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: 5/9/2019

For the period of 4/1/2019 through 4/30/2019 

A

AENEAS CAPITAL L
AENEAS CAPITAL LLC
140 DOVER STREET, LAKEWOOD, CO 80226
ADMITTED

AMUR ADVISORS LL
AMUR ADVISORS LLC
NAME CHANGED TO PANTHERA SECURITIES LLC

AMUR ADVISORS LL
PANTHERA SECURITIES LLC
NEW NAME OF AMUR ADVISORS LLC

AVERE FINANCIAL
AVERE FINANCIAL GROUP, LLC
NAME CHANGED TO PARSONEX CAPITAL MARKETS, LLC

AVERE FINANCIAL
PARSONEX CAPITAL MARKETS, LLC
NEW NAME OF AVERE FINANCIAL GROUP, LLC

B

BECHTEL FINANCIN
BECHTEL FINANCING SERVICES, LLC
MILL VALLEY, CA, UNITED STATES
RESIGNED

BENJAMIN & JEROL
BENJAMIN & JEROLD BROKERAGE I, LLC
NEW YORK, NY, UNITED STATES
RESIGNED

BRISTOL FINANCIA
BRISTOL FINANCIAL SERVICES, INC
NAME CHANGED TO LEBENTHAL FINANCIAL SERVICES, INC.

BRISTOL FINANCIA
LEBENTHAL FINANCIAL SERVICES, INC.
NEW NAME OF BRISTOL FINANCIAL SERVICES, INC

C

CEIBA FINANCIAL,
CEIBA FINANCIAL, LLC
1831 LEXINGTON DR., FULLERTON, CA 92835
ADMITTED

CHESTER HARRIS &
CHESTER HARRIS & COMPANY, INCORPORATED
WHITE PLAINS, NY, UNITED STATES
RESIGNED

CNA INVESTOR SER
CNA INVESTOR SERVICES, INC.
NAME CHANGED TO OLD SLIP CAPITAL MANAGEMENT, INC.

CNA INVESTOR SER
OLD SLIP CAPITAL MANAGEMENT, INC.
NEW NAME OF CNA INVESTOR SERVICES, INC.

D

D-MERC SERVICES
D-MERC SERVICES
15000 WEST 6TH AVENUE, SUITE 203, GOLDEN, CO 80401
ADMITTED

DESON & CO.
DESON & CO.
LAS VEGAS, NV, USA
RESIGNED

DSP SECURITIES,
DSP SECURITIES, LLC
300 BARR HARBOR DRIVE, SUITE 420, WEST CONSHOHOCKEN, PA 19428
ADMITTED

DUANE STREET CAP
DUANE STREET CAPITAL BD LLC
100 CHURCH STREET, SUITE 800, NEW YORK, NY 10007
ADMITTED

E

ESSEX RADEZ LLC
ESSEX RADEZ LLC
CHICAGO, IL, UNITED STATES
CANCELLED FOR FOR FAILURE TO PAY OUTSTANDING FEES.

EXOTIX USA INC.
EXOTIX USA INC.
NAME CHANGED TO TELLIMER MARKETS INC.

EXOTIX USA INC.
TELLIMER MARKETS INC.
NEW NAME OF EXOTIX USA INC.

F

FALLLINE SECURIT
FALLLINE SECURITIES LLC
NAME CHANGED TO PWP SECURITIES LLC

FALLLINE SECURIT
PWP SECURITIES LLC
NEW NAME OF FALLLINE SECURITIES LLC

FINTECH CLEARING
FINTECH CLEARING, LLC
NAME CHANGED TO SUTTER SECURITIES CLEARING, LLC

FINTECH CLEARING
SUTTER SECURITIES CLEARING, LLC
NEW NAME OF FINTECH CLEARING, LLC

G

GATES CAPITAL CO
GATES CAPITAL CORPORATION
NEW YORK, NY, UNITED STATES
RESIGNED

GRAY OAK CAPITAL
GRAY OAK CAPITAL, LLC
537 STEAMBOAT ROAD, SUITE 200, GREENWICH, CT 06830
ADMITTED

H

HAPOALIM SECURIT
HAPOALIM SECURITIES USA, INC.
NEW YORK, NY, UNITED STATES
RESIGNED

I

IIFL INC.
IIFL INC.
1120 AVENUE OF THE AMERICAS, SUITE 1506, NEW YORK, NY 10036
ADMITTED

J

JDB CAPITAL SECU
JDB CAPITAL SECURITIES LLC
NAME CHANGED TO LINK SECURITIES LLC

JDB CAPITAL SECU
LINK SECURITIES LLC
NEW NAME OF JDB CAPITAL SECURITIES LLC

K

KINECTA FINANCIA
KINECTA FINANCIAL & INSURANCE SERVICES, LLC
NAME CHANGED TO KINECTA WEALTH MANAGEMENT

KINECTA FINANCIA
KINECTA WEALTH MANAGEMENT
NEW NAME OF KINECTA FINANCIAL & INSURANCE SERVICES, LLC

L

LYSTER WATSON SE
LYSTER WATSON SECURITIES, INC.
NEW YORK CITY, NY, UNITED STATES
RESIGNED

M

MEANS WEALTH MAN
MEANS WEALTH MANAGEMENT
BANGOR, ME, UNITED STATES
RESIGNED

N

NORTH RIDGE SECU
NORTH RIDGE SECURITIES CORP.
MELVILLE, NY, UNITED STATES
RESIGNED

O

OLD SLIP CAPITAL
OLD SLIP CAPITAL MANAGMENT, INC.
NAME CHANGED TO OLD SLIP CAPITAL MANAGEMENT, INC.

OLD SLIP CAPITAL
OLD SLIP CAPITAL MANAGEMENT, INC.
NEW NAME OF OLD SLIP CAPITAL MANAGMENT, INC.

OSTRICH SECURITI
OSTRICH SECURITIES LLC
NAME CHANGED TO RPX SECURITIES LLC

OSTRICH SECURITI
RPX SECURITIES LLC
NEW NAME OF OSTRICH SECURITIES LLC

P

PETER R. MACK &
PETER R. MACK & CO., INC.
WESTON, CT, UNITED STATES
RESIGNED

PMA SECURITIES,
PMA SECURITIES, INC.
NAME CHANGED TO PMA SECURITIES, LLC

PMA SECURITIES,
PMA SECURITIES, LLC
NEW NAME OF PMA SECURITIES, INC.

R

RICHMAN GROUP SE
RICHMAN GROUP SECURITIES, INC
NAME CHANGED TO CHAPWOOD SECURITIES, INC.

RICHMAN GROUP SE
CHAPWOOD SECURITIES, INC.
NEW NAME OF RICHMAN GROUP SECURITIES, INC

S

SEED EQUITY VENT
SEED EQUITY VENTURES, LLC
NAME CHANGED TO COINZOOM SECURITIES, LLC

SEED EQUITY VENT
COINZOOM SECURITIES, LLC
NEW NAME OF SEED EQUITY VENTURES, LLC

ST INVEST LLC
ST INVEST LLC
NAME CHANGED TO TRADE APP

ST INVEST LLC
TRADE APP
NEW NAME OF ST INVEST LLC

U

ULTRAVIOLET SECU
ULTRAVIOLET SECURITIES, LLC
151 BODMAN PLACE, SUITE 301, RED BANK, NJ 07701
ADMITTED

W

W. H. REAVES & C
W. H. REAVES & CO., INC.
JERSEY CITY, NJ, UNITED STATES RESIGNED

For the period of 3/1/2019 through 3/31/2019

A

ACERVUS SECURITI
ACERVUS SECURITIES, INC.
335 MADISON AVENUE, SUITE 1430, NEW YORK, NY 10017
ADMITTED

ALTERNET SECURIT
ALTERNET SECURITIES INC.
NAME CHANGED TO: VIRTU ALTERNET SECURITIES LLC

ALTERNET SECURIT
VIRTU ALTERNET SECURITIES LLC
NEW NAME OF: ALTERNET SECURITIES INC.

AUTO AFTERMARKET
AUTO AFTERMARKET SECURITIES, LLC
NAME CHANGED TO: MOBILITY SECURITIES, LLC

AUTO AFTERMARKET
MOBILITY SECURITIES, LLC
NEW NAME OF: AUTO AFTERMARKET SECURITIES, LLC

B

B. RILEY & CO., 
B. RILEY & CO., LLC
LOS ANGELES, CA, UNITED STATES
RESIGNED

C

C6 CAPITAL SECUR
C6 CAPITAL SECURITIES LLC
600 LEXINGTON AVENUE, 32ND FLOOR, NEW YORK, NY 10022
MAILING ADDRESS: 200 PARK AVENUE, 29TH FLOOR, NEW YORK, NY 10166
ADMITTED

CENTRAL SECURITI
CENTRAL SECURITIES, LLC
CASHMERE, WA, USA
RESIGNED

CN ROOSEVELT, LL
CN ROOSEVELT, LLC
NAME CHANGED TO: HORANG ROOSEVELT ADVISORS, LLC

CN ROOSEVELT, LL
HORANG ROOSEVELT ADVISORS, LLC
NEW NAME OF: CN ROOSEVELT, LLC

COR CLEARING LLC
COR CLEARING LLC
NAME CHANGED TO: AXOS CLEARING LLC

COR CLEARING LLC
AXOS CLEARING LLC
NEW NAME OF: COR CLEARING LLC

CPOD MARKETS LLC
CPOD MARKETS LLC
161 BAY STREET, SUITE 4000, TORONTO, ONTARIO M5J 2S1 CANADA
ADMITTED

E

EQIS SECURITIES,
EQIS SECURITIES, LLC
SAN RAFAEL, CA, UNITED STATES
RESIGNED

F

FEDERATED INTERN
FEDERATED INTERNATIONAL SECURITIES CORP.
FEDERATED INVESTORS TOWER, 1001 LIBERTY AVENUE, PITTSBURGH, PA 15222-3779
ADMITTED

FM (USA), LLC
FM (USA), LLC
80 8TH AVENUE, SUITE 1603, NEW YORK, NY 10011
MAILING ADDRESS: 181 NORTH 11TH STREET, SUITE 303, BROOKLYN, NY 11211
ADMITTED

G

GEOFFREY RICHARD
GEOFFREY RICHARDS SECURITIES CORP.
HYPOLUXO, FL, USA
RESIGNED

GLACIER POINT CA
GLACIER POINT CAPITAL LLC
NAME CHANGED TO: VYGR DIGITAL SECURITIES, LLC

GLACIER POINT CA
VYGR DIGITAL SECURITIES, LLC
NEW NAME OF: GLACIER POINT CAPITAL LLC

GREENHILL COGENT
GREENHILL COGENT, LP
DALLAS, TX
RESIGNED

H

HEADWATERS BD, L
HEADWATERS BD, LLC
DENVER, CO, USA
RESIGNED

HIGHLAND CAPITAL
HIGHLAND CAPITAL FUNDS DISTRIBUTOR, INC.
NAME CHANGED TO: NEXPOINT SECURITIES, INC.

HIGHLAND CAPITAL
NEXPOINT SECURITIES, INC.
NEW NAME OF: HIGHLAND CAPITAL FUNDS DISTRIBUTOR, INC.

I

ITG INC.
ITG INC.
NAME CHANGED TO: VIRTU ITG LLC

ITG INC.
VIRTU ITG LLC
NEW NAME OF: ITG INC.

J

J.W. COLE FINANC
J.W. COLE FINANCIAL, INC.
G.F. INVESTMENT SERVICES, LLC

JMG SECURITIES, 
JMG SECURITIES, LLC
NEW YORK, NY
RESIGNED

L

LAS OLAS CAPITAL
LAS OLAS CAPITAL PARTNERS, LLC
888 E LAS OLAS BLVD., SUITE 200, FT. LAUDERDALE, FL 33301
ADMITTED

LEGIONNAIRE SECU
LEGIONNAIRE SECURITIES LLC
550 W JACKSON BLVD, STE 1300, CHICAGO, IL 60661
ADMITTED

M

MERAKI GLOBAL AD
MERAKI GLOBAL ADVISORS LLC
SUITE 202 POISON CREEK OFFICE BUILDING, 2064 PROSPECTOR AVENUE, PARK CITY, UT
84060
MAILING ADDRESS: 2064 PROSPECTOR AVE, STE 202, P.O. BOX 982601, PARK CITY, UT 84098
ADMITTED

MERIT HARBOR CAP
MERIT HARBOR CAPITAL
NAME CHANGED TO: JD MERIT SECURITIES

MERIT HARBOR CAP
JD MERIT SECURITIES
NEW NAME OF: MERIT HARBOR CAPITAL

MIRABELLA US, LL
MIRABELLA US, LLC
SAN FRANCISCO, CA
RESIGNED

MM IGLOBAL INC.
MM IGLOBAL INC.
NAME CHANGED TO: MM GLOBAL SECURITIES, INC.

MM IGLOBAL INC.
MM GLOBAL SECURITIES, INC.
NEW NAME OF: MM IGLOBAL INC.

O

OSTRICH SECURITI
OSTRICH SECURITIES LLC
39 BROADWAY, SUITE 3300, NEW YORK, NY 10006
MAILING ADDRESS: 39 BROADWAY SUITE 3300, NEW YORK, NY 10006
ADMITTED

P

PARNASSUS FUNDS 
PARNASSUS FUNDS DISTRIBUTOR
NAME CHANGED TO: PARNASSUS FUNDS DISTRIBUTOR, LLC

PARNASSUS FUNDS 
PARNASSUS FUNDS DISTRIBUTOR, LLC
NEW NAME OF: PARNASSUS FUNDS DISTRIBUTOR

PARNASSUS FUNDS 
PARNASSUS FUNDS DISTRIBUTOR, LLC
NAME CHANGED TO: PARNASSUS FUNDS DISTRIBUTOR, LLC

PARNASSUS FUNDS 
PARNASSUS FUNDS DISTRIBUTOR, LLC
NEW NAME OF: PARNASSUS FUNDS DISTRIBUTOR, LLC

PHOTON SECURITIE
PHOTON SECURITIES LLC
39 BROADWAY SUITE 3300, NEW YORK, NY 10006
ADMITTED

R

REDE PARTNERS (A
REDE PARTNERS (AMERICAS) LLC
45 ROCKEFELLER PLAZA, SUITE 2601, NEW YORK, NY 10111
ADMITTED

RIM SECURITIES L
RIM SECURITIES LLC
NAME CHANGED TO: CNR SECURITIES, LLC

RIM SECURITIES L
CNR SECURITIES, LLC
NEW NAME OF: RIM SECURITIES LLC

S

SAVILLS STUDLEY 
SAVILLS STUDLEY SECURITIES LLC
NAME CHANGED TO: SAVILLS CAPITAL MARKETS LLC

SAVILLS STUDLEY 
SAVILLS CAPITAL MARKETS LLC
NEW NAME OF: SAVILLS STUDLEY SECURITIES LLC

SILBER BENNETT F
SILBER BENNETT FINANCIAL, INC.
ENCINO, CA, USA
RESIGNED

ST INVEST LLC
ST INVEST LLC
1001 6TH AVENUE, NEW YORK, NY 10018
ADMITTED

STIFEL, NICOLAUS
STIFEL, NICOLAUS & COMPANY, INCORPORATED
FIRST EMPIRE SECURITIES, INC.

T

T-REX SECURITIES
T-REX SECURITIES, LLC
NEW YORK, NY, UNITED STATES
RESIGNED

TIMBREL CAPITAL,
TIMBREL CAPITAL, LLC
2200 CENTURY PARKWAY, SUITE 500, ATLANTA, GA 30345
ADMITTED

W

WOODBURY FINANCI
ST. PAUL INVESTORS, INC.
MERGED QUESTAR CAPITAL CORPORATION
TO FORM WOODBURY FINANCIAL SERVICES, INC.