Changes to List of Broker-Dealer Firms We Regulate

For the period of 10/1/2025 through 10/31/2025

A

AIRWALLEX CAPITA
AIRWALLEX CAPITAL (US) LLC
188 SPEAR STREET, 9TH FLOOR, SAN FRANCISCO, CA 94105
ADMITTED

ARROW ANALYTICS
ARROW ANALYTICS SECURITIES, LLC
503 BROADWAY, PH, NEW YORK, NY 10012
MAILING ADDRESS: 503 BROADWAY, FIFTH FLOOR, NEW YORK, NY 10012
ADMITTED

ARTA FINANCE SEC
ARTA FINANCE SECURITIES LLC
NAME CHANGED TO: ALDER SECURITIES LLC

ARTA FINANCE SEC
ALDER SECURITIES LLC
NEW NAME OF: ARTA FINANCE SECURITIES LLC

B

BANKOH INVESTMEN
BANKOH INVESTMENT SERVICES, INC.
HONOLULU, HI, UNITED STATES
RESIGNED

C

COLUMBIA PRIVATE
COLUMBIA PRIVATE MARKETS
6501 NORTH CEDAR STREET, BUILDING 4, SUITE C, SPOKANE, WA 99208
ADMITTED

COUNTRY CLUB FIN
COUNTRY CLUB FINANCIAL SERVICES, INC.
NAME CHANGED TO: COUNTRY CLUB FINANCIAL SERVICES, LLC

COUNTRY CLUB FIN
COUNTRY CLUB FINANCIAL SERVICES, LLC
NEW NAME OF: COUNTRY CLUB FINANCIAL SERVICES, INC.

D

DUNHAM & ASSOCIA
DUNHAM & ASSOCIATES INVESTMENT COUNSEL, INC.
NAME CHANGED TO: DUNHAM

DUNHAM & ASSOCIA
DUNHAM
NEW NAME OF: DUNHAM & ASSOCIATES INVESTMENT COUNSEL, INC.

G

GROVE POINT INVE
GROVE POINT INVESTMENTS, LLC
ROCKVILLE, MD, UNITED STATES
RESIGNED

H

HULL PARTNERS LL
HULL PARTNERS LLC
NAME CHANGED TO: STG SECURITIES, LLC

HULL PARTNERS LL
STG SECURITIES, LLC
NEW NAME OF: HULL PARTNERS LLC

I

INTERCAM SECURIT
INTERCAM SECURITIES, INC.
NAME CHANGED TO: STONEX INTERNATIONAL SECURITIES INC.

INTERCAM SECURIT
STONEX INTERNATIONAL SECURITIES INC.
NEW NAME OF: INTERCAM SECURITIES, INC.

K

KADENWOOD CAPITA
KADENWOOD CAPITAL, LLC
NAME CHANGED TO: ALIRA HEALTH TRANSACTION SERVICES, LLC

KADENWOOD CAPITA
ALIRA HEALTH TRANSACTION SERVICES, LLC
NEW NAME OF: KADENWOOD CAPITAL, LLC

L

LONGBRIDGE
LONGBRIDGE
NAME CHANGED TO: LONG BRIDGE SECURITIES, LLC

LONGBRIDGE
LONG BRIDGE SECURITIES, LLC
NEW NAME OF: LONGBRIDGE

M

MACQUARIE CAPITA
MACQUARIE CAPITAL (USA) INC.
DELAWARE DISTRIBUTORS, L.P.
DELAWARE DISTRIBUTORS,INC.

N

NHN NEXUS PARTNE
NHN NEXUS PARTNERS, LLC
2250 MAPLE AVENUE, LOS ANGELES, CA 90011
ADMITTED

P

PAF SECURITIES,
PAF SECURITIES, LLC
NAME CHANGED TO: CLEANBRIDGE SECURITIES, LLC

PAF SECURITIES,
CLEANBRIDGE SECURITIES, LLC
NEW NAME OF: PAF SECURITIES, LLC

PAF SECURITIES,
PAF SECURITIES, LLC
NAME CHANGED TO: CLEANBRIDGE SECURITIES, LLC

PAF SECURITIES,
CLEANBRIDGE SECURITIES, LLC
NEW NAME OF: PAF SECURITIES, LLC

PNC INVESTMENTS
PNC INVESTMENTS
NAME CHANGED TO: PNC WEALTH MANAGEMENT LLC

PNC INVESTMENTS
PNC WEALTH MANAGEMENT LLC
NEW NAME OF: PNC INVESTMENTS

S

SCF SECURITIES,
SCF SECURITIES, INC.
SAN DIEGO, CA, UNITED STATES
RESIGNED

SORRENTO PACIFIC
SORRENTO PACIFIC FINANCIAL, LLC
SAN DIEGO, CA, USA
RESIGNED

STANFORD GROUP C
STANFORD GROUP COMPANY
HOUSTON, TX, UNITED STATES
RESIGNED

T

T&G PRIVATE CAPI
T&G PRIVATE CAPITAL LLC
NAME CHANGED TO: ARK SECURITIES LLC

T&G PRIVATE CAPI
ARK SECURITIES LLC
NEW NAME OF: T&G PRIVATE CAPITAL LLC

T&G PRIVATE CAPI
T&G PRIVATE CAPITAL LLC
NAME CHANGED TO: ARK SECURITIES LLC

T&G PRIVATE CAPI
ARK SECURITIES LLC
NEW NAME OF: T&G PRIVATE CAPITAL LLC

TORCH SECURITIES
TORCH SECURITIES, LLC
SUGAR LAND, TX, USA
CANCELLED FOR PER RULE 9553 - FAIL TO PAY DUES, FEES, AND OTHER CHARGES

TSA FINANCIAL LL
TSA FINANCIAL LLC
NAME CHANGED TO: TOSS SECURITIES US LLC

TSA FINANCIAL LL
TOSS SECURITIES US LLC
NEW NAME OF: TSA FINANCIAL LLC

V

VELES SECURITIES
VELES SECURITIES
530 WEDGEWOOD CIRCLE, LAKE IN THE HILLS, IL 60156
ADMITTED

W

WESTERN INTERNAT
WESTERN INTERNATIONAL SECURITIES, INC.
PASADENA, CA, UNITED STATES OF AMERICA
RESIGNED

WORLD INVESTMENT
WORLD INVESTMENTS, INC.
PENSIONMARK SECURITIES, LLC
PENSIONMARK SECURITIES, LLC.
PFG SECURITIES, LLC.