Changes to List of Broker-Dealer Firms We Regulate

For the period of 6/1/2025 through 6/30/2025

A

ARQ SECURITIES
ARQ SECURITIES
NAME CHANGED TO: LIQUIDITY.IO, LLC

ARQ SECURITIES
LIQUIDITY.IO, LLC
NEW NAME OF: ARQ SECURITIES

B

BLUE QUARTZ INVE
BLUE QUARTZ INVESTMENTS
6424 DASH POINT BLVD NE, TACOMA, WA 98422
ADMITTED

BRIDGEWAY SECURI
BRIDGEWAY SECURITIES
1 CHISHOLM TRAIL RD, SUITE 450, ROUND ROCK, TX 78681
ADMITTED

C

CAPTIVEX SECURIT
CAPTIVEX SECURITIES LLC
67 HOLLY HILL LANE, SUITE 308 B, GREENWICH, CT 06830
MAILING ADDRESS: 67 HOLLY HILL LANE, GREENWICH, CT 06830
ADMITTED

CENTERLINE CAPIT
CENTERLINE CAPITAL PARTNERS
51 RYANS MILL ROAD, JAMISON, PA 18929
ADMITTED

CETERA ADVISOR N
CETERA ADVISOR NETWORKS LLC
NAME CHANGED TO: CETERA WEALTH SERVICES, LLC

CETERA ADVISOR N
CETERA WEALTH SERVICES, LLC
NEW NAME OF: CETERA ADVISOR NETWORKS LLC

D

D12 CAPITAL MARK
D12 CAPITAL MARKETS INC.
NAME CHANGED TO: FM GLOBAL MARKETS INC

D12 CAPITAL MARK
FM GLOBAL MARKETS INC
NEW NAME OF: D12 CAPITAL MARKETS INC.

DINARI SECURITIE
DINARI SECURITIES, LLC
260 MADISON AVENUE, SUITE 8051, NEW YORK, NY 10016
ADMITTED

E

EFCG TRANSACTION
EFCG TRANSACTION SERVICES LLC
4915 W 31ST AVE, DENVER, CO 80212
ADMITTED

EXCELERATION CAP
EXCELERATION CAPITAL LLC
NAME CHANGED TO: UTILITY CAPITAL PARTNERS, LLC

EXCELERATION CAP
UTILITY CAPITAL PARTNERS, LLC
NEW NAME OF: EXCELERATION CAPITAL LLC

G

GUIDELINE SECURI
GUIDELINE SECURITIES, LLC
1412 CHAPIN AVENUE, BURLINGAME, CA 94010
ADMITTED

H

HIGH HILL SECURI
HIGH HILL SECURITIES, LLC
1041 RUTH'S WAY, GREENSBORO, GA 30642
ADMITTED

J

J.V.B. FINANCIAL
J.V.B. FINANCIAL GROUP, LLC
NAME CHANGED TO: COHEN & COMPANY SECURITIES, LLC

J.V.B. FINANCIAL
COHEN & COMPANY SECURITIES, LLC
NEW NAME OF: J.V.B. FINANCIAL GROUP, LLC

J.V.B. FINANCIAL
J.V.B. FINANCIAL GROUP, LLC
NAME CHANGED TO: COHEN & COMPANY SECURITIES, LLC

J.V.B. FINANCIAL
COHEN & COMPANY SECURITIES, LLC
NEW NAME OF: J.V.B. FINANCIAL GROUP, LLC

L

LONG BRIDGE SECU
LONG BRIDGE SECURITIES LLC
NAME CHANGED TO: LONGBRIDGE

LONG BRIDGE SECU
LONGBRIDGE
NEW NAME OF: LONG BRIDGE SECURITIES LLC

LPL FINANCIAL LL
LPL FINANCIAL LLC
WESTERN INTERNATIONAL SECURITIES, INC.

O

ONE VANDERBILT S
ONE VANDERBILT SECURITIES LLC
1 VANDERBILT AVENUE, 65TH FLOOR, NEW YORK, NY 10017
ADMITTED

R

REDBURN ATLANTIC
REDBURN ATLANTIC
NAME CHANGED TO: ROTHSCHILD & CO REDBURN

REDBURN ATLANTIC
ROTHSCHILD & CO REDBURN
NEW NAME OF: REDBURN ATLANTIC

RETOKENS CAPITAL
RETOKENS CAPITAL LLC
3103 N. PINES ROAD, SPOKANE VALLEY, WA 99216
ADMITTED

S

SARNA FINANCE LL
SARNA FINANCE LLC
NAME CHANGED TO: DNA SECURITIES LLC

SARNA FINANCE LL
DNA SECURITIES LLC
NEW NAME OF: SARNA FINANCE LLC

T

TSA FINANCIAL LL
TSA FINANCIAL LLC
501 SE 2ND STREET, APT. 1132, FORT LAUDERDALE, FL 33301
ADMITTED

V

VAXA PARTNERS LL
VAXA PARTNERS LLC
540 MADISON AVENUE, NEW YORK, NY 10022
ADMITTED

VENECREDIT SECUR
VENECREDIT SECURITIES, INC.
NAME CHANGED TO: VSI SECURITIES, INC.

VENECREDIT SECUR
VSI SECURITIES, INC.
NEW NAME OF: VENECREDIT SECURITIES, INC.

VISTA EQUITY PAR
VISTA EQUITY PARTNERS CAPITAL MARKETS, LLC
50 HUDSON YARDS, FLOOR 77, NEW YORK, NY 10001
ADMITTED

W

WAY MAKER REAL E
WAY MAKER REAL ESTATE PARTNERS, LLC
NAME CHANGED TO: TRETE CAPITAL MARKETS, LLC

WAY MAKER REAL E
TRETE CAPITAL MARKETS, LLC
NEW NAME OF: WAY MAKER REAL ESTATE PARTNERS, LLC

WEALTH ENHANCEME
WEALTH ENHANCEMENT BROKERAGE SERVICES, LLC
LPL FINANCIAL LLC
LPL FINANCIAL CORPORATION
LINSCO/PRIVATE LEDGER CORP.
PRIVATE LEDGER FINANCIAL SERVICES, INCORPORATED

X

XIDAR SECURITIES
XIDAR SECURITIES LLC
353 NORTH CLARK ST, SUITE 1600, CHICAGO, IL 60654
ADMITTED