Changes to List of Broker-Dealer Firms We Regulate

For the period of 3/1/2026 through 3/31/2026

ANICO FINANCIAL
ANICO FINANCIAL SERVICES, INC.
GALVESTON, TX, USA
RESIGNED

ARES WEALTH MANA
ARES WEALTH MANAGEMENT SOLUTIONS, LLC
DENVER, CO, USA
RESIGNED

ASHFORD SECURITI
ASHFORD SECURITIES LLC
DALLAS, TX, UNITED STATES
RESIGNED

BEACH TREE CAPIT
BEACH TREE CAPITAL, LLC
1714 W. JETTON AVE., APT. 3, TAMPA, FL 33606
ADMITTED

BOREAL CAPITAL S
BOREAL CAPITAL SECURITIES LLC
NAME CHANGED TO: MORA CAPITAL SECURITIES LLC

BOREAL CAPITAL S
MORA CAPITAL SECURITIES LLC
NEW NAME OF: BOREAL CAPITAL SECURITIES LLC

C2M SECURITIES,
C2M SECURITIES, LLC
RICHMOND, VA, UNITED STATES
RESIGNED

FINANCIAL NORTHE
FINANCIAL NORTHEASTERN SECURITIES, INC.
NAME CHANGED TO: FINANCIAL NORTHEASTERN SECURITIES, LLC

FINANCIAL NORTHE
FINANCIAL NORTHEASTERN SECURITIES, LLC
NEW NAME OF: FINANCIAL NORTHEASTERN SECURITIES, INC.

FIRST HORIZON AD
FIRST HORIZON ADVISORS, INC.
MEMPHIS, TN, UNITED STATES
RESIGNED

GLOBAL TRADING X
GLOBAL TRADING X
810 SEVENTH AVENUE 37F, NEW YORK, NY 10019
ADMITTED

HSIP SECURITIES,
HSIP SECURITIES, LLC
305 WEST FRONT STREET, SUITE 201, TRAVERSE CITY, MI 49684
ADMITTED

ICBA SECURITIES
ICBA SECURITIES
MEMPHIS, TN, UNITED STATES
RESIGNED

INDEPENDENT BROK
INDEPENDENT BROKERAGE SOLUTIONS LLC
NEW YORK, NY, USA
RESIGNED

KINDLING MBD LLC
KINDLING MBD LLC
1954 AIRPORT RD, SUITE 101, CHAMBLEE, GA 30341-4967
MAILING ADDRESS: 1954 AIRPORT RD, STE. 1012, CHAMBLEE, GA 30341
ADMITTED

KNG SECURITIES U
KNG SECURITIES USA INC
PARTIAL 21ST FLOOR, 650 FIFTH AVENUE, NEW YORK, NY 10019
MAILING ADDRESS: 42 BROADWAY, SUITE 12-129, NEW YORK, NY 10004
ADMITTED

L.M. KOHN & COMP
L.M. KOHN & COMPANY
CINCINNATI, OH, UNITED STATES
RESIGNED

MEZZO, INC.
MEZZO, INC.
75 14TH ST., NE, SUITE 2800, ATLANTA, GA 30309
ADMITTED

MFG SECURITIES,
MFG SECURITIES, LLC
2400 LAKEVIEW PKWY, SUITE 550, ALPHARETTA, GA 30009
ADMITTED

POD SECURITIES
POD SECURITIES
14200 NW 42ND AVENUE, OPA-LOCKA, FL 33054
ADMITTED

TELESIS SECURITI
TELESIS SECURITIES LLC
111 N. ORANGE AVE., SUITE 925, ORLANDO, FL 32801
ADMITTED

TRUTORO
TRUTORO
CONWAY, AR, USA
RESIGNED