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

3 MARK EQUITIES, INC.
1600 HWY. 6 SOUTH, SUITE 400, SUGAR LAND, TX 77478

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: 11/12/2018

For the period of 10/1/2018 through 10/31/2018

A

ARC SECURITIES,
ARC SECURITIES, LLC
WASHINGTON, DC, UNITED STATES
RESIGNED

ASCENSUS BROKER
ASCENSUS BROKER DEALER SERVICES, LLC
MERGED ASCENSUS FINANCIAL SERVICES, LLC.
EFC FINANCIAL SERVICES, LLC
TO FORM ASCENSUS BROKER DEALER SERVICES, LLC

B

BCS PLACEMENTS,
BCS PLACEMENTS, LLC
NAME CHANGED TO: 1964 GLOBAL

BCS PLACEMENTS,
1964 GLOBAL
NEW NAME OF: BCS PLACEMENTS, LLC

C

CADENA SECURITIE
CADENA SECURITIES SERVICES, LLC.
NAME CHANGED TO: NETREX CAPITAL MARKETS, LLC

CADENA SECURITIE
NETREX CAPITAL MARKETS, LLC
NEW NAME OF: CADENA SECURITIES SERVICES, LLC.

CAMBRIDGE INVEST
TO FORM CAMBRIDGE INVESTMENT RESEARCH, INC.
ACQUIRED BROKER DEALER FINANCIAL SERVICES CORP.

CAMBRIDGE INVEST
TO FORM CAMBRIDGE INVESTMENT RESEARCH, INC.
ACQUIRED BDF INVESTMENTS AND IBA SECURITIES

CAMBRIDGE INVEST
TO FORM CAMBRIDGE INVESTMENT RESEARCH, INC.
ACQUIRED INVESTCENTRAL

CAMBRIDGE INVEST
TO FORM CAMBRIDGE INVESTMENT RESEARCH, INC.
ACQUIRED D. K. THIELEKE SECURITIES, INC.

D

DAKOTA SECURITIE
DAKOTA SECURITIES INTERNATIONAL, INC.
MIAMI, FL, USA
RESIGNED

E

EDGE CORPORATE F
EDGE CORPORATE FINANCE, LLC
NAME CHANGED TO: EHCP CORPORATE FINANCE, LLC

EDGE CORPORATE F
EHCP CORPORATE FINANCE, LLC
NEW NAME OF: EDGE CORPORATE FINANCE, LLC

EQUITY INVESTMEN
EQUITY INVESTMENT SERVICES, INC
LAKE WORTH, FL, UNITED STATES
RESIGNED

F

FIRST BANK PUERT
FIRST BANK PUERTO RICO SECURITIES, CORP.
SAN JUAN, PR
RESIGNED

FORESIDE FINANCI
TO FORM FORESIDE FINANCIAL SERVICES, LLC
ACQUIRED LORING WARD SECURITIES INC.

FORESIDE FINANCI
TO FORM FORESIDE FINANCIAL SERVICES, LLC
ACQUIRED ASSANTE CAPITAL MANAGEMENT INC.

FORESIDE FINANCI
TO FORM FORESIDE FINANCIAL SERVICES, LLC
ACQUIRED RWB SECURITIES INC.

L

LWPARTNERS CAPIT
LWPARTNERS CAPITAL GROUP LLC
NEW YORK, NY, USA
RESIGNED

M

MARPINE SECURITI
MARPINE SECURITIES LLC
39 BROADWAY, SUITE 3300, NEW YORK, NY 10006
ADMITTED

METZLER SECURITI
METZLER SECURITIES GMBH
FRANKFURT AM MAIN, GERMANY
RESIGNED

N

NEST INVESTMENTS
NEST INVESTMENTS BD LLC
1845 WALNUT STREET, 22ND FLOOR, PHILADELPHIA, PA 19103-4722
ADMITTED

NEXTSEED SECURIT
NEXTSEED SECURITIES, LLC
3 GREENWAY PLAZA, SUITE 110, HOUSTON, TX 77046
MAILING ADDRESS: 3 GREENWAY PLAZA, SUITE 110, HOUSTON, TX 77046
ADMITTED

NORTHSTAR SECURI
NORTHSTAR SECURITIES, LLC
GREENWOOD VILLAGE, CO, USA
RESIGNED

P

PEAK6 MARKETS LL
PEAK6 MARKETS LLC
NAME CHANGED TO: DOUGH LLC

PEAK6 MARKETS LL
DOUGH LLC
NEW NAME OF: PEAK6 MARKETS LLC

PHILIP J. GREENB
PHILIP J. GREENBLATT SECURITIES LTD
NORTHBROOK, IL, UNITED STATES
RESIGNED

R

RAYMOND JAMES IN
RAYMOND JAMES INSURANCE GROUP, INC.
ST. PETERSBURG, FL, USA
RESIGNED

REDBIRD BD LLC
REDBIRD BD LLC
667 MADISON AVE, 16TH FLOOR, NEW YORK, NY 10065
ADMITTED

RELIABLE IMMIGRA
RELIABLE IMMIGRATION SOLUTIONS ENTERPRISES, INC.
WINCHESTER, MA, USA
RESIGNED

ROCKEFELLER FINA
ROCKEFELLER FINANCIAL LLC
10 ROCKEFELLER PLAZA, NEW YORK, NY 10020
MAILING ADDRESS: 10 ROCKEFELLER PLAZA, NEW YORK, NY 10022
ADMITTED

S

SITUS CAPITAL MA
SITUS CAPITAL MANAGEMENT LLC
ATLANTA, GA, USA
RESIGNED

T

TOKEN FOUNDRY SE
TOKEN FOUNDRY SECURITIES LLC
NAME CHANGED TO: CONSENSYS DIGITAL SECURITIES LLC

TOKEN FOUNDRY SE
CONSENSYS DIGITAL SECURITIES LLC
NEW NAME OF: TOKEN FOUNDRY SECURITIES LLC

W

WHEELHOUSE SECUR
WHEELHOUSE SECURITIES CORPORATION
ST. LOUIS, MO
RESIGNED

For the period of 9/1/2018 through 9/30/2018

A

AMERICAN DISCOVE
AMERICAN DISCOVERY ADVISORS, LLC
11150 SANTA MONICA BLVD, STE 1425, LOS ANGELES, CA 90025
MAILING ADDRESS: 11150 SANTA MONICA BLVD, STE 1425, LOS ANGELES, CA 90025
ADMITTED

AMERIPRISE FINAN
AMERIPRISE FINANCIAL SERVICES, INC.
INVESTMENT PROFESSIONALS, INC.

AVANT-GARDE TRAD
AVANT-GARDE TRADING SECURITIES
230 W. MONROE, SUITE 845, CHICAGO, IL 60606
ADMITTED

B

BEESPOKE CAPITAL
BEESPOKE CAPITAL
205 S MARION PKWY, DENVER, CO 80209
ADMITTED

BERKSHIRE CAPITA
BERKSHIRE CAPITAL SECURITIES LLC
NAME CHANGED TO: BERKSHIRE GLOBAL ADVISORS LP

BERKSHIRE CAPITA
BERKSHIRE GLOBAL ADVISORS LP
NEW NAME OF: BERKSHIRE CAPITAL SECURITIES LLC

BERNSTEIN HEBERT
BERNSTEIN HEBERT SECURITIES LLC
655 MADISON AVENUE 20TH FL., NEW YORK, NY 10065
ADMITTED

BLUESTONE CAPITA
BLUESTONE CAPITAL PARTNERS, LLC
MCLEAN, VA, USA
RESIGNED

BMO CAPITAL MARK
HARRIS NESBITT GERARD, INC.
MERGED KGS-ALPHA CAPITAL MARKETS, L.P.
KGS-ALPHA CAPITAL MARKETS LLC
TO FORM BMO CAPITAL MARKETS CORP.

C

CDX ADVISORS LLC
CDX ADVISORS LLC
NAME CHANGED TO: CDX ADVISORS

CDX ADVISORS LLC
CDX ADVISORS
NEW NAME OF: CDX ADVISORS LLC

COSSE' INTERNATI
COSSE' INTERNATIONAL SECURITIES, INC.
SEATTLE, WA, UNITED STATES
RESIGNED

COWEN PRIME SERV
COWEN PRIME SERVICES LLC
NAME CHANGED TO: COWEN PRIME SERVICES LLC

COWEN PRIME SERV
COWEN PRIME SERVICES LLC
NEW NAME OF: COWEN PRIME SERVICES LLC

COWEN OUTSOURCED
COWEN OUTSOURCED TRADING
NAME CHANGED TO: COWEN PRIME SERVICES LLC

COWEN OUTSOURCED
COWEN PRIME SERVICES LLC
NEW NAME OF: COWEN OUTSOURCED TRADING

D

DEALER SOLUTIONS
DEALER SOLUTIONS NORTH AMERICA LLC
NAME CHANGED TO: ILIAD SECURITIES LLC

DEALER SOLUTIONS
ILIAD SECURITIES LLC
NEW NAME OF: DEALER SOLUTIONS NORTH AMERICA LLC

DOCK SQUARE SECU
DOCK SQUARE SECURITIES , LLC
1200 ANASTASIA AVENUE, SUITE 500, CORAL GABLES, FL 33134-7577
ADMITTED

 

E

 

EMPIRE EXECUTION
EMPIRE EXECUTIONS, INC.
NEW YORK, NY, UNITED STATES
RESIGNED

EURONEXT SYNAPSE
EURONEXT SYNAPSE LLC
110 WALL STREET, SUITE 5070, NEW YORK, NY 10005
MAILING ADDRESS: 110 WALL STREET, SUITE 5-070, NEW YORK, NY 10005
ADMITTED

G

GOULD, AMBROSON
GOULD, AMBROSON & ASSOCIATES LTD.
GARDEN CITY, NY, UNITED STATES
RESIGNED

H

HEALTHIOS CAPITA
HEALTHIOS CAPITAL MARKETS, LLC
NAME CHANGED TO: THIRD500, LLC

HEALTHIOS CAPITA
THIRD500, LLC
NEW NAME OF: HEALTHIOS CAPITAL MARKETS, LLC

I

IMS SECURITIES,
IMS SECURITIES, INC.
HOUSTON, TX, UNITED STATES
EXPELLED FOR FAILURE TO PAY FINES AND/OR COSTS

INTL CUSTODY & C
INTL CUSTODY & CLEARING SOLUTIONS INC.
BIRMINGHAM, AL, UNITED STATES
RESIGNED

INVEST FINANCIAL
INVEST FINANCIAL CORPORATION
APPLETON, WI, UNITED STATES
RESIGNED

INVESTMENT CENTE
INVESTMENT CENTERS OF AMERICA, INC.
APPLETON, WI, UNITED STATES
RESIGNED

M

MAGSTAR CAPITAL,
MAGSTAR CAPITAL, LLC
201 WILLETT AVENUE, #PH416, PORT CHESTER, NY 10573
ADMITTED

N

NATIONAL PLANNIN
NATIONAL PLANNING CORPORATION
LOS ANGELES, CA, UNITED STATES
RESIGNED

O

OPPORTUNE PARTNE
OPPORTUNE PARTNERS LLC
711 LOUISIANA STREET, SUITE 3100, HOUSTON, TX 77002
ADMITTED

P

PROATHLETE SECUR
PROATHLETE SECURITIES LLC
733 3RD AVE, 16TH FL, NEW YORK, NY 10017
MAILING ADDRESS: 45 WEST 45 STREET, 15TH FLOOR, NEW YORK, NY 10036
ADMITTED

S

SCOTTRADE, INC.
SCOTTRADE, INC.
ST. LOUIS, MO, UNITED STATES
RESIGNED

SII INVESTMENTS,
SII INVESTMENTS, INC.
APPLETON, WI, UNITED STATES
RESIGNED

SUN LIFE FINANCI
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
WELLESLEY HILLS, MA, UNITED STATES
RESIGNED

T

TIGERBRIDGE CAPI
TIGERBRIDGE CAPITAL
115 BROADWAY, 5TH FLOOR, NEW YORK, NY 10006
ADMITTED

V

VTB CAPITAL INC.
VTB CAPITAL INC.
NAME CHANGED TO: XTELLUS CAPITAL PARTNERS, INC.

VTB CAPITAL INC.
XTELLUS CAPITAL PARTNERS, INC.
NEW NAME OF: VTB CAPITAL INC.

W

WEALTHFRONT BROK
WEALTHFRONT BROKERAGE CORPORATION
NAME CHANGED TO: WEALTHFRONT BROKERAGE LLC

WEALTHFRONT BROK
WEALTHFRONT BROKERAGE LLC
NEW NAME OF: WEALTHFRONT BROKERAGE CORPORATION