NC 28211

NORTH NASSAU ADVISORS, LLC
475 WALL STREET, SUITE 216, PRINCETON, NJ 08540

NORTH POINT ADVISORS, LLC
580 CALIFORNIA STREET, SUITE 2000, SAN FRANCISCO, CA 94105

NORTH RIDGE SECURITIES CORP.
1895 WALT WHITMAN RD, MELVILLE, NY 11747-3031

NORTH SEA SECURITIES L.P.
299 PARK AVENUE, 6TH FLOOR, NEW YORK, NY 10171

NORTH SOUTH CAPITAL, LLC
200 W. ADAMS, STE 2230, CHICAGO, IL 60606

NORTHBRIDGE FINANCIAL SERVICES
3650 WEST LIBERTY, ANN ARBOR, MI 48103

NORTHCOAST RESEARCH PARTNERS, LLC
1301 EAST NINTH STREET, 24TH FLOOR, CLEVELAND, OH 44114

NORTHEAST CAPITAL & ADVISORY, INC.
7 AIRPORT PARK BOULEVARD, FLOOR 2, LATHAM, NY 12110

NORTHEAST SECURITIES, INC.
333 EARLE OVINGTON BLVD, 7TH FLOOR, MITCHELFIELD, NY 11553

NORTHERN CAPITAL SECURITIES CORPORATION
300 BRICKSTONE SQUARE, 10TH FLOOR, ANDOVER, MA 01810-1435

NORTHERN FUNDS DISTRIBUTORS, LLC
THREE CANAL PLAZA, 3RD FLOOR, PORTLAND, ME 04101
Mailing Address: THREE CANAL PLAZA, SUITE 100, PORTLAND, ME 04101

NORTHERN LIGHTS DISTRIBUTORS, LLC
17605 WRIGHT STREET, OMAHA, NE 68130

NORTHERN SECURITIES, INC.
3003 HAMEL ROAD, MEDINA, MN 55340-0275
Mailing Address: P.O. BOX 275, MEDINA, MN 55340-0275

NORTHERN TRUST SECURITIES, INC.
50 SOUTH LASALLE STREET, CHICAGO, IL 60603

NORTHILL DISTRIBUTION US INC.
54 W. 40TH STREET, NEW YORK, NY 10018

NORTHLAND SECURITIES, INC.
45 SOUTH 7TH STREET, 20TH FLOOR, MINNEAPOLIS, MN 55402

NORTHSTAR SECURITIES, LLC
5299 DTC BOULEVARD, SUITE 900, GREENWOOD VILLAGE, CO 80111

NORTHWEST FINANCIAL GROUP LLC
200 SPRING STREET, SUITE 120, HERNDON, VA 20170

NORTHWEST INVESTMENT ADVISORS, INC.
9 S WASHINGTON ST STE 210, SPOKANE, WA 99201

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
611 EAST WISCONSIN AVE., MILWAUKEE, WI 53202-4797
Mailing Address: 611 EAST WISCONSIN AVENUE, MILWAUKEE, WI 53202-4797

NOVA CAPITAL SOLUTIONS, LLC
1600 SE 15TH STREET #305, FORT LAUDERDALE, FL 33316

NOVAHILL PARTNERS, LLC
11/15/2016500 MONTGOMERY STREET, SUITE 400, ALEXANDRIA, VA 22314
Mailing Address: 500 MONTGOMERY STREET, SUITE 400, ALEXANDIA, VA 22314

NPB FINANCIAL GROUP, LLC
3500 W. OLIVE AVENUE, THIRD FLOOR, BURBANK, CA 91505

NPM SECURITIES, LLC
165 BROADWAY, 51ST FLOOR, NEW YORK, NY 10006
Mailing Address: 165 BROADWAY, 51ST FLLOR, NEW YORK, NY 10006

NSX SECURITIES LLC
101 HUDSON STREET, SUITE 1200, JERSEY CITY, NJ 07302

NUMIS SECURITIES INC.
275 MADISON AVENUE, 40TH FLOOR, NEW YORK, NY 10016

NUVEEN SECURITIES, LLC
333 WEST WACKER DRIVE, CHICAGO, IL 60606-1286

NVSTR FINANCIAL LLC
276 FIFTH AVENUE, SUITE 704, NEW YORK, NY 10001
Mailing Address: PO BOX 145, NEW YORK, NY 10159-0145

NW CAPITAL MARKETS INC.
2 HUDSON PLACE, HOBOKEN, NJ 07030

NYLIFE DISTRIBUTORS LLC
30 HUDSON STREET, JERSEY CITY, NJ 07302
Mailing Address: 30 HUDSON STREET, 22ND FLOOR, JERSEY CITY, NJ 07302

NYLIFE SECURITIES LLC
51 MADISON AVE., ROOM 713, NEW YORK, NY 10010
Mailing Address: 51 MADISON AVENUE, ROOM 713, NEW YORK, NY 10010

NYPPEX, LLC
800 WESTCHESTER AVENUE, RYE BROOK, NY 10573

Last updated: 12/8/16