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Previous Month Changes to List of Broker-Dealer Firms We Regulate

For the period of 3/1/2025 through 3/31/2025

A

AMBIT AMERICA IN
AMBIT AMERICA INC.
NEW YORK, NY, USA
RESIGNED

ARCHSTONE CAPITA
ARCHSTONE CAPITAL, LLC
WASHINGTON, DC, UNITED STATES
RESIGNED    

ARCVIEW CAPITAL,
ARCVIEW CAPITAL, LLC
NAME CHANGED TO: ARCSTONE SECURITIES LLC

ARCVIEW CAPITAL,
ARCSTONE SECURITIES LLC
NEW NAME OF: ARCVIEW CAPITAL, LLC

ATM EXECUTION LL
ATM EXECUTION LLC
NAME CHANGED TO: TD ARRANGED SERVICES LLC

ATM EXECUTION LL
TD ARRANGED SERVICES LLC
NEW NAME OF: ATM EXECUTION LLC

ATM EXECUTION LL
ATM EXECUTION LLC
NAME CHANGED TO: TD ARRANGED SERVICES LLC

ATM EXECUTION LL
TD ARRANGED SERVICES LLC
NEW NAME OF: ATM EXECUTION LLC

B

BUCK HR SECURITI
BUCK HR SECURITIES LLC
NEW YORK, NY, UNITED STATES
RESIGNED

C

C.R. LLOYD INVES
C.R. LLOYD INVESTMENT SERVICES, LLC
150 E 4TH PLACE, SUITE 600, SIOUX FALLS, SD 57104
MAILING ADDRESS: 150 E. 5TH PLACE, SUITE 600, SIOUX FALLS, SD 57104
ADMITTED

CAHN CAPITAL COR
CAHN CAPITAL CORP.
NEW YORK, NY, UNITED STATES
RESIGNED

CAPITOLIS GLOBAL
CAPITOLIS GLOBAL BROKER DEALER LLC
11 W. 42ND STREET, 15TH FLOOR, NEW YORK, NY 10036
ADMITTED

CAPITAL INSTITUT
CAPITAL INSTITUTIONAL SERVICES, INC.
NAME CHANGED TO: CAPIS

CAPITAL INSTITUT
CAPIS
NEW NAME OF: CAPITAL INSTITUTIONAL SERVICES, INC.

CARR, RIGGS & IN
CARR, RIGGS & INGRAM CAPITAL ADVISORS, L.L.C.
NAME CHANGED TO: CRI M&A ADVISORS, LLC

CARR, RIGGS & IN
CRI M&A ADVISORS, LLC
NEW NAME OF: CARR, RIGGS & INGRAM CAPITAL ADVISORS, L.L.C.

CARREDEN GROUP,
CARREDEN GROUP, INC.
MORAGA, CA, UNITED STATES
RESIGNED

D

DONALD CAPITAL L
DONALD CAPITAL LLC
NEW YORK, NY, UNITED STATES
RESIGNED

E

ENERGY SHARES, L
ENERGY SHARES, LLC.
PASADENA, CA, USA
RESIGNED

ENTEGRA SECURITI
ENTEGRA SECURITIES LLC
130 WEST 30TH STREET, 6A, NEW YORK, NY 10001
ADMITTED

EQTE BROKERAGE L
EQTE BROKERAGE LLC
NAME CHANGED TO: EQT PARTNERS BD, LLC

EQTE BROKERAGE L
EQT PARTNERS BD, LLC
NEW NAME OF: EQTE BROKERAGE LLC

EQTE BROKERAGE L
EQTE BROKERAGE LLC
NAME CHANGED TO: EQT PARTNERS BD, LLC

EQTE BROKERAGE L
EQT PARTNERS BD, LLC
NEW NAME OF: EQTE BROKERAGE LLC

F

FINTRON INVEST
FINTRON INVEST
NAME CHANGED TO: APEX FINTECH BROKERAGE SERVICES

FINTRON INVEST
APEX FINTECH BROKERAGE SERVICES
NEW NAME OF: FINTRON INVEST

FM (USA), LLC
FM (USA), LLC
NEW YORK, NY, UNITED STATES
RESIGNED

J

JW & CO.
JW & CO.
5700 S ASPEN CT, GREENWOOD VILLAGE, CO 80121
ADMITTED

L

LPL FINANCIAL LL
LPL FINANCIAL LLC

LPL FINANCIAL LL
LPL FINANCIAL LLC
THE INVESTMENT CENTER, INC.

M

MARINER GROUP CA
MARINER GROUP CAPITAL MARKETS, LLC
HARRISON, NY, UNITED STATES
RESIGNED

MILLBURN RIDGEFI
MILLBURN RIDGEFIELD CORPORATION
NAME CHANGED TO: MILLBURN RIDGEFIELD LLC

MILLBURN RIDGEFI
MILLBURN RIDGEFIELD LLC
NEW NAME OF: MILLBURN RIDGEFIELD CORPORATION

N

NORTHSTAR FINANC
NORTHSTAR FINANCIAL SERVICES
NAME CHANGED TO: PLURAL BROKERAGE LLC

NORTHSTAR FINANC
PLURAL BROKERAGE LLC
NEW NAME OF: NORTHSTAR FINANCIAL SERVICES

O

OCEAN TOMO INVES
OCEAN TOMO INVESTMENT GROUP, LLC
NEW YORK, NY, USA
RESIGNED

OSAIC FA, INC.
OSAIC FA, INC.
FORT WAYNE, IN, UNITED STATES
RESIGNED

OSAIC FS, INC.
OSAIC FS, INC.
FORT WAYNE, IN, UNITED STATES
RESIGNED

R

REMSENBURG CAPIT
REMSENBURG CAPITAL, LLC
NAME CHANGED TO: REMSENBURG SECURITIES, LLC

REMSENBURG CAPIT
REMSENBURG SECURITIES, LLC
NEW NAME OF: REMSENBURG CAPITAL, LLC

S

SEVENPOINT PARTN
SEVENPOINT PARTNERS, LP
60 RIVER ROAD, SUMMIT, NJ 07901
ADMITTED

SIGNET SECURITIE
SIGNET SECURITIES, LLC
COLUMBUS, OH
RESIGNED

ST. GERMAIN SECU
ST. GERMAIN SECURITIES, INC.
SPRINGFIELD, MA, UNITED STATES
RESIGNED

STANWICH ADVISOR
STANWICH ADVISORS LLC
NAME CHANGED TO: KATAMA SECURITIES LLC

STANWICH ADVISOR
KATAMA SECURITIES LLC
NEW NAME OF: STANWICH ADVISORS LLC

SUPPORT SERVICES
SUPPORT SERVICES FINANCIAL ADVISORS, INC.
NAME CHANGED TO: DBA CHA FINANCIAL ADVISORS

SUPPORT SERVICES
DBA CHA FINANCIAL ADVISORS
NEW NAME OF: SUPPORT SERVICES FINANCIAL ADVISORS, INC.

V

VERITASEUM SECUR
VERITASEUM SECURITIES LLC
NEW YORK, NY, UNITED STATES
CANCELED FOR NO SEC REGISTRATION

VIII CAPITAL COR
VIII CAPITAL CORP.
TORONTO, CANADA
RESIGNED

VORPAHL WING SEC
VORPAHL WING SECURITIES INC.
SPOKANE, WA, UNITED STATES
RESIGNED

VT DISTRIBUTORS
VT DISTRIBUTORS LLC
NAME CHANGED TO: SMEAD FUNDS DISTRIBUTORS, LLC

VT DISTRIBUTORS
SMEAD FUNDS DISTRIBUTORS, LLC
NEW NAME OF: VT DISTRIBUTORS LLC

VT DISTRIBUTORS
VT DISTRIBUTORS LLC
NAME CHANGED TO: SMEAD FUNDS DISTRIBUTORS, LLC

VT DISTRIBUTORS
SMEAD FUNDS DISTRIBUTORS, LLC
NEW NAME OF: VT DISTRIBUTORS LLC

W

WEALTHFORGE DIST
WEALTHFORGE DISTRIBUTORS, LLC
3015 W. MOORE ST., SUITE 102, RICHMOND, VA 23230
ADMITTED

WH CAPITAL LLC
WH CAPITAL LLC
NAME CHANGED TO: E.F. HUTTON & CO. LLC

WH CAPITAL LLC
E.F. HUTTON & CO. LLC
NEW NAME OF: WH CAPITAL LLC