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: 3/28/2019

For the period of 2/1/2019 through 2/28/2019 

#

3 MARK EQUITIES,
3 MARK EQUITIES, INC.
SUGAR LAND, TX, USA
RESIGNED

A

ALERUS SECURITIE
ALERUS SECURITIES CORPORATION
GRAND FORKS, ND, UNITED STATES
RESIGNED

ARDEA PARTNERS L
ARDEA PARTNERS LLC
NAME CHANGED TO: ARDEA PARTNERS LP

ARDEA PARTNERS L
ARDEA PARTNERS LP
NEW NAME OF: ARDEA PARTNERS LLC

ASCENSUS FINANCI
ASCENSUS FINANCIAL SERVICES, LLC.
DRESHER, PA, USA
RESIGNED

AURIGA USA, LLC
AURIGA USA, LLC
NEW YORK, NY, USA
RESIGNED

B

B&A CAPITAL, INC
B&A CAPITAL, INC.
EAST DUNDEE, IL
RESIGNED

BARNABAS CAPITAL
BARNABAS CAPITAL, LLC
19600 WEST CATAWBA AVENUE, SUITE C201, CORNELIUS, NC 28031
ADMITTED

BOSTONIA GLOBAL 
BOSTONIA GLOBAL SECURITIES, LLC
NAME CHANGED TO: WATERWAY CAPITAL LLC

BOSTONIA GLOBAL 
WATERWAY CAPITAL LLC
NEW NAME OF: BOSTONIA GLOBAL SECURITIES, LLC

C

CARSON GROUP BRO
CARSON GROUP BROKERAGE, LLC
13321 CALIFORNIA STREET, SUITE 100, OMAHA, NE 68154
ADMITTED

CETERA ADVISOR N
CETERA ADVISOR NETWORKS LLC
NORTH RIDGE SECURITIES CORP.

CFR-INC.
CFR-INC.
REDMOND, WA
RESIGNED

CG CAPITAL MARKE
CG CAPITAL MARKETS, LLC
BOCA RATON, FL, UNITED STATES
RESIGNED

CHILIAN PARTNERS
CHILIAN PARTNERS, L.P.
PALM BEACH, FL, UNITED STATES
RESIGNED

CHXBD, LLC
CHXBD, LLC
CHICAGO, IL, USA
RESIGNED

CORPORATE DEVELO
CORPORATE DEVELOPMENT CAPITAL, LLC
NAME CHANGED TO: OPES BESPOKE SECURITIES LLC

CORPORATE DEVELO
OPES BESPOKE SECURITIES LLC
NEW NAME OF: CORPORATE DEVELOPMENT CAPITAL, LLC

CRYSTAL BAY SECU
CRYSTAL BAY SECURITIES INC.
DELRAY BEACH, FL
CANCELLED FOR FAILURE TO PAY ARBITRATION FEES.

D

DALKEITH GROUP, 
DALKEITH GROUP, LLC
617 BERME ROAD, HIGH FALLS, NY 12440
ADMITTED

DETWILER FENTON 
DETWILER FENTON & CO.
BOSTON, MA, UNITED STATES
RESIGNED

DAROTH CAPITAL A
DAROTH CAPITAL ADVISORS LLC
NEW YORK, NY
RESIGNED

E

EQUIDATE MARKETS
EQUIDATE MARKETS LLC
NAME CHANGED TO: FORGE MARKETS LLC

EQUIDATE MARKETS
FORGE MARKETS LLC
NEW NAME OF: EQUIDATE MARKETS LLC

EXOS SECURITIES 
EXOS SECURITIES LLC
WEWORK, C/O EXOS FINANCIAL, TOWER 49, 12E. 49TH ST., 15TH FL, NEW YORK, NY
10017-1028
MAILING ADDRESS: WEWORK, C/O EXOS FINANCIAL, TOWER 49, 12E. 49TH ST., 11TH FL., NEW YORK, NY
10017-1028
ADMITTED

F

FELLS POINT RESE
FELLS POINT RESEARCH LLC
BALTIMORE, MD
RESIGNED

FINANCIAL PLANNI
FINANCIAL PLANNING CONSULTANTS, INC.
CHESTERFIELD, MO, UNITED STATES
RESIGNED

FORESTERS EQUITY
FORESTERS EQUITY SERVICES, INC.
SAN DIEGO, CA, UNITED STATES
RESIGNED

G

G. SELECT SECURI
G. SELECT SECURITIES, LLC
NAME CHANGED TO: AGA SECURITIES, LLC

G. SELECT SECURI
AGA SECURITIES, LLC
NEW NAME OF: G. SELECT SECURITIES, LLC

GALENA CAPITAL
GALENA CAPITAL
618 E HIGHLAND VIEW DRIVE, BOISE, ID 83702
ADMITTED

GARRISON SECURIT
GARRISON SECURITIES LLC
NEW YORK, NY
RESIGNED

GLOBAL STRATEGIC
GLOBAL STRATEGIC INVESTMENTS, LLC
NAME CHANGED TO: GENTEM CAPITAL LLC

GLOBAL STRATEGIC
GENTEM CAPITAL LLC
NEW NAME OF: GLOBAL STRATEGIC INVESTMENTS, LLC

GMP SECURITIES, 
GMP SECURITIES, LLC
NAME CHANGED TO: INTL FCSTONE CREDIT TRADING LLC

GMP SECURITIES, 
INTL FCSTONE CREDIT TRADING LLC
NEW NAME OF: GMP SECURITIES, LLC

H

HENNEPIN PARTNER
HENNEPIN PARTNERS
NAME CHANGED TO: HENNEPIN PARTNERS LLC

HENNEPIN PARTNER
HENNEPIN PARTNERS LLC
NEW NAME OF: HENNEPIN PARTNERS

HOLLOWAY & ASSOC
HOLLOWAY & ASSOCIATES, INC.
EASTON, MD, UNITED STATES
RESIGNED

I

IFP SECURITIES, 
IFP SECURITIES, LLC
3030 NORTH ROCKY POINT DRIVE WEST,, SUITE 700, TAMPA, FL 33607
ADMITTED

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

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

K

KCG SECURITIES, 
KCG SECURITIES, LLC
DRAPER, UT
RESIGNED

KERCHEVILLE & CO
KERCHEVILLE & COMPANY, INC.
SAN ANTONIO, TX, UNITED STATES
RESIGNED

KEY WEST INVESTM
KEY WEST INVESTMENTS, LLC
SAN GABRIEL, CA
RESIGNED

L

LEXBRIDGE INTERN
LEXBRIDGE INTERNATIONAL
BURLINGTON, MA, UNITED STATES
RESIGNED

M

M B FINANCIAL SE
M B FINANCIAL SERVICES
NEWINGTON, CT, UNITED STATES
RESIGNED

M. GRIFFITH INVE
M. GRIFFITH INVESTMENT SERVICES, INC.
NEW HARTFORD, NY, UNITED STATES
RESIGNED

MACGREGOR GLOBAL
MACGREGOR GLOBAL INVESTMENTS, LLC
CHICAGO, IL, USA
RESIGNED

MCCAULEY SECURIT
MCCAULEY SECURITIES, LTD.
NEW YORK, NY, UNITED STATES
RESIGNED

MHA FINANCIAL CO
MHA FINANCIAL CORP
WESTWOOD, MA, UNITED STATES
RESIGNED

N

NEW ALBION PARTN
NEW ALBION PARTNERS LLC
NEW YORK, NY, USA
RESIGNED

NIGHTSKY SECURIT
NIGHTSKY SECURITIES LLC
NAME CHANGED TO: SERIESONE SECURITIES, LLC

NIGHTSKY SECURIT
SERIESONE SECURITIES, LLC
NEW NAME OF: NIGHTSKY SECURITIES LLC

NORTH POINT ADVI
NORTH POINT ADVISORS, LLC
NAME CHANGED TO: NORTH POINT ADVISORS, INC.

NORTH POINT ADVI
NORTH POINT ADVISORS, INC.
NEW NAME OF: NORTH POINT ADVISORS, LLC

NRI ENERGY SECUR
NRI ENERGY SECURITIES LLC
10000 MEMORIAL DRIVE, SUITE 700, HOUSTON, TX 77024
ADMITTED

O

OBERLIN FINANCIA
OBERLIN FINANCIAL INTERNATIONAL, LLC
208 NORTH LYNN STREET, PO BOX 711, BRYAN, OH 43506
ADMITTED

OHANESIAN / LECO
OHANESIAN / LECOURS, INC.
WEST HARTFORD, CT, UNITED STATES
RESIGNED

ORCHARD PLATFORM
ORCHARD PLATFORM MARKETS, LLC
NAME CHANGED TO: DISTRIBUTED TECHNOLOGY MARKETS LLC

ORCHARD PLATFORM
DISTRIBUTED TECHNOLOGY MARKETS LLC
NEW NAME OF: ORCHARD PLATFORM MARKETS, LLC

P

PARKSIDE SECURIT
PARKSIDE SECURITIES
NAME CHANGED TO: PARKSIDE SECURITIES, INC.

PARKSIDE SECURIT
PARKSIDE SECURITIES, INC.
NEW NAME OF: PARKSIDE SECURITIES

PHILADELPHIA INV
PHILADELPHIA INVESTORS, LTD.
PHILADELPHIA, PA, UNITED STATES
RESIGNED

PLANNED INVESTME
PLANNED INVESTMENT CO., INC.
INDIANAPOLIS, IN, UNITED STATES
RESIGNED

PROATHLETE SECUR
PROATHLETE SECURITIES LLC
NEW YORK, NY, UNITED STATES
RESIGNED

PURSUIT MERCHANT
PURSUIT MERCHANT SECURITIES LLC
NEW YORK, NY, UNITED STATES
RESIGNED

PWA SECURITIES, 
PWA SECURITIES, INC.
PITTSBURGH, PA, USA
RESIGNED

R

REALTYSHARES SEC
REALTYSHARES SECURITIES, LLC
SAN FRANCISCO, CA
RESIGNED

REPEX & CO., INC
REPEX & CO., INC.
CLOSTER, NJ, UNITED STATES
RESIGNED

S

SMBC NIKKO SECUR
SMBC NIKKO SECURITIES CANADA, LTD.
277 PARK AVENUE, NEW YORK, NY 10172
ADMITTED

SPENCER EDWARDS,
SPENCER EDWARDS, INC.
CENTENNIAL, CO, UNITED STATES
CANCELLED FOR FAILURE TO PAY OUTSTANDING FEES.

STANDARD LIFE IN
STANDARD LIFE INVESTMENTS SECURITIES LLC
BOSTON, MA, USA
RESIGNED

STERLING SOFTWAR
STERLING SOFTWARE SERVICES, INC.
CHICAGO, IL, US
RESIGNED

SYKES FINANCIAL 
SYKES FINANCIAL SERVICES LLC
WASHINGTON, NC, USA
RESIGNED

T

THE HUTCHISON CO
THE HUTCHISON COMPANY
DURHAM, NC, U
RESIGNED

TRIPOINT GLOBAL 
TRIPOINT GLOBAL EQUITIES, LLC
NAME CHANGED TO: TRIPOINT GLOBAL EQUITIES/BANQ(R)

TRIPOINT GLOBAL 
TRIPOINT GLOBAL EQUITIES/BANQ(R)
NEW NAME OF: TRIPOINT GLOBAL EQUITIES, LLC

W

W. H. MELL ASSOC
W. H. MELL ASSOCIATES, INC.
SUMMIT, NJ, UNITED STATES
RESIGNED

WCA SECURITIES, 
WCA SECURITIES, LLC
PALO ALTO, CA
RESIGNED

WHEELHOUSE SECUR
WHEELHOUSE SECURITIES CORPORATION
ST. LOUIS, MO
CANCELLED FOR FAILURE TO PAY OUTSTANDING FEES.

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

A

AGAVE PARTNERS A
AGAVE PARTNERS ADVISORS, INC.
NAME CHANGED TO: PACIFIC GATE ADVISORS, LLC

AGAVE PARTNERS A
PACIFIC GATE ADVISORS, LLC
NEW NAME OF AGAVE PARTNERS ADVISORS, INC.

AON SECURITIES I
AON SECURITIES INC.
NAME CHANGED TO: AON SECURITIES LLC

AON SECURITIES I
AON SECURITIES LLC
NEW NAME OF AON SECURITIES INC.

ASGARD SECURITIE
ASGARD SECURITIES, LLC
12 EAST 49TH STREET, 11TH FLOOR, NEW YORK, NY 10017
ADMITTED

ATM EXECUTION LL
ATM EXECUTION LLC
NAME CHANGED TO: ATM EXECUTION LLC

ATM EXECUTION LL
ATM EXECUTION LLC
NEW NAME OF ATM EXECUTION LLC

AXEGINE SECURITI
AXEGINE SECURITIES LLC
360 MADISON AVE, 20TH FLOOR, NEW YORK, NY 10017
ADMITTED

B

BERWYN CAPITAL
BERWYN CAPITAL
NAME CHANGED TO: CHESTERBROOK CAPITAL

BERWYN CAPITAL
CHESTERBROOK CAPITAL
NEW NAME OF BERWYN CAPITAL

BOFAML SECURITIE
BOFAML SECURITIES, INC.
NAME CHANGED TO: BOFA SECURITIES, INC.

BOFAML SECURITIE
BOFA SECURITIES, INC.
NEW NAME OF BOFAML SECURITIES, INC.

BROKER DEALER FI
BROKER DEALER FINANCIAL SERVICES CORP.
WEST DES MOINES, IA, UNITED STATES
RESIGNED

BROOKLINE GROUP,
BROOKLINE GROUP, LLC
BIRMINGHAM, AL
RESIGNED

C

CFT SECURITIES,
CFT SECURITIES, LLC
PRINCETON, NJ, UNITED STATES
RESIGNED

CIRCLEUP
CIRCLEUP
SAN FRANCISCO, CA
RESIGNED

CLARITYSPRING SE
CLARITYSPRING SECURITIES LLC
NAME CHANGED TO: FARVAHAR CAPITAL LLC

CLARITYSPRING SE
FARVAHAR CAPITAL LLC
NEW NAME OF CLARITYSPRING SECURITIES LLC

CLARKESON RESEAR
CLARKESON RESEARCH INC.
OYSTER BAY, NY, USA
RESIGNED

CORNERSTONE CAPI
CORNERSTONE CAPITAL CORPORATION
DUBLIN, OH, UNITED STATES
RESIGNED

COWEN ELECTRONIC
COWEN ELECTRONIC
NAME CHANGED TO: ATM EXECUTION LLC

COWEN ELECTRONIC
ATM EXECUTION LLC
NEW NAME OF COWEN ELECTRONIC

D

DCS ADVISORY LLC
DCS ADVISORY LLC
NAME CHANGED TO: DC ADVISORY

DCS ADVISORY LLC
DC ADVISORY
NEW NAME OF DCS ADVISORY LLC

DH FREDERICK SEC
DH FREDERICK SECURITIES, INC.
NEWPORT BEACH, CA
RESIGNED

DONEGAL SECURITI
DONEGAL SECURITIES, INC.
WELLESLEY, MA, USA
RESIGNED

DRW EXECUTION SE
DRW EXECUTION SERVICES, LLC
540 W. MADISON ST., SUITE 2500, CHICAGO, IL 60661
MAILING ADDRESS: 540 W. MADISON ST., CHICAGO, IL 60661
ADMITTED

F

FUNDS PLACEMENT
FUNDS PLACEMENT GROUP, LLC
DALLAS, TX, USA
RESIGNED

G

GLOBAL VENTURES
GLOBAL VENTURES CAPITAL, LLC
NEW YORK, NY, USA
RESIGNED

GLOBECS, LLC
GLOBECS, LLC
NAME CHANGED TO: CLEAR STREET, LLC

GLOBECS, LLC
CLEAR STREET, LLC
NEW NAME OF GLOBECS, LLC

H

HAMPTON HEDGE FU
HAMPTON HEDGE FUND MARKETING, LLC
OAKTON, VA, USA
RESIGNED

HIGHBANK SECURIT
HIGHBANK SECURITIES LLC
BALTIMORE, MD
RESIGNED

HORNOR, TOWNSEND
HORNOR, TOWNSEND & KENT, INC.
NAME CHANGED TO: HORNOR, TOWNSEND & KENT, LLC

HORNOR, TOWNSEND
HORNOR, TOWNSEND & KENT, LLC
NEW NAME OF HORNOR, TOWNSEND & KENT, INC.

I

INNOVA SECURITIE
INNOVA SECURITIES, INC.
SUITLAND, MD, UNITED STATES
RESIGNED

J

JOHNSON SECURITI
JOHNSON SECURITIES, INC.
NAME CHANGED TO: CAPACUITY SECURITIES, INC.

JOHNSON SECURITI
CAPACUITY SECURITIES, INC.
NEW NAME OF JOHNSON SECURITIES, INC.

L

LANCASTER POLLAR
LANCASTER POLLARD & CO., LLC
COLUMBUS, OH, USA
RESIGNED

LEERINK PARTNERS
LEERINK PARTNERS LLC
NAME CHANGED TO: SVB LEERINK LLC

LEERINK PARTNERS
SVB LEERINK LLC
NEW NAME OF LEERINK PARTNERS LLC

LORING WARD SECU
LORING WARD SECURITIES INC.
SAN JOSE, CA, UNITED STATES
RESIGNED

 

M

MAXWELLFORT INVE
MAXWELLFORT INVESTMENTS, LP
MIAMI, FL, U.S.A.
RESIGNED

MCA SECURITIES
MCA SECURITIES
NAME CHANGED TO: MCA SECURITIES LLC

MCA SECURITIES
MCA SECURITIES LLC
NEW NAME OF MCA SECURITIES

M VEST LLC
M VEST LLC
405 LEXINGTON AVE, 2ND FLOOR, NEW YORK, NY 10174
ADMITTED

N

NATIONAL PENSION
NATIONAL PENSION & GROUP CONSULTANTS, INC
KANSAS CITY, MO
RESIGNED

NATIONWIDE INVES
NATIONWIDE INVESTMENT SERVICES CORPORATION
JEFFERSON NATIONAL SECURITIES CORPORATION
INVIVA SECURITIES CORPORATION
CONCORDE INVESTMENT GROUP
COMMONWEALTH BROKERAGE SERVICES, INC.

NORDEA MARKETS L
NORDEA MARKETS LLC
1211 AVENUE OF THE AMERICAS, NEW YORK, NY 10036
ADMITTED

NORTHEAST SECURI
NORTHEAST SECURITIES, LLC
MITCHELFIELD, NY, UNITED STATES
RESIGNED

O

OLMSTED & MULHAL
OLMSTED & MULHALL, INC.
KALAMAZOO, MI, UNITED STATES
RESIGNED

OPTIMA SECURITIE
OPTIMA SECURITIES LLC
NEW YORK, NY
RESIGNED

OREC SECURITIES,
OREC SECURITIES, LLC
LANCASTER POLLARD & CO., LLC
LANCASTER POLLARD & CO.

P

PACTOLUS SECURIT
PACTOLUS SECURITIES, LLC
NAME CHANGED TO: PACTOLUS CAPITAL PARTNERS

PACTOLUS SECURIT
PACTOLUS CAPITAL PARTNERS
NEW NAME OF PACTOLUS SECURITIES, LLC

PARKSIDE SECURIT
PARKSIDE SECURITIES
143 2ND STREET, FLOOR 2, SAN FRANCISCO, CA 94105
MAILING ADDRESS: 301 MISSION STREET, SUITE 701, SAN FRANCISCO, CA 94105
ADMITTED

PLUM CAPITAL, LL
PLUM CAPITAL, LLC
5640 W. MAPLE RD., SUITE 101, W. BLOOMFIELD, MI 48322
ADMITTED

Q

QUARTON SECURITI
QUARTON SECURITIES, L.P.
NAME CHANGED TO: COWEN SECURITIES, LP

QUARTON SECURITI
COWEN SECURITIES, LP
NEW NAME OF QUARTON SECURITIES, L.P.

QUAYLE & CO. SEC
QUAYLE & CO. SECURITIES
GRAND BLANC, MI, UNITED STATES
RESIGNED

R

R. SEELAUS & CO.
R. SEELAUS & CO.,INC.
NAME CHANGED TO: R. SEELAUS & CO., LLC

R. SEELAUS & CO.
R. SEELAUS & CO., LLC
NEW NAME OF R. SEELAUS & CO.,INC.

RED CAPITAL MARK
RED CAPITAL MARKETS, LLC
NAME CHANGED TO: OREC SECURITIES, LLC

RED CAPITAL MARK
OREC SECURITIES, LLC
NEW NAME OF RED CAPITAL MARKETS, LLC

ROUNDTABLE CAPIT
ROUNDTABLE CAPITAL SERVICES LLC
NAME CHANGED TO: TRUVVO CAPITAL SERVICES LLC

ROUNDTABLE CAPIT
TRUVVO CAPITAL SERVICES LLC
NEW NAME OF ROUNDTABLE CAPITAL SERVICES LLC

S

SAPERSTON ASSET
SAPERSTON ASSET MANAGEMENT, INC.
HAMBURG, NY, UNITED STATES
RESIGNED

SENTINUS-HALO SE
SENTINUS-HALO SECURITIES
NAME CHANGED TO: SENTINUS-HALO SECURITIES, LLC

SENTINUS-HALO SE
SENTINUS-HALO SECURITIES, LLC
NEW NAME OF SENTINUS-HALO SECURITIES

SIGNATOR INVESTO
SIGNATOR INVESTORS, INC.
BOSTON, MA, UNITED STATES
RESIGNED

SPECTRUM ASSET M
SPECTRUM ASSET MANAGEMENT, INC.
NAME CHANGED TO: SAMI BROKERAGE LLC

SPECTRUM ASSET M
SAMI BROKERAGE LLC
NEW NAME OF SPECTRUM ASSET MANAGEMENT, INC.

SPEYSIDE ADVISOR
SPEYSIDE ADVISORS, LLC
1910 PACIFIC AVENUE, STE 5060, DALLAS, TX 75201
MAILING ADDRESS: 1910 PACIFIC AVENUE, STE 5060, DALLAS, TX 75201
ADMITTED

SQN SECURITIES L
SQN SECURITIES LLC
NAME CHANGED TO: AMERICAN ELM DISTRIBUTION PARTNERS, LLC

SQN SECURITIES L
AMERICAN ELM DISTRIBUTION PARTNERS, LLC
NEW NAME OF SQN SECURITIES LLC

STELLA PARTNERS
STELLA PARTNERS LLC
65 E GOETHE, APT. 7W, CHICAGO, IL 60610
MAILING ADDRESS: 65 E GOETHE, APT. 9W, CHICAGO, IL 60610
ADMITTED

SUMMIT EQUITIES,
SUMMIT EQUITIES, INC.
PARSIPPANY, NJ, UNITED STATES
RESIGNED

T

TRIUMPH GLOBAL S
TRIUMPH GLOBAL SECURITIES, LTD.
NEW YORK, NY, UNITED STATES
RESIGNED

TROUT CAPITAL LL
TROUT CAPITAL LLC
NEW YORK, NY, USA
RESIGNED

U

UNIVEST INVESTME
UNIVEST INVESTMENTS, INC.
NAME CHANGED TO: GIRARD INVESTMENT SERVICES, LLC

UNIVEST INVESTME
GIRARD INVESTMENT SERVICES, LLC
NEW NAME OF UNIVEST INVESTMENTS, INC.

V

VANDHAM SECURITI
VANDHAM SECURITIES CORP.
PARK RIDGE, NJ, UNITED STATES
RESIGNED

W

WM SMITH & CO.
WM SMITH & CO.
GREENWOOD VILLAGE, CO, UNITED STATES
RESIGNED