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

For the period of 8/1/2025 through 8/31/2025

A

AMUNDI DISTRIBUT
AMUNDI DISTRIBUTOR US, INC.
BOSTON, MA, UNITED STATES
RESIGNED

AUGEO ADVISORS,
AUGEO ADVISORS, LLC
LOS ANGELES, CA, USA
RESIGNED

C

CAMBRIDGE INTERN
CAMBRIDGE INTERNATIONAL SECURITIES, LLC
WESTPORT, CT, UNITED STATES
RESIGNED

COGENT ASSOCIATE
COGENT ASSOCIATES, LLC
73 CENTRAL STREET, WOODSTOCK, VT 05091
MAILING ADDRESS: 316 REEF ROAD, FAIRFIELD, CT 06824
ADMITTED

CONCOURSE FINANC
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
BIRMINGHAM, AL, UNITED STATES
RESIGNED

CRESTWAVE CAPITA
CRESTWAVE CAPITAL PARTNERS LLC
375 SOUTH COUNTY ROAD, SUITE 210, PALM BEACH, FL 33480
ADMITTED

D

DALZELL TRADING,
DALZELL TRADING, LLC
STATE COLLEGE, PA, UNITED STATES
RESIGNED

DRIVELOYALTY LLC
DRIVELOYALTY LLC
NAME CHANGED TO: ONE GROWTH SECURITIES LLC

DRIVELOYALTY LLC
ONE GROWTH SECURITIES LLC
NEW NAME OF: DRIVELOYALTY LLC

G

GOODGAME ADVISOR
GOODGAME ADVISORS LLC
4701 SOQUEL DRIVE, SOQUEL, CA 95073
ADMITTED

GREEN GIRAFFE SE
GREEN GIRAFFE SECURITIES, LLC
BOSTON, MA, UNITED STATES
RESIGNED

L

LONG NECK SERVIC
LONG NECK SERVICES LLC
DARIEN, CT, UNITED STATES
RESIGNED

LPL FINANCIAL LL
LPL FINANCIAL LLC
FIRST HORIZON ADVISORS, INC.
FTB ADVISORS, INC.
FIRST TENNESSEE BROKERAGE, INC.
FIRST TENNESSEE DISCOUNT BROKERAGE, INC.

M

MCA SECURITIES L
MCA SECURITIES LLC
ATLANTA, GA, UNITED STATES
RESIGNED

N

NEON MONEY, LLC
NEON MONEY, LLC
NAME CHANGED TO: GA PCCV BD, LLC

NEON MONEY, LLC
GA PCCV BD, LLC
NEW NAME OF: NEON MONEY, LLC

NEWPOINT REAL ES
NEWPOINT REAL ESTATE CAPITAL SECURITIES LLC
NEW YORK, NY, UNITED STATES
RESIGNED

NORTH CAPITAL AG
NORTH CAPITAL AGENCY BROKERAGE, LLC
623 E FORT UNION BLVD.,, SUITE 101, SALT LAKE CITY, UT 84047
ADMITTED

O

ONEDIGITAL SECUR
ONEDIGITAL SECURITIES LLC
11101 SWITZER ROAD, SUITE 200, OVERLAND PARK, KS 66210
ADMITTED

P

PACIFIC OAK CAPI
PACIFIC OAK CAPITAL MARKETS, LLC
COSTA MESA, CA, UNITED STATES
RESIGNED

R

REPUBLIC CAPITAL
REPUBLIC CAPITAL GROUP
50 ROCKEFELLER PLAZA, SUITE 1250, NEW YORK, NY 10020
ADMITTED

RMK CAPITAL
RMK CAPITAL
NAME CHANGED TO: SEALION CAPITAL, LLC

RMK CAPITAL
SEALION CAPITAL, LLC
NEW NAME OF: RMK CAPITAL

S

SECURITIES RESEA
SECURITIES RESEARCH, INC. OF FLORIDA
VERO BEACH, FL, UNITED STATES
RESIGNED

SNOWBALL CAPITAL
SNOWBALL CAPITAL LLC
NAME CHANGED TO: GREAT PINE INVESTMENTS LLC

SNOWBALL CAPITAL
GREAT PINE INVESTMENTS LLC
NEW NAME OF: SNOWBALL CAPITAL LLC

T

TCBI SECURITIES
TCBI SECURITIES
NAME CHANGED TO: TCBI SECURITIES, INC.

TCBI SECURITIES
TCBI SECURITIES, INC.
NEW NAME OF: TCBI SECURITIES

THE INVESTMENT C
THE INVESTMENT CENTER, INC.
BEDMINSTER, NJ, UNITED STATES
RESIGNED

TH GLOBAL CAPITA
TH GLOBAL CAPITAL ADVISORS INC.
27070 SERRANO WAY, BONITA SPRINGS, FL 34135
ADMITTED

TRADEPRO SECURIT
TRADEPRO SECURITIES,INC.
NAME CHANGED TO: TRADEPRO SECURITIES, LLC.

TRADEPRO SECURIT
TRADEPRO SECURITIES, LLC.
NEW NAME OF: TRADEPRO SECURITIES,INC.

U

U.S. INVESTORS,
U.S. INVESTORS, INC.
ARLINGTON, VA, UNITED STATES
RESIGNED

W

WINTRUST INVESTM
WINTRUST INVESTMENTS LLC
CHICAGO, IL, UNITED STATES
RESIGNED