Changes to List of Broker-Dealer Firms We Regulate
For the period of 12/1/2025 through 12/31/2025
A
ALBRIGHT SECURIT
ALBRIGHT SECURITIES LLC
ARLINGTON, VA
RESIGNED
ANTA CAPITAL
ANTA CAPITAL
ONE MORTON DRIVE, SUITE 403, CHARLOTTESVILLE, VA 22903
ADMITTED
ARENS SECURITIES
ARENS SECURITIES
NAME CHANGED TO: QUANTFURY TRADING USA LLC
ARENS SECURITIES
QUANTFURY TRADING USA LLC
NEW NAME OF: ARENS SECURITIES
ASTRABIT
ASTRABIT
614 N. DUPONT HWY, SUITE 210, DOVER, DE 19901
MAILING ADDRESS: PO BOX 319, NEW YORK, NY 10040
ADMITTED
B
BALLEW INVESTMEN
BALLEW INVESTMENTS, INC.
JACKSON, MS, UNITED STATES
RESIGNED
BENTLEY SECURITI
BENTLEY SECURITIES CORPORATION
NEW YORK, NY, UNITED STATES
RESIGNED
BERTHEL, FISHER
TO FORM BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
ACQUIRED MOLONEY SECURITIES CO., INC.
BIG SKY TREASURY
BIG SKY TREASURY SERVICES
88 POOL CREEK ROAD, LIVINGSTON, MT 59047
MAILING ADDRESS: 88 POOL CREEK ROAD, LIVINGSTON, VA 59047
ADMITTED
BRYAN GARNIER SE
BRYAN GARNIER SECURITIES, LLC
NEW YORK, NY, USA
RESIGNED
BTM CONSULTING U
BTM CONSULTING USA, LLC
299 BROADWAY, SUITE 200, NEW YORK, NY 10007
ADMITTED
C
CADARET, GRANT &
CADARET, GRANT & CO., INC.
SYRACUSE, NY, UNITED STATES
RESIGNED
CARNEGIE, INC.
CARNEGIE, INC.
NEW YORK, NY, UNITED STATES
RESIGNED
CAROLINAS INVEST
CAROLINAS INVESTMENT CONSULTING LLC
CHARLOTTE, NC, USA
RESIGNED
CATAPULT ADVISOR
CATAPULT ADVISORS LLC
SAN FRANCISCO, CA, USA
RESIGNED
CDX ADVISORS
CDX ADVISORS
WEST PALM BEACH, FL, USA
RESIGNED
CHINA ECAPITAL P
CHINA ECAPITAL PARTNERS, LLC
IRVINE, CA, USA
RESIGNED
COUNTRY CLUB FIN
COUNTRY CLUB FINANCIAL SERVICES, LLC
KANSAS CITY, MO, UNITED STATES
RESIGNED
CRUX CAPITAL SEC
CRUX CAPITAL SECURITIES, LLC
19 MORRIS AVENUE, BROOKLYN, NY 11205
MAILING ADDRESS: 1015 NUTT STREET, #138, WILMINGTON, NC 28401
ADMITTED
CUSO FINANCIAL S
CUSO FINANCIAL SERVICES, L.P.
SAN DIEGO, CA, UNITED STATES
RESIGNED
E
EC SECURITIES LL
EC SECURITIES LLC
NAME CHANGED TO: MERIDIAN PLATFORM SECURITIES, LLC
EC SECURITIES LL
MERIDIAN PLATFORM SECURITIES, LLC
NEW NAME OF: EC SECURITIES LLC
F
FARINA & ASSOCIA
FARINA & ASSOCIATES, INC.
NEW YORK, NY, UNITED STATES
RESIGNED
FAVORPOINT CAPIT
FAVORPOINT CAPITAL
16220 N SCOTTSDALE ROAD, SUITE 300, SCOTTSDALE, AZ 85254
ADMITTED
FB SECURITIES, L
FB SECURITIES, LLC
301 CONGRESS AVENUE, SUITE 1725, AUSTIN, TX 78701
ADMITTED
G
GENERAL SECURITI
GENERAL SECURITIES CORP
NORTH KANSAS CITY, MO, UNITED STATES
RESIGNED
L
LIQUIFI LLC
LIQUIFI LLC
210 SW MARKET STREET, LEE'S SUMMIT, MO 64063
MAILING ADDRESS: 1828 WALNUT STREET, SUITE 816, KANSAS CITY, MO 64064
ADMITTED
LONG ISLAND FINA
LONG ISLAND FINANCIAL GROUP, INC.
ROSLYN, NY, UNITED STATES
RESIGNED
M
MISSIONSQUARE IN
MISSIONSQUARE INVESTMENT SERVICES
NAME CHANGED TO: MISSIONSQUARE WEALTH MANAGEMENT
MISSIONSQUARE IN
MISSIONSQUARE WEALTH MANAGEMENT
NEW NAME OF: MISSIONSQUARE INVESTMENT SERVICES
N
NEXT FINANCIAL G
NEXT FINANCIAL GROUP, INC.
HOUSTON, TX, UNITED STATES
RESIGNED
NORTH INVESTMENT
NORTH INVESTMENTS COMPANY LLC
201 AMERICAN CONCOURSE, SUITE L01D, FORT WORTH, TX 76106
MAILING ADDRESS: 8633 RUNNING RIVER LN, FORT WORTH, TX 76131
ADMITTED
Q
QUINCY WELLS CAP
QUINCY WELLS CAPITAL, LLC
200 WEST JACKSON BLVD, STE 1340, CHICAGO, IL 60606
MAILING ADDRESS: 200 WEST JACKSON BLVD, STE 1000, CHICAGO, IL 60606
ADMITTED
R
ROGAN & ASSOCIAT
ROGAN & ASSOCIATES, INC.
SAFETY HARBOR, FL, UNITED STATES
RESIGNED
S
SCP REAL ASSETS,
SCP REAL ASSETS, LLC
70 YORK STREET, SUITE 700, TORONTO M5J 1S9 CANADA
ADMITTED
STINSON SECURITI
STINSON SECURITIES, LLC
SAN FRANCISCO, CA, USA
RESIGNED
T
THOMPSON RESEARC
THOMPSON RESEARCH GROUP, LLC
3322 WEST END AVENUE, SUITE 360, NASHVILLE, TN 37203
ADMITTED
THURSTON SPRINGE
THURSTON SPRINGER FINANCIAL
NAME CHANGED TO: THURSTON, SPRINGER, MILLER, HERD & TITAK, INC.
THURSTON SPRINGE
THURSTON, SPRINGER, MILLER, HERD & TITAK, INC.
NEW NAME OF: THURSTON SPRINGER FINANCIAL
TRADEWEB L.L.C
TRADEWEB L.L.C
NAME CHANGED TO: TRADEWEB LLC
TRADEWEB L.L.C
TRADEWEB LLC
NEW NAME OF: TRADEWEB L.L.C
V
VISTINA STRUCTUR
VISTINA STRUCTURED CREDIT ADVISORY LLC
81 HOLLY HILL LANE, GREENWICH, CT 06830
ADMITTED
W
WILLIAM J. MAYER
WILLIAM J. MAYER SECURITIES, LLC
NAME CHANGED TO: CEVIDICA SECURITIES GROUP LLC
WILLIAM J. MAYER
CEVIDICA SECURITIES GROUP LLC
NEW NAME OF: WILLIAM J. MAYER SECURITIES, LLC
Y
YIELDSTREET MARK
YIELDSTREET MARKETS LLC
NAME CHANGED TO: WILLOW WEALTH MARKETS LLC
YIELDSTREET MARK
WILLOW WEALTH MARKETS LLC
NEW NAME OF: YIELDSTREET MARKETS LLC