Changes to List of Broker-Dealer Firms We Regulate

For the period of 4/1/2026 through 4/30/2026

AEL FINANCIAL SE
AEL FINANCIAL SERVICES, LLC
NAME CHANGED TO: ANICO FINANCIAL SOLUTIONS, LLC

AEL FINANCIAL SE
ANICO FINANCIAL SOLUTIONS, LLC
NEW NAME OF: AEL FINANCIAL SERVICES, LLC

ALP FINANCIAL GR
ALP FINANCIAL GROUP LLC
250 SHINY MOUNTAIN RD., GREENTOWN, PA 18426
ADMITTED

CAPE SECURITIES
CAPE SECURITIES INC.
MCDONOUGH, GA, UNITED STATES
CANCELLED FOR PER RULE 9553 FAILURE TO PAY DISPUTE RESOLUTION FEES.

CHINA RENAISSANC
CHINA RENAISSANCE SECURITIES (US) INC.
NAME CHANGED TO: CR GLOBAL MARKETS INC.

CHINA RENAISSANC
CR GLOBAL MARKETS INC.
NEW NAME OF: CHINA RENAISSANCE SECURITIES (US) INC.

DECKER & CO, LLC
DECKER & CO, LLC
MENLO PARK, CA
RESIGNED

FUNDMENT LLC
FUNDMENT LLC
58-60 BERNERS STREET, LONDON W1T 3NQ UNITED KINGDOM
ADMITTED

GLADE POINT SECU
GLADE POINT SECURITIES, LLC
1411 W FULLER, 2B, CHICAGO, IL 60608
ADMITTED

GOLDMAN SACHS &
GOLDMAN SACHS & CO. LLC
FORESIDE FUND SERVICES, LLC
FORUM FUND SERVICES, LLC

HALIFAX AMERICA
HALIFAX AMERICA LLC
NAME CHANGED TO: ZYTRADE LLC

HALIFAX AMERICA
ZYTRADE LLC
NEW NAME OF: HALIFAX AMERICA LLC

INCAPITAL DISTRI
INCAPITAL DISTRIBUTORS LLC
DELRAY BEACH, FL, USA
RESIGNED

INCRED SECURITIE
INCRED SECURITIES INC
12 E 49TH STREET, FLOOR 11, NEW YORK, NY 10017
ADMITTED

INTER&CO SECURIT
INTER&CO SECURITIES LLC
NAME CHANGED TO: INTER SECURITIES LLC

INTER&CO SECURIT
INTER SECURITIES LLC
NEW NAME OF: INTER&CO SECURITIES LLC

JAVCAP SECURITIE
JAVCAP SECURITIES LLC
NAME CHANGED TO: ASBURY CAPITAL LLC

JAVCAP SECURITIE
ASBURY CAPITAL LLC
NEW NAME OF: JAVCAP SECURITIES LLC

JEFFERIES PRIME
JEFFERIES PRIME FINANCE LLC
520 MADISON, NEW YORK, NY 10022
ADMITTED

K CAPITAL LLC
K CAPITAL LLC
NEW YORK, NY, USA
RESIGNED

ORE CAP ADVISORS
ORE CAP ADVISORS L.L.C.
RYE, NY, UNITED STATES
RESIGNED

PANTHERS CAPITAL
PANTHERS CAPITAL MANAGEMENT LLC
20156 CASTLE STUART AVENUE, BOCA RATON, FL 33434
ADMITTED

PENTALPHA CAPITA
PENTALPHA CAPITAL, LLC
GREENWICH, CT, UNITED STATES
RESIGNED

TORNADO
TORNADO
NAME CHANGED TO: NVSTR FINANCIAL LLC

TORNADO
NVSTR FINANCIAL LLC
NEW NAME OF: TORNADO

WEBULL SECURITIE
WEBULL SECURITIES (US) LLC
200 CARILLON PARKWAY, 5TH FLOOR, ST. PETERSBURG, FL 33716
ADMITTED

XORRO LLC
XORRO LLC
5 SANTA FE CT., TOMS RIVER, NJ 08757
ADMITTED

ZS SECURITIES, L
ZS SECURITIES, LLC
1200 FIFTH AVENUE, STE. 1500, SEATTLE, WA 98101
ADMITTED