Firms We Regulate - U

U S PARTICIPATIONS LTD.
3909 HARTZDALE DRIVE, SUITE 901, CAMP HILL, PA 17011

U. S. BOSTON CAPITAL CORPORATION
LINCOLN NORTH, LINCOLN, MA 01773
Mailing Address: 55 OLD BEDFORD ROAD, SUITE 202, LINCOLN, MA 01773

U.S. BANCORP INVESTMENTS, INC.
60 LIVINGSTON AVENUE, EP-MN-WN3C, SAINT PAUL, MN 55107
Mailing Address: 60 LIVINGSTON AVENUE, EP-MN-WN3C, SAINT PAUL, MN 55107

U.S. BROKERAGE, INC.
17 E KOSSUTH ST, COLUMBUS, OH 43206

U.S. GLOBAL BROKERAGE, INC.
7900 CALLAGHAN ROAD, SAN ANTONIO, TX 78229

U.S. INVESTORS, INC.
2111 EISENHOWER AVENUE, SUITE 402, ALEXANDRIA, VA 22314

U.S. SECURITIES, INTL. CORP.
120 BROADWAY, SUITE 1017, NEW YORK, NY 10271
Mailing Address: 120 BROADWAY, NEW YORK, NY 10271

U.S. STERLING SECURITIES, INC.
1393 VETERANS MEMORIAL HIGHWAY UNIT 412N, HAUPPAUGE, NY 11788

UAT RESOURCES, LLC
7375 SOUTH PEORIA ST., B8 BUILDING 9, SUITE 206, ENGLEWOOD, CO 80112

UBS FINANCIAL SERVICES INC.
1200 HARBOR BOULEVARD, WEEHAWKEN, NJ 07086
Mailing Address: 1000 HARBOR BLVD, 8TH FL, COMPLIANCE DEPARTMENT, WEEHAWKEN, NJ 07086

UBS FINANCIAL SERVICES INCORPORATED OF PUERTO RICO
250 MUNOZ RIVERA AVENUE, HATO REY, PR 00918
Mailing Address: 1000 HARBOR BLVD, 8TH FLOOR, COMPLIANCE DEPARTMENT, WEEHAWKEN, NJ 07086

UBS FUND SERVICES (USA) LLC
10 STATE HOUSE SQUARE, 15TH FLOOR, HARTFORD, CT 06103-3604

UBS GLOBAL ASSET MANAGEMENT (US) INC.
1285 AVENUE OF THE AMERICAS, 12TH FLOOR, NEW YORK, NY 10019

UBS SECURITIES LLC
1285 AVENUE OF THE AMERICAS, NEW YORK, NY 10019
Mailing Address: 677 WASHINGTON BOULEVARD, STAMFORD, CT 06901

UCAP SECURITIES LLC
130 WEST 42ND STREET, 15TH FL., NEW YORK, NY 10036
Mailing Address: 130 WEST 42ND STREET, 15TH FL, NEW YORK, NY 10036

UHLMANN PRICE SECURITIES, LLC
141 W. JACKSON BLVD. STE.1340A, CHICAGO, IL 60604-0000

UHY ADVISORS CORPORATE FINANCE, LLC
30 SOUTH WACKER DRIVE, SUITE 1330, CHICAGO, IL 60606
Mailing Address: C/O UHY ADVISORS, INC, 30 S. WACKER, SUITE 1330, CHICAGO, IL 60606

ULLICO INVESTMENT COMPANY, INC.
8403 COLESVILLE RD., 13 FLOOR, SILVER SPRING, MD 20910

ULTIMUS FUND DISTRIBUTORS, LLC
225 PICTORIA DRIVE, SUITE 450, CINCINNATI, OH 45246

ULTRALAT CAPITAL MARKETS, INC.
801 BRICKELL AVENUE, SUITE 1060, MIAMI, FL 33131
Mailing Address: 801 BRICKELL AVENUE, MIAMI, FL 33131

UMB DISTRIBUTION SERVICES, LLC
235 W. GALENA STREET, MILWAUKEE, WI 53212

UMB FINANCIAL SERVICES, INC.
928 GRAND AVENUE, KANSAS CITY, MO 64106

UMPQUA INVESTMENTS, INC.
ONE SW COLUMBIA STREET, SUITE #300, PORTLAND, OR 97258

UNDERHILL SECURITIES CORP.
4045 SOUTH SPENCER STREET, SUITE 108, LAS VEGAS, NV 89119

UNICREDIT CAPITAL MARKETS LLC
15O EAST 42ND STREET, NEW YORK, NY 10017-4679
Mailing Address: 150 EAST 42ND STREET, NEW YORK, NY 10017-4679

UNIFIED FINANCIAL SECURITIES, INC.
2960 N. MERIDIAN STREET, SUITE 300, INDIANAPOLIS, IN 46208

UNION CAPITAL COMPANY
6425 E. GRANT ROAD, TUCSON, AZ 85715

UNION GAMING ADVISORS
3930 HOWARD HUGHES PARKWAY, SUITE 230, LAS VEGAS, NV 89169

UNION SQUARE ADVISORS LLC
TWO EMBARCADERO CENTER, SUITE 1330, SAN FRANCISCO, CA 94111
Mailing Address: TWO EMBARCADERO CENTER, SUITE 1330, SAN FRANCISCO, CA 94111

UNIONBANC INVESTMENT SERVICES, LLC
800 N BRAND BLVD., 16TH FLOOR, GLENDALE, CA 91203

UNITED BROKERAGE SERVICES, INC
514 MARKET STREET, PARKERSBURG, WV 26101
Mailing Address: P. O. BOX 1508, PARKERSBURG, WV 26102-1508

UNITED CAPITAL MARKETS, INC.
240 CRANDON BLVD., SUITE 167, KEY BISCAYNE, FL 33149

UNITED FIRST PARTNERS LLC
LEVEL 22 HERON TOWER, 110 BISHOPSGATE, LONDON, EC2N 4AY UNITED KINGDOM

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
7333 E. DOUBLETREE RANCH ROAD #120, SCOTTSDALE, AZ 85258-2023
Mailing Address: P.O. BOX 5750, SCOTTSDALE, AZ 85261-5750

UNIVERSAL FINANCIAL SERVICES INC.
CALLE BOLIVIA #33, SAN JUAN, PR 00917-2011
Mailing Address: PO BOX 2171, SAN JUAN, PR 00922-2171

UNIVEST INVESTMENTS, INC.
41 WEST BROAD STREET, SOUDERTON, PA 18964

UNIVEST SECURITIES, LLC
32 BROADWAY, SUITE 1701, NEW YORK, NY 10004
Mailing Address: 3687 MEADOW LANE, NORTH BERGEN, NJ 07047

UOB GLOBAL EQUITY SALES LLC
592 FIFTH AVENUE, SUITE 602, NEW YORK, NY 10036

UOB KAY HIAN (U.S.) INC.
111 DUNNELL ROAD, STE 201, MAPLEWOOD, NJ 07040

US ARMA PARTNERS LP
FOUR PALO ALTO SQUARE, SUITE 100, 3000 EL CAMINO REAL, PALO ALTO, CA 94306

US CAPITAL GLOBAL SECURITIES, INC.
555 MONTGOMERY STREET, SUITE 1501, SAN FRANCISCO, CA 94111

USA FINANCIAL SECURITIES CORPORATION
6020 EAST FULTON, ADA, MI 49301

USAA FINANCIAL ADVISORS, INC.
9800 FREDERICKSBURG RD., SAN ANTONIO, TX 78288-0227

USAA INVESTMENT MANAGEMENT COMPANY
9800 FREDERICKSBURG ROAD, SAN ANTONIO, TX 78288-0227

USCA SECURITIES LLC
1330 POST OAK BLVD., SUITE 900, HOUSTON, TX 77056

USCVG, INC.
20 NEWPORT PKY, SUITE 1607, JERSEY CITY, NJ 07310

USI SECURITIES, INC.
95 GLASTONBURY BLVD., SUITE 102, GLASTONBURY, CT 06033

USP SECURITIES CORPORATION
15305 DALLAS PARKWAY, SUITE 1600, ADDISON, TX 75001

USRP EQUITIES, LLC
99 WOOD AVENUE SOUTH, ISELIN, NJ 08830
Mailing Address: 99 WOOD AVENUE SOUTH, ISELIN, NJ 08830

USTOCKTRADE SECURITIES, INC.
275 GROVE STREET, SUITE 2-400, NEWTON, MA 02466

UTC FINANCIAL SERVICES USA, INC.
C/O TRINIDAD AND TOBAGO UNIT TRUST CORPORATION, UTC FINANCIAL CENTRE, 82 INDEPENDENCE SQUARE, PORT OF SPAIN, 00000 TRINIDAD

Last updated: 7/15/15