finra

Changes to List of Firms We Regulate


For the period of 1/1/15 through 1/31/15.

A

 

ALTEGRIS INVESTM
ALTEGRIS INVESTMENTS, INC.
NAME CHANGED TO: ALTEGRIS INVESTMENTS, LLC

 

ALTEGRIS INVESTM
ALTEGRIS INVESTMENTS, LLC
NAME CHANGED TO: ALTEGRIS INVESTMENTS, INC.

 

AMHERST SECURITI
AMHERST SECURITIES GROUP, L.P.
AUSTIN, TX, UNITED STATES
RESIGNED

 

ARTIVEST BROKERA
ARTIVEST BROKERAGE LLC
1140 BROADWAY, SUITE 1501, NEW YORK, NY 10001
MAILING ADDRESS: 1140 BROADWAY, SUITE 1501, NEW YORK, NY 10001
ADMITTED

B

 

BENJAMIN FAY CAP
BENJAMIN FAY CAPITAL LLC
39 BROADWAY, SUITE 3300, ROOM 14, NEW YORK, NY 10006
MAILING ADDRESS: 39 BROADWAY, SUITE 3300, NEW YORK, NY 10006
ADMITTED

 

BIRKELBACH INVES
BIRKELBACH INVESTMENT SECURITIES, INC.
CHICAGO, IL, UNITED STATES
EXPELLED FOR FAILURE TO PAY FINES AND/OR COSTS.

 

BONDS.COM, INC.
BONDS.COM, INC.
NAME CHANGED TO: MTS MARKETS INTERNATIONAL, INC.

 

BONDS.COM, INC.
MTS MARKETS INTERNATIONAL, INC.
NAME CHANGED TO: BONDS.COM, INC.

 

BMO INVESTMENT D
BMO INVESTMENT DISTRIBUTORS, LLC
BMO HARRIS FINANCIAL ADVISORS, INC.
HARRIS INVESTOR SERVICES, INC.

 

BONDCUBE INC.
BONDCUBE INC.
ONE STAMFORD PLAZA, 263 TRESSER BLVD, 9TH FLOOR, STAMFORD, CT 06901
MAILING ADDRESS: 263 TRESSER BOULEVARD, 1 STAMFORD PLAZA, 9TH FLOOR, STAMFORD, CT 06901
ADMITTED

 

BRAVER STERN SEC
BRAVER STERN SECURITIES LLC
NEW YORK, NY, UNITED STATES
RESIGNED

 

BRONSON & CO., L
BRONSON & CO., LLC
SIMI VALLEY, CA, UNITED STATES
RESIGNED

 

BRUDERMAN BROTHE
BRUDERMAN BROTHERS, INC.
NAME CHANGED TO: BRUDERMAN BROTHERS LLC

 

BRUDERMAN BROTHE
BRUDERMAN BROTHERS LLC
NAME CHANGED TO: BRUDERMAN BROTHERS, INC.

C

 

CASTLE CREEK FIN
CASTLE CREEK FINANCIAL LLC
RANCHO SANTA FE, CA, UNITED STATES
RESIGNED

 

CAMBRIDGE INTERN
CAMBRIDGE INTERNATIONAL SECURITIES, INC.
NAME CHANGED TO: CAMBRIDGE INTERNATIONAL SECURITIES, LLC

 

CAMBRIDGE INTERN
CAMBRIDGE INTERNATIONAL SECURITIES, LLC
NAME CHANGED TO: CAMBRIDGE INTERNATIONAL SECURITIES, INC.

 

CAPITAL ONE SHAR
NETSTOCK INVESTMENT CORPORATION
CAPITAL ONE INVESTMENT SERVICES LLC
CAPITAL ONE INVESTMENT SERVICES CORPORATION
NFB INVESTMENT SERVICES CORP.
MERGED WITH COMPASS INVESTMENT SERVICES CORP.
TO FORM CAPITAL ONE SHAREBUILDER, INC.

 

CAPTRUST
CAPTRUST
NAME CHANGED TO: CAPFINANCIAL SECURITIES, LLC.

 

CAPTRUST
CAPFINANCIAL SECURITIES, LLC.
NAME CHANGED TO: CAPTRUST

 

CATO CAPITAL, LL
CATO CAPITAL, LLC
NEW YORK, NY, USA
RESIGNED

 

CNPT HOLDINGS, L
CNPT HOLDINGS, LLC
7122 SITIO DESTINO, CARLSBAD, CA 92009
ADMITTED

D

 

DAUTRICH, SEILER
DAUTRICH, SEILER FINANCIAL SERVICES, INC.
NAZARETH, PA, UNITED STATES
RESIGNED

 

DUXBURY FINANCIA
DUXBURY FINANCIAL LLC
NAME CHANGED TO: CRC CAPITAL MARKETS LLC

 

DUXBURY FINANCIA
CRC CAPITAL MARKETS LLC
NAME CHANGED TO: DUXBURY FINANCIAL LLC

E

 

ECLYPSE SECURITI
ECLYPSE SECURITIES LLC
ATLANTA, GA
RESIGNED

F

 

FIRST EQUITY CAP
FIRST EQUITY CAPITAL SECURITIES, INC.
SHORT HILLS, NJ, UNITED STATES
RESIGNED

 

FIRST LONDON SEC
FIRST LONDON SECURITIES CORPORATION
DALLAS, TX, UNITED STATES
RESIGNED

 

FIRST MAN INVEST
FIRST MAN INVESTMENT SECURITIES CORP.
TARRYTOWN, NY
RESIGNED

 

FREESTONE SECURI
FREESTONE SECURITIES, LLC
SEATTLE, WA
RESIGNED

G

 

GOLDK INVESTMENT
GOLDK INVESTMENT SERVICES, INC
BOSTON, MA, UNITED STATES
RESIGNED

 

GOTTBETTER CAPIT
GOTTBETTER CAPITAL MARKETS, LLC
NEW YORK, NY, UNITED STATES
RESIGNED

 

GWFS EQUITIES, I
GWFS EQUITIES, INC.
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP
PUTNAM RETAIL MANAGEMENT, INC.
PUTNAM MUTUAL FUNDS CORP.
PUTNAM FINANCIAL SERVICES, INC.
PUTNAM/EBERSTADT FINANCIAL SERVICES, INC.
PUTNAM FUND DISTRIBUTORS, INC.

H

 

HADLEY PARTNERS,
HADLEY PARTNERS, INCORPORATED
EL SEGUNDO, CA, USA
RESIGNED

 

HORACE MANN INVE
HORACE MANN INVESTORS INC
NAME CHANGED TO: HORACE MANN INVESTORS, INC.

HORACE MANN INVE
HORACE MANN INVESTORS, INC.
NAME CHANGED TO: HORACE MANN INVESTORS INC

I

 

IAA FINANCIAL LL
IAA FINANCIAL LLC
WEST PALM BEACH, FL, UNITED STATES
RESIGNED

J

 

JENNINGS CAPITAL
JENNINGS CAPITAL (USA) INC.
CALGARY AB, CANADA
RESIGNED

L

 

LB GROUP LLC
LB GROUP LLC
ATLANTA, GA, US
RESIGNED

M

 

MAINSTREET CAPIT
MAINSTREET CAPITAL PARTNERS
21 FAULKNER DRIVE, WESTFIELD, NJ 07090
ADMITTED

 

MCADAMS WRIGHT R
MCADAMS WRIGHT RAGEN, INC.
SEATTLE, WA, UNITED STATES
RESIGNED

 

MCKINNON & COMPA
MCKINNON & COMPANY, INC.
VIRGINIA BEACH, VA, UNITED STATES
RESIGNED

 

METLIFE SECURITI
METLIFE SECURITIES INC.
NEW ENGLAND SECURITIES
NEW ENGLAND SECURITIES CORPORATION
MERGED WITH NEL EQUITY SERVICES CORPORATION
TO FORM METLIFE SECURITIES INC.

 

MISMI, INC.
MISMI, INC.
NEW YORK, NY, USA
RESIGNED

 

MUNIAXIS LEBENTH
MUNIAXIS LEBENTHAL LLC
NEW YORK, NY, USA
RESIGNED

N

 

NORTHILL DISTRIB
NORTHILL DISTRIBUTION US INC.
54 W. 40TH STREET, NEW YORK, NY 10018
MAILING ADDRESS: 5 PENN PLAZA, 23RD FLOOR, NEW YORK, NY 10001
ADMITTED

O

 

OAKPOINT SOLUTIO
OAKPOINT SOLUTIONS, LLC
701 WEST AZEELE ST., 2ND FLOOR, TAMPA, FL 33606
ADMITTED

 

OPUS FINANCIAL P
OPUS FINANCIAL PARTNERS, LLC
19900 MACARTHUR BLVD. 12TH FLOOR, IRVINE, CA 92612
MAILING ADDRESS: 6301 OWENSMOUTH AVENUE, SUITE 750, WOODLAND HILLS, CA 91367
ADMITTED

P

 

PACIFIC SELECT D
PACIFIC SELECT DISTRIBUTORS, INC.
NAME CHANGED TO: PACIFIC SELECT DISTRIBUTORS, LLC

 

PACIFIC SELECT D
PACIFIC SELECT DISTRIBUTORS, LLC
NAME CHANGED TO: PACIFIC SELECT DISTRIBUTORS, INC.

 

PARKBROOK CAPITA
PARKBROOK CAPITAL LLC
NAME CHANGED TO: MUZINICH CAPITAL LLC

 

PARKBROOK CAPITA
MUZINICH CAPITAL LLC
NAME CHANGED TO: PARKBROOK CAPITAL LLC

 

PAUL P. ST. ONGE
PAUL P. ST. ONGE COMPANY
EAST GREENWICH, RI, UNITED STATES
RESIGNED

R

 

RDSC, LLC
RDSC, LLC
CINCINNATI, OH, UNITED STATES
RESIGNED

 

REALCADRE COMPAN
REALCADRE COMPANY
295 LAFAYETTE STREET, 7TH FLOOR, NEW YORK, NY 10012
MAILING ADDRESS: 666 5TH AVENUE, NEW YORK, NY 10103
ADMITTED

 

RELIQUID CAPITAL
RELIQUID CAPITAL NETWORK, LLC
NAME CHANGED TO: CV CAPITAL SECURITIES, LLC

RELIQUID CAPITAL
CV CAPITAL SECURITIES, LLC
NAME CHANGED TO: RELIQUID CAPITAL NETWORK, LLC

 

RESOURCE HORIZON
RESOURCE HORIZONS GROUP LLC
MARIETTA, GA, USA
CANCELLED FOR FAILURE TO PAY OUTSTANDING FEES.

 

RETIREMENT RESOU
RETIREMENT RESOURCES INVESTMENT CORPORATION
PEABODY, MA, UNITED STATES
RESIGNED

 

RMK CAPITAL
RMK CAPITAL
408 WEST 14TH STREET, SECOND FLOOR, NEW YORK, NY 10014
ADMITTED

S

 

SDR CAPITAL MARK
SDR CAPITAL MARKETS, INC.
5613 DTC PARKWAY, SUITE 830, GREENWOOD VILLAGE, CO 80111
ADMITTED

 

SG AMERICAS SECU
SG AMERICAS SECURITIES, LLC
NEWEDGE USA, LLC
FIMAT USA, LLC
FIMAT USA, INC.
MERGED WITH FIMAT FUTURES USA, INC.
TO FORM SG AMERICAS SECURITIES, LLC

 

STOCKSHIELD, INC
STOCKSHIELD, INC.
NAME CHANGED TO: STOCKSHIELD, LLC

 

STOCKSHIELD, INC
STOCKSHIELD, LLC
NAME CHANGED TO: STOCKSHIELD, INC.

T

 

TRADE MONSTER
TO FORM TRADE MONSTER
ACQUIRED OPTIONSHOUSE, LLC

 

TRADE MONSTER
TO FORM TRADE MONSTER
ACQUIRED OPTIONSHOUSE, INC.

 

TRADE MONSTER
TO FORM TRADE MONSTER
ACQUIRED OPTIONSHOUSE, INCORPORATED

 

TRADE MONSTER
TO FORM TRADE MONSTER
ACQUIRED EZOPTIONS

 

TRC MARKETS LLC
TRC MARKETS LLC
710 JOHNNIE DODDS BLVD., SUITE 300, MT. PLEASANT, SC 29464
MAILING ADDRESS: 377 BROADWAY, 3RD FL, NEW YORK, NY 10013
ADMITTED

U

 

UPRR SECURITIES,
UPRR SECURITIES, LLC
NAME CHANGED TO: KEANE FINANCIAL, LLC

 

UPRR SECURITIES,
KEANE FINANCIAL, LLC
NAME CHANGED TO: UPRR SECURITIES, LLC

V

 

VAN LIEW SECURIT
VAN LIEW SECURITIES, INC.
PROVIDENCE, RI, UNITED STATES
RESIGNED

 

VETUS SECURITIES
VETUS SECURITIES LLC
CLEVELAND, OH
RESIGNED

W

 

WORLD TRADE FINA
WORLD TRADE FINANCIAL CORPORATION
SAN DIEGO, CA, UNITED STATES
EXPELLED FOR FAILURE TO PAY FINES AND/OR COSTS