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

N3 FINANCIAL, INC.
777 MARINER'S ISLAND BLVD., SUITE 750, SAN MATEO, CA 94404
Mailing Address: 777 MARINERS ISLAND BLVD. SUITE 750, 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
400 MADISON AVENUE, SUITE 12C, NEW YORK, NY 10017

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

NASDAQ OPTIONS 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
1001 FOURTH AVENUE, SUITE 3750, SEATTLE, WA 98154-1100

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
10 WEST NATIONWIDE BLVD, MAIL CODE: 5-01-103, COLUMBUS, OH 43215
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.
1522 LOCUST ST., FL. 2, 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
Mailing Address: POST OFFICE BOX 10686, BIRMINGHAM, AL 35202-0686

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

NCM SECURITIES, INC.
2700 SOUTH SOUTHEAST BOULEVARD SUITE 205, SPOKANE, WA 99223-4984

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

NELKIN CAPITAL MANAGEMENT, INC.
111 GREAT NECK ROAD, SUITE 304, GREAT NECK, NY 11021

NELNET CAPITAL LLC
6811 SOUTH 27TH STREET, LINCOLN, NE 68512
Mailing Address: P.O. BOX 82618, LINCOLN, NE 68501

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

NELSON SECURITIES,INC.
601 W. MAIN AVENUE, SUITE 1118, SPOKANE, WA 99201

NESTLERODE & LOY, INC.
430 WEST IRVIN AVENUE, STATE COLLEGE, PA 16801-4642
Mailing Address: P.O. BOX 343, STATE COLLEGE, PA 16804-0343

NETHERLAND SECURITIES, INC.
12720 HILLCREST ROAD STE 980, DALLAS, TX 75230

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

NEUBERGER BERMAN MANAGEMENT LLC
605 THIRD AVENUE, NEW YORK, NY 10158-0180

NEW ALBION PARTNERS LLC
220 MONTGOMERY STREET, SUITE 462, SAN FRANCISCO, CA 94104

NEW CENTURY CAPITAL PARTNERS, INC.
1510 11TH STREET, SUITE 203, SANTA MONICA, CA 90401
Mailing Address: 1510 11TH STREET, SUITE 207, SANTA MONICA, CA 90401

NEW HORIZONS ASSET MANAGEMENT GROUP, LLC
11 RACQUET ROAD, NEWBURGH, NY 12550
Mailing Address: P.O. BOX 10009, NEWBURGH, NY 12552

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
1451 CYPRESS CREEK ROAD, SUITE 204, FT. LAUDERDALE, FL 33309
Mailing Address: 1451 CYPRESS CREEK ROAD, SUITE 204, FT. LAUDERDALE, FL 33309

NEWBURY PIRET & CO.
400 TOTTEN POND ROAD, 1ST FLOOR, WALTHAM, MA 02451

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
485 LEXINGTON AVE., 25TH FL., NEW YORK, NY 10017

NEWPORT COAST SECURITIES, INC.
180 MAIDEN LANE, 17TH FLOOR, NEW YORK, NY 10038

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

NEWPORT SECURITIES CORPORATION
40853 BUCHAREST LANE, TEMECULA, CA 92591

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.
5200 KELLER SPRINGS RD., #812, DALLAS, TX 75248
Mailing Address: 5200 KELLER SPRINGS ROAD, SUITE 812, DALLAS, TX 75248

NFP ADVISOR SERVICES, LLC
1250 CAPITAL OF TEXAS HWY S. #2-125, AUSTIN, TX 78746

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

NIA SECURITIES, L.L.C.
1166 AVENUE OF THE AMERICAS, NEW YORK, NY 10036

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
2201 WAUKEGAN ROAD, SUITE 120, BANNOCKBURN, IL 60015

NLCG DISTRIBUTORS, LLC
44 COOK STREET, SUITE 1020, DENVER, CO 80206
Mailing Address: 1301 2ND AVE., SUITE 1700, SEATTLE, WA 98101

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

NMS CAPITAL SECURITIES, 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
45 SCHOOL STREET, 2ND FLOOR, BOSTON, MA 02108
Mailing Address: 45 SCHOOL STREET, 2ND  FLOOR, BOSTON, MA 02108

NORTH CAPITAL PRIVATE SECURITIES CORPORATION
2825 E COTTONWOOD PKWY, SUITE 500, COTTONWOOD HEIGHTS, UT 84121

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

NORTH STAR INVESTMENT SERVICES, INC.
20 NORTH WACKER DRIVE, SUITE 1416, 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
Mailing Address: 5 PENN PLAZA, 23RD FLOOR, NEW YORK, NY 10001

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

NORTHSTAR REALTY 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

NOVAHILL PARTNERS, LLC
500 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
150 SPEAR STREET, STE 350, SAN FRANCISCO, CA 94105

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

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

NYLIFE DISTRIBUTORS LLC
169 LACKAWANNA AVENUE, THIRD FLOOR, COMPLIANCE, PARSIPPANY, NJ 07054
Mailing Address: 169 LACKAWANNA AVENUE, PARSIPPANY, NJ 07054

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: 5/5/15