Changes to List of Broker-Dealer Firms We Regulate
For the period of 2/1/2026 through 2/28/2026
ACI CAPITAL MARK
ACI CAPITAL MARKETS, LLC
199 WATER STREET, 9TH FLOOR, NEW YORK, NY 10038
ADMITTED
ALLIO MARKETS, L
ALLIO MARKETS, LLC
SEATTLE, WA, UNITED STATES
RESIGNED
ALTERNATIVE MARK
ALTERNATIVE MARKETS
799 SANDPIPER LANE, PONTE VEDRA BEACH, FL 32082
ADMITTED
BLUE SAND SECURI
BLUE SAND SECURITIES LLC
KENSIGNTON, MD, UNITED STATES
RESIGNED
BROADSTONE SECUR
BROADSTONE SECURITIES
NAME CHANGED TO: PKS SECURITIES, INC.
BROADSTONE SECUR
PKS SECURITIES, INC.
NEW NAME OF: BROADSTONE SECURITIES
CAPCONNECT+ EMAR
CAPCONNECT+ EMARKETS
NAME CHANGED TO: CAPCONNECT EMARKETS, LLC
CAPCONNECT+ EMAR
CAPCONNECT EMARKETS, LLC
NEW NAME OF: CAPCONNECT+ EMARKETS
CITY NATIONAL SE
CITY NATIONAL SECURITIES, INC.
NAME CHANGED TO: RBC SECURITIES, INC
CITY NATIONAL SE
RBC SECURITIES, INC
NEW NAME OF: CITY NATIONAL SECURITIES, INC.
DEMPSEY LORD SMI
DEMPSEY LORD SMITH, LLC
ROME, GA, USA
RESIGNED
DNB MARKETS, INC
DNB MARKETS, INC.
NAME CHANGED TO: DNB CARNEGIE, INC.
DNB MARKETS, INC
DNB CARNEGIE, INC.
NEW NAME OF: DNB MARKETS, INC.
DRIVEWEALTH INST
DRIVEWEALTH INSTITUTIONAL LLC
NEW YORK, NY, UNITED STATES
RESIGNED
EDELMAN & CO., L
EDELMAN & CO., LTD.
BAYSIDE, WI, UNITED STATES
RESIGNED
EGRET SECURITIES
EGRET SECURITIES LLC
9607 WHIPPOORWILL TRAIL, JUPITER, FL 33478
ADMITTED
E.K. WALLACE SEC
E.K. WALLACE SECURITIES LLC
NEW YORK, NY, USA
RESIGNED
GOLD COAST SECUR
GOLD COAST SECURITIES, INC.
THOUSAND OAKS, CA, USA
RESIGNED
GOURLAY CAPITAL
GOURLAY CAPITAL ADVISORS, LLC
NAME CHANGED TO: FAITHSTONE SECURITIES, LLC
GOURLAY CAPITAL
FAITHSTONE SECURITIES, LLC
NEW NAME OF: GOURLAY CAPITAL ADVISORS, LLC
HAP TRADING, LLC
HAP TRADING, LLC
NEW YORK, NY, UNITED STATES
RESIGNED
HARRIS WILLIAMS
HARRIS WILLIAMS PRIMARY FUND PLACEMENT LLC
CHARLOTTE, NC
RESIGNED
JORDON VOYTEK CA
JORDON VOYTEK CAPITAL PARTNERS LLC
13800 COPPERMINE RD., SUITE 241, HERNDON, VA 20171
MAILING ADDRESS: 70 S. MORGANTOWN STREET, FAIRCHANCE, PA 15436
ADMITTED
KISKI SECURITIES
KISKI SECURITIES LLC
NEW YORK, NY, USA
RESIGNED
MARCO POLO SECUR
MARCO POLO SECURITIES INC.
NAME CHANGED TO: MARCO POLO SECURITIES LLC
MARCO POLO SECUR
MARCO POLO SECURITIES LLC
NEW NAME OF: MARCO POLO SECURITIES INC.
MARWOOD GROUP
MARWOOD GROUP
NEW YORK, NY, USA
RESIGNED
MAVEN GLOBAL MAR
MAVEN GLOBAL MARKETS TRADING LLP
444 W LAKE ST, STE. 4650, CHICAGO, IL 60606
MAILING ADDRESS: 353 N. CLARK STREET, SUITE 1750, CHICAGO, IL 60654
ADMITTED
MENTOR SECURITIE
MENTOR SECURITIES, LLC
WESTLAKE VILLIAGE, CA, USA
RESIGNED
MERLIN'S PRIEST
MERLIN'S PRIEST
5411 DR. MLK JR. BLVD, ANDERSON, IN 46013
MAILING ADDRESS: 725 FOREST DR, ANDERSON, IN 46011
ADMITTED
MOLONEY SECURITI
MOLONEY SECURITIES CO., INC.
MANCHESTER, MO, UNITED STATES
RESIGNED
NICOL INVESTORS
NICOL INVESTORS CORPORATION
GRANITE CITY, IL
RESIGNED
NOURSDALE CAPITA
NOURSDALE CAPITAL
NAME CHANGED TO: GHP SECURITIES LLC
NOURSDALE CAPITA
GHP SECURITIES LLC
NEW NAME OF: NOURSDALE CAPITAL
OPTIMAL EXECUTIO
OPTIMAL EXECUTIONS, LLC
NAME CHANGED TO: OPTIMAL MARKET TECHNOLOGIES, LLC
OPTIMAL EXECUTIO
OPTIMAL MARKET TECHNOLOGIES, LLC
NEW NAME OF: OPTIMAL EXECUTIONS, LLC
OWS BD LLC
OWS BD LLC
NAME CHANGED TO: TITAN PARTNERS SECURITIES LLC
OWS BD LLC
TITAN PARTNERS SECURITIES LLC
NEW NAME OF: OWS BD LLC
PATIENT SQUARE C
PATIENT SQUARE CAPITAL MARKETS, LLC
767 FIFTH AVE, FLOOR 43, NEW YORK, NY 10153
ADMITTED
PRAGMA LLC
PRAGMA LLC
NEW YORK, NY, USA
RESIGNED
PRIMARYBID SECUR
PRIMARYBID SECURITIES INC.
SMITHTOWN, NY, UNITED STATES
RESIGNED
PRINCIPLED ADVIS
PRINCIPLED ADVISORS, INC.
STATEN ISLAND, NY, USA
RESIGNED
R.W.PRESSPRICH &
R.W.PRESSPRICH & CO.
NEW YORK, NY, UNITED STATES
RESIGNED
SAVVY WEALTH MAN
SAVVY WEALTH MANAGEMENT LLC
111 WEST 33RD STREET, UNIT 1410, NEW YORK, NY 10001
ADMITTED
SCHNEIDER DOWNS
SCHNEIDER DOWNS CORPORATE FINANCE, LP
PITTSBURGH, PA, USA
RESIGNED
SHILOH ADVISORS
SHILOH ADVISORS INC.
404 EAST 76TH STREET, SUITE 26B, NEW YORK, NY 10021
ADMITTED
SILICON VALLEY P
SILICON VALLEY PARTNERS LLC
SCOTTSDALE, AZ, USA
RESIGNED
SKYSTONE SECURIT
SKYSTONE SECURITIES, LLC
DALLAS, TX, USA
RESIGNED
THIRD500, LLC
THIRD500, LLC
WILMETTE, IL, USA
RESIGNED
TITAN PARTNERS S
TITAN PARTNERS SECURITIES LLC
4 WORLD TRADE CENTER, 150 GREENWICH STREET, 49TH FLOOR, NEW YORK, NY 10007
MAILING ADDRESS: 4 WORLD TRADE CENTER, NEW YORK, NY 10007
ADMITTED
U.S. BANCORP ADV
U.S. BANCORP ADVISORS, LLC
U.S. BANCORP INVESTMENTS, INC.
U.S. BANCORP INVESTMENTS
FBS INVESTMENT SERVICES, INC.
CENTRAL INVESTMENT SERVICES, INC.
VERITY INVESTMEN
VERITY INVESTMENTS, INC.
DURHAM, NC, UNITED STATES
RESIGNED