Firms We Regulate - #

# A B C D E F G H I J K L M N O P Q R S T U V W X Y Z

16 POINTS LLC
39 BROADWAY, SUITE 3300, ROOM 14, NEW YORK, NY 10006

180 DEGREE CAPITAL BD, LLC
7 N. WILLOW STREET, SUITE 4B, MONTCLAIR, NJ 07042

1851 SECURITIES, INC
ONE AMERICAN ROW, HARTFORD, CT 06102

1964 GLOBAL
71 MURRAY STREET, NO. 8, NEW YORK, NY 10007

1ST DISCOUNT BROKERAGE, INC.
8927 HYPOLUXO ROAD, SUITE A5, LAKE WORTH, FL 33467

1ST GLOBAL CAPITAL CORP.
12750 MERIT DRIVE, SUITE 1200, DALLAS, TX 75251

280 SECURITIES LLC
575 MARKET ST, STE 3800, SAN FRANCISCO, CA 94105
Mailing Address: 506 2ND AVE, STE 1400, SEATTLE, WA 98104

303 ALTERNATIVES, LLC
401 WEST SUPERIOR STREET, CHICAGO, IL 60654

7000 MILES, LLC
1925 CENTRAL STREET, SUITE 300, KANSAS CITY, MO 64108

7M SECURITIES, LLC
508 W 5TH STREET, SUITE 225, CHARLOTTE, NC 28202

8 RIVERS ADVISORS, LLC
406 BLACKWELL STREET, 4TH FL., DURHAM, NC 27701

Last updated: 1/31/2019

For the period of 12/1/2018 through 12/31/2018

A

ABRAMSON FINANCI
ABRAMSON FINANCIAL, LLC
LIVINGSTON, NJ
RESIGNED

ACCELERATED CAPI
ACCELERATED CAPITAL GROUP
COSTA MESA, CA, UNITED STATES
RESIGNED

ADVANCED TRADING
ADVANCED TRADING & LINKED ASSET STRATEGIES, LLC
NAME CHANGED TO: LFT SECURITIES, LLC

ADVANCED TRADING
LFT SECURITIES, LLC
NEW NAME OF: ADVANCED TRADING & LINKED ASSET STRATEGIES, LLC

ASHLAND SECURITI
ASHLAND SECURITIES, LLC
80 S.W. 8TH STREET, SUITE 2000, MIAMI, FL 33130
MAILING ADDRESS: 45 SW 9TH STREET, SUITE 4410, MIAMI, FL 33130
ADMITTED

C

CHIRON CAPITAL L
CHIRON CAPITAL LLC
NAME CHANGED TO: CHIRON SECURITIES LLC

CHIRON CAPITAL L
CHIRON SECURITIES LLC
NEW NAME OF: CHIRON CAPITAL LLC

E

EAGLES COAST CAP
EAGLES COAST CAPITAL, LLC
1240 WINNOWING WAY, SUITE 102, MOUNT PLEASANT, SC 29466
ADMITTED

ELITE BROKERS, L
ELITE BROKERS, LLC
1 WORLD TRADE CTR STE 1130, LONG BEACH, CA 90831
ADMITTED

ENSPIRE INVESTME
ENSPIRE INVESTMENTS
NAME CHANGED TO: BERWYN CAPITAL

ENSPIRE INVESTME
BERWYN CAPITAL
NEW NAME OF: ENSPIRE INVESTMENTS

EVERTRADE DIRECT
EVERTRADE DIRECT BROKERAGE, INC.
ST. LOUIS, MO, USA
RESIGNED

F

FREIMARK BLAIR &
FREIMARK BLAIR & COMPANY, INC.
UPPER SADDLE RIVER, NJ, UNITED STATES
RESIGNED

H

HOOPOE CAPITAL M
HOOPOE CAPITAL MARKETS, LLC
54 WARREN STREET, BOSTON, MA 02119
ADMITTED

HOOPOE CAPITAL S
HOOPOE CAPITAL SECURITIES, LLC
NAME CHANGED TO: HOOPOE CAPITAL MARKETS, LLC

HOOPOE CAPITAL S
HOOPOE CAPITAL MARKETS, LLC
NEW NAME OF: HOOPOE CAPITAL SECURITIES, LLC

M

MARPINE SECURITI
MARPINE SECURITIES LLC
NAME CHANGED TO: TOKENSOFT GLOBAL MARKETS, LLC

MARPINE SECURITI
TOKENSOFT GLOBAL MARKETS, LLC
NEW NAME OF: MARPINE SECURITIES LLC

MILLCO ADVISORS,
MILLCO ADVISORS, LP
NEW YORK, NY, USA
RESIGNED

MOSAIC CAPITAL,
MOSAIC CAPITAL, LLC
NEW YORK, NY, USA
RESIGNED

N

NEWBURY PIRET &
NEWBURY PIRET & CO.
NAME CHANGED TO: METRIC FINANCIAL INC.

NEWBURY PIRET &
METRIC FINANCIAL INC.
NEW NAME OF: NEWBURY PIRET & CO.

P

PANAMERICAN CAPI
PANAMERICAN CAPITAL SECURITIES LLC
NEW YORK, NY, USA
RESIGNED

POTEN CAPITAL SE
POTEN CAPITAL SERVICES, LLC
NEW YORK, NY, USA
RESIGNED

PRIME NUMBER CAP
PRIME NUMBER CAPITAL, LLC
14 MYRTLE DR, GREAT NECK, NY 11021
ADMITTED

R

REPUBLIC SECURIT
REPUBLIC SECURITIES OF AMERICA,INC.
ORLANDO, FL, UNITED STATES
RESIGNED

RGL ADVISORS, LL
RGL ADVISORS, LLC
IRVING, TX
RESIGNED

S

STONE RIDGE SECU
STONE RIDGE SECURITIES LLC
510 MADISON AVE, 21ST FLOOR, NEW YORK, NY 10022
ADMITTED

T

TRIANGLE SECURIT
TRIANGLE SECURITIES, LLC
RALEIGH, NC, USA
RESIGNED

U

UAT RESOURCES, L
UAT RESOURCES, LLC
ENGLEWOOD, CO
RESIGNED

W

WORLD TREND FINA
WORLD TREND FINANCIAL PLANNING SERVICES, LTD.
CEDAR RAPIDS, IA, UNITED STATES
RESIGNED

For the period of 11/1/2018 through 11/30/2018

A

ADCAP SECURITIES
ADCAP SECURITIES LLC
NAME CHANGED TO: LAKE FOREST SECURITIES, LLC

ADCAP SECURITIES
LAKE FOREST SECURITIES, LLC
NEW NAME OF: ADCAP SECURITIES LLC

AGRICAPITAL SECU
AGRICAPITAL SECURITIES INC.
NEW YORK, NY, UNITED STATES
RESIGNED

ALYSSA LLC
ALYSSA LLC
NEW YORK, NY, USA
RESIGNED

ARTIVEST BROKERA
ARTIVEST BROKERAGE LLC
NEW YORK, NY, US
RESIGNED

ASPIRATION FINAN
ASPIRATION FINANCIAL LLC
4551 GLENCOE AVE., SUITE 300, MARINA DEL REY, CA 90292
ADMITTED

AVENUE SECURITIE
AVENUE SECURITIES LLC
78 SW 7TH STREET, MIAMI, FL 33130
MAILING ADDRESS: 15901 COLLINS AVENUE, UNIT 4202, NORTH MIAMI BEACH, FL 33160
ADMITTED

C

CADIA CAPITAL AD
CADIA CAPITAL ADVISORS, LLC
NAME CHANGED TO: RUBICON CAPITAL ADVISORS

CADIA CAPITAL AD
RUBICON CAPITAL ADVISORS
NEW NAME OF: CADIA CAPITAL ADVISORS, LLC

CEBILE CAPITAL L
CEBILE CAPITAL LLC
295 MADISON AVENUE, 12TH FLOOR, NEW YORK, NY 10017
ADMITTED

D

DEFILIPPO CAPITA
DEFILIPPO CAPITALE PARTNERS LLC
LAS VEGAS, NV, USA
RESIGNED

DIVY EQUITIES, I
DIVY EQUITIES, INC.
NAME CHANGED TO: TRADEZERO AMERICA, INC.

DIVY EQUITIES, I
TRADEZERO AMERICA, INC.
NEW NAME OF: DIVY EQUITIES, INC.

E

EKS&H CAPITAL AD
EKS&H CAPITAL ADVISORS, LLC
DENVER, CO, USA
RESIGNED

F

FERGUSON & BREWE
FERGUSON & BREWER SECURITIES
PARADISE, CA, UNITED STATES
RESIGNED

FIELDSTONE SERVI
FIELDSTONE SERVICES CORP.
NAME CHANGED TO: AURIA SERVICES CORP.

FIELDSTONE SERVI
AURIA SERVICES CORP.
NEW NAME OF: FIELDSTONE SERVICES CORP.

HUFFMAN PRAIRIE
HUFFMAN PRAIRIE CAPITAL, LLC
MIAMISBURG, OH, USA
RESIGNED

I

INVESTMENT PROFE
INVESTMENT PROFESSIONALS, INC.
SAN ANTONIO, TX, UNITED STATES
RESIGNED

K

KGS-ALPHA CAPITA
KGS-ALPHA CAPITAL MARKETS, L.P.
NEW YORK, NY, U.S.
RESIGNED

L

LEVY, HARKINS &
LEVY, HARKINS & CO., INC.
NEW YORK, NY, UNITED STATES
RESIGNED

LONG NECK SERVIC
LONG NECK SERVICES LLC
17 OLD KINGS HIGHWAY, SUITE 140, DARIEN, CT 06820
ADMITTED

M

MCA SECURITIES
MCA SECURITIES
3060 PEACHTREE ROAD NW, ATLANTA, GA 30305
ADMITTED

MEADOWVALE ADVIS
MEADOWVALE ADVISORS LLC
NAME CHANGED TO: CABOT LANE LLC

MEADOWVALE ADVIS
CABOT LANE LLC
NEW NAME OF: MEADOWVALE ADVISORS LLC

MERCANTIL INVEST
MERCANTIL INVESTMENT SERVICES, INC.
NAME CHANGED TO: AMERANT INVESTMENTS, INC.

MERCANTIL INVEST
AMERANT INVESTMENTS, INC.
NEW NAME OF: MERCANTIL INVESTMENT SERVICES, INC.

MNR EXECUTIONS,
MNR EXECUTIONS, LLC
CHICAGO, IL, USA
RESIGNED

MOUNTAINSIDE SEC
MOUNTAINSIDE SECURITIES LLC
450 SPRINGFIELD AVENUE,, SUITE 201, SUMMIT, NJ 07901
ADMITTED

N

NAVIGANT CAPITAL
NAVIGANT CAPITAL ADVISORS, LLC
NAME CHANGED TO: ANKURA CAPITAL ADVISORS, LLC

NAVIGANT CAPITAL
ANKURA CAPITAL ADVISORS, LLC
NEW NAME OF: NAVIGANT CAPITAL ADVISORS, LLC

NIGHTSKY SECURIT
NIGHTSKY SECURITIES LLC
39 BROADWAY SUITE 3300, NEW YORK, NY 10006
ADMITTED

O

OLSTEIN CAPITAL
OLSTEIN CAPITAL MANAGEMENT, L.P.
PURCHASE, NY, UNITED STATES
RESIGNED

P

P. R. HERZIG & C
P. R. HERZIG & CO. INC.
ROSLYN HEIGHTS, NY, UNITED STATES
RESIGNED

PACES BATTLE GRO
PACES BATTLE GROUP, INC.
ALPHARETTA, GA, UNITED STATES
CANCELED FOR FAILURE TO MEET THE ELIGIBILITY OR QUALIFICATION STANDARDS OR PREREQUISITES FOR ACCESS TO SERVICES.

R

REPOWER CAPITAL
REPOWER CAPITAL NETWORK, LLC
NAME CHANGED TO: ZYNCAP SECURITIES, LLC

REPOWER CAPITAL
ZYNCAP SECURITIES, LLC
NEW NAME OF: REPOWER CAPITAL NETWORK, LLC

RIVERBANK CAPITA
RIVERBANK CAPITAL SECURITIES, INC.
NEW YORK, NY
RESIGNED

ROYAL ALLIANCE A
INTEGRATED INVESTMENTS, INC.
SIGNATOR INVESTORS, INC.
MERGED JOHN HANCOCK DISTRIBUTORS, INC.
TO FORM ROYAL ALLIANCE ASSOCIATES, INC.

ROYAL ALLIANCE A
INTEGRATED INVESTMENTS, INC.
SIGNATOR INVESTORS, INC.
MERGED JOHN HANCOCK DISTRIBUTORS, INC.
TO FORM ROYAL ALLIANCE ASSOCIATES, INC.

S

SAYBRUS EQUITY S
SAYBRUS EQUITY SERVICES, INC
NAME CHANGED TO: SAYBRUS EQUITY SERVICES, LLC

SAYBRUS EQUITY S
SAYBRUS EQUITY SERVICES, LLC
NEW NAME OF: SAYBRUS EQUITY SERVICES, INC

T

THE YALE GROUP,
THE YALE GROUP, INC.
NAME CHANGED TO: CBC SECURITIES, INC.

THE YALE GROUP,
CBC SECURITIES, INC.
NEW NAME OF: THE YALE GROUP, INC.

TRADE MANAGE CAP
TRADE MANAGE CAPITAL, INC.
WALDWICK, NJ, UNITED STATES
RESIGNED

V

VGL GLOBAL LLC
VGL GLOBAL LLC
NAME CHANGED TO: AENIGMA ADVISORS LLC

VGL GLOBAL LLC
AENIGMA ADVISORS LLC
NEW NAME OF: VGL GLOBAL LLC

VISION 4 FUND DI
VISION 4 FUND DISTRIBUTORS
9260 E. RAINTREE DRIVE, SUITE 100, SCOTTSDALE, AZ 85260
ADMITTED

W

WAFRA SECURITIES
WAFRA SECURITIES CORPORATION
NEW YORK, NY
RESIGNED

WESTPORT RESOURC
WESTPORT RESOURCES INVESTMENT SERVICES, INC.
NAME CHANGED TO: SMH CAPITAL INVESTMENTS LLC

WESTPORT RESOURC
SMH CAPITAL INVESTMENTS LLC
NEW NAME OF: WESTPORT RESOURCES INVESTMENT SERVICES, INC.

Y

YUKI-CO, LLC
YUKI-CO, LLC
2173 WALKER LANE, SALT LAKE CITY, UT 84117
ADMITTED