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

For the period of 5/1/2025 through 5/31/2025

A

ASPIDA FINANCIAL
ASPIDA FINANCIAL DISTRIBUTORS, LLC
2327 ENGLERT DR., DURHAM, NC 27713
MAILING ADDRESS: ENGLERT DR, 2327, DURHAM, NC 27713
ADMITTED

B

BCS GLOBAL MARKE
BCS GLOBAL MARKETS
NAME CHANGED TO: THE ULTIMA GLOBAL MARKETS (USA), INC.

BCS GLOBAL MARKE
THE ULTIMA GLOBAL MARKETS (USA), INC.
NEW NAME OF: BCS GLOBAL MARKETS

BSG SECURITIES,
BSG SECURITIES, LLC
1000 PARKWOOD CIRCLE SE, SUITE 810, ATLANTA, GA 30339
ADMITTED

C

CDS1 SECURITIES
CDS1 SECURITIES LLC
NAME CHANGED TO: INVESTIFI SECURITIES LLC

CDS1 SECURITIES
INVESTIFI SECURITIES LLC
NEW NAME OF: CDS1 SECURITIES LLC

CP CLIENT SOLUTI
CP CLIENT SOLUTIONS LLC
456 BROADWAY, 5TH FLOOR, SARATOGA SPRINGS, NY 12866
MAILING ADDRESS: 99 PARK AVENUE, 16TH FLOOR, NEW YORK, NY 10016
ADMITTED

CROSS CURRENT CA
CROSS CURRENT CAPITAL, INC.
NAME CHANGED TO: PRE-IPO STREET INC.

CROSS CURRENT CA
PRE-IPO STREET INC.
NEW NAME OF: CROSS CURRENT CAPITAL, INC.

CVCAPITAL SECURI
CVCAPITAL SECURITIES, LLC
PALO ALTO, CA, UNITED STATES
RESIGNED

I

IA SECURITIES (U
IA SECURITIES (USA) INC.
TORONTO, ONTARIO, CANADA
RESIGNED

INTERCHANGE CLEA
INTERCHANGE CLEARING LLC
1220 MAIN STREET, SUITE 400, VANCOUVER, WA 98660
ADMITTED

L

LPL FINANCIAL LL
LPL FINANCIAL LLC

LPL FINANCIAL LL
LPL FINANCIAL LLC
SORRENTO PACIFIC FINANCIAL, LLC
ADVANCED FINANCIAL SOLUTIONS, LLC
CUSO FINANCIAL SERVICES, L.P.
CUSO FINANCIAL SERVICES, LTD.

LPL FINANCIAL LL
LPL FINANCIAL LLC
GROVE POINT INVESTMENTS, LLC
SCF SECURITIES, INC.
SECURITY CONSULTANTS FINANCIAL SECURITIES, INC.
SCF SECURITIES, INC.
H. BECK, INC.
HIBBARD-BECK, INC.
CAPITAL FINANCIAL SECURITIES CORPORATION
ESTATE INVESTMENT COMPANY

M

M SHARE CAPITAL
M SHARE CAPITAL LLC
SAN FRANCISCO, CA, UNITED STATES
RESIGNED

MID-CONTINENT SE
MID-CONTINENT SECURITIES, LTD.
NAME CHANGED TO: RIDGEBACK SECURITIES, LTD

MID-CONTINENT SE
RIDGEBACK SECURITIES, LTD
NEW NAME OF: MID-CONTINENT SECURITIES, LTD.

O

ONQIX SECURITIES
ONQIX SECURITIES LLC
PACIFICA, CA, UNITED STATES
RESIGNED

ORDERBOOK
ORDERBOOK
SAN FRANCISCO, CA, UNITED STATES
CANCELED FOR NO SEC REGISTRATION

P

PLEXUS FINANCIAL
PLEXUS FINANCIAL SERVICES, LLC
DEER PARK, IL, USA
RESIGNED

PROSPERA FINANCI
PROSPERA FINANCIAL SERVICES, INC.
CUTTER & COMPANY, INC.
CUTTER AND COMPANY BROKERAGE, INC.
CUTTER AND COMPANY BROKERAGE, INC.

R

RAINMAKERS PARTN
RAINMAKERS PARTNERS, LLC
BEVERLY HILLS, CA, USA
RESIGNED

S

SCRED SECURITIES
SCRED SECURITIES US LLC
333 S GARLAND AVENUE, FLOOR 13 SUITE A, ORLANDO, FL 32801
ADMITTED

SEVEN PRIVATE VE
SEVEN PRIVATE VENTURES
SAN CLEMENTE, CA, UNITED STATES
CANCELED FOR NO SEC REGISTRATION

SPEEDROUTE LLC
SPEEDROUTE LLC
JERSEY CITY, NJ, USA
RESIGNED

STELLWAGEN SECUR
STELLWAGEN SECURITIES, LLC
STAMFORD, CT, USA
CANCELED FOR NO SEC REGISTRATION

T

THE SILVERFERN G
THE SILVERFERN GROUP, INC.
GREENWICH, CT, USA
RESIGNED

Z

ZATARA CAPITAL S
ZATARA CAPITAL SECURITIES L.P.
NAME CHANGED TO: GLOBAL DIGITAL MARKETS

ZATARA CAPITAL S
GLOBAL DIGITAL MARKETS
NEW NAME OF: ZATARA CAPITAL SECURITIES L.P.