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

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

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

38 DEGREE ADVISORS, LLC
4370 ALPINE ROAD, SUITE 209, PORTOLA VALLEY, CA 94028

41 NORTH SECURITIES, INC.
19800 MACARTHUR BLVD. SUITE 650, IRVINE, CA 92612
Mailing Address: 3334 EAST COAST HIGHWAY #603, CORINA DEL MAR, CA 92625

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: 3/20/2018

For the period of 2/1/2018 through 2/28/2018

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1ST BCCW CAPITAL
1ST BCCW CAPITAL CORP
BEDFORD, NH, UNITED STATES
RESIGNED

A

ALLUVION SECURIT
ALLUVION SECURITIES, LLC
MEMPHIS, TN, USA
RESIGNED

AMERICAN ENTERPR
AMERICAN ENTERPRISE INVESTMENT SERVICES INC.
AMERIPRISE FINANCIAL SERVICES, INC.
AMERICAN EXPRESS FINANCIAL ADVISORS INC.
IDS MARKETING CORPORATION

AMTD FINANCIAL M
AMTD FINANCIAL MARKETS (USA) LLC
NEW YORK CITY, NY, USA
RESIGNED

APRIO STRATEGIC
APRIO STRATEGIC PARTNERS, LLC
ATLANTA, GA, USA
RESIGNED

ASCENSUS BROKER
ASCENSUS BROKER DEALER SERVICES, INC.
NAME CHANGED TO: ASCENSUS BROKER DEALER SERVICES, LLC

ASCENSUS BROKER
ASCENSUS BROKER DEALER SERVICES, LLC
NEW NAME OF: ASCENSUS BROKER DEALER SERVICES, INC.

B

BANKERS & INVEST
BANKERS & INVESTORS CO.
KANSAS CITY, KS, UNITED STATES
RESIGNED

BHIL DISTRIBUTOR
BHIL DISTRIBUTORS, LLC
NAME CHANGED TO: FORESIDE FINANCIAL SERVICES, LLC

BHIL DISTRIBUTOR
FORESIDE FINANCIAL SERVICES, LLC
NEW NAME OF: BHIL DISTRIBUTORS, LLC

BRAUVIN SECURITI
BRAUVIN SECURITIES, INC.
CHICAGO, IL, UNITED STATES
RESIGNED

BROOKFIELD FINAN
BROOKFIELD FINANCIAL SECURITIES US LLC
NAME CHANGED TO: BFIN SECURITIES US LLC

BROOKFIELD FINAN
BFIN SECURITIES US LLC
NEW NAME OF: BROOKFIELD FINANCIAL SECURITIES US LLC

BULGER PARTNERS,
BULGER PARTNERS, LLC
BOSTON, MA
RESIGNED

C

COMMONGOOD SECUR
COMMONGOOD SECURITIES LLC
275 EAST WEBSTER AVENUE, WINTER PARK, FL 32789
ADMITTED

COMPASS PROFESSI
COMPASS PROFESSIONAL SERVICES, LLC
NAME CHANGED TO: VOLANT EXECUTION, LLC

COMPASS PROFESSI
NEW NAME OF: COMPASS PROFESSIONAL SERVICES, LLC

D

DIAMANT INVESTME
DIAMANT INVESTMENT CORPORATION
GREENWICH, CT, UNITED STATES
RESIGNED

DOEREN MAYHEW CA
DOEREN MAYHEW CAPITAL ADVISORS, LLC
1 RIVERWAY, SUITE 1200, HOUSTON, TX 77056
ADMITTED

E

EMPLOYEE BENEFIT
EMPLOYEE BENEFITS INVESTMENT GROUP, INC.
MANDEVILLE, LA, US
RESIGNED

ENTREX CAPITAL M
ENTREX CAPITAL MARKET, LLC
CHICAGO, IL
RESIGNED

F

FIDANTE PARTNERS
FIDANTE PARTNERS USA LLC
LEVEL 6, 120 FIFTH AVENUE, NEW YORK, NY 10011
MAILING ADDRESS: LEVEL 6, 120 FIFTH AVENUE, NEW YORK, NY 10011 ADMITTED

FORESIDE SECURIT
FORESIDE SECURITIES, LLC
NAME CHANGED TO: COMPASS DISTRIBUTORS, LLC

FORESIDE SECURIT
COMPASS DISTRIBUTORS, LLC
NEW NAME OF: FORESIDE SECURITIES, LLC

FRANK CRYSTAL CA
FRANK CRYSTAL CAPITAL, INC.
NEW YORK, NY
RESIGNED

G

G - W BROKERAGE
G - W BROKERAGE GROUP, INC.
BEVERLY, NJ, UNITED STATES
EXPELLED FOR FAILURE TO REQUEST TERMINATION OF SUSPENSION WITHIN THREE MONTHS

GIRARD SECURITIE
GIRARD SECURITIES, INC.
SAN DIEGO, CA, UNITED STATES
RESIGNED

GLOBAL EMERGING
GLOBAL EMERGING CAPITAL GROUP, LLC
NEW YORK, NY, USA
CANCELLED FOR FAILURE TO PAY OUTSTANDING FEES

GREENVILLE SECUR
GREENVILLE SECURITIES, LLC
DALLAS, TX
RESIGNED

H

HEIGHT SECURITIE
HEIGHT SECURITIES, LLC
NAME CHANGED TO: HEIGHT CAPITAL MARKETS

HEIGHT SECURITIE
HEIGHT CAPITAL MARKETS
NEW NAME OF: HEIGHT SECURITIES, LLC

I

IMPACTUS MARKETP
IMPACTUS MARKETPLACE LLC
WASHINGTON, DC
RESIGNED

INSTREAM PARTNER
INSTREAM PARTNERS LLC
SUNNYVALE, CA, USA
RESIGNED

ITG DERIVATIVES
ITG DERIVATIVES LLC.
NAME CHANGED TO: MATRIX EXECUTIONS, LLC

ITG DERIVATIVES
MATRIX EXECUTIONS, LLC
NEW NAME OF: ITG DERIVATIVES LLC.

J

JRM SECURITIES
JRM SECURITIES
ERIE, PA, UNITED STATES
RESIGNED

K

K.C. WARD FINANC
K.C. WARD FINANCIAL
RONKONKOMA, NY, USA
RESIGNED

KAL CAPITAL MARK
KAL CAPITAL MARKETS LLC
1 WORLD TRADE CENTER, 8TH FLOOR, LONG BEACH, CA 90831
ADMITTED

L

LOHI SECURITIES
LOHI SECURITIES
NAME CHANGED TO: ANDREWS SECURITIES, LLC

LOHI SECURITIES
ANDREWS SECURITIES, LLC
NEW NAME OF: LOHI SECURITIES

LPL FINANCIAL LL
TO FORM LPL FINANCIAL LLC
ACQUIRED INVEST FINANCIAL CORPORATION

LPL FINANCIAL LL
TO FORM LPL FINANCIAL LLC
ACQUIRED SII INVESTMENTS, INC.

LPL FINANCIAL LL
TO FORM LPL FINANCIAL LLC
ACQUIRED SECURA INVESTMENTS, INC.

LPL FINANCIAL LL
TO FORM LPL FINANCIAL LLC
ACQUIRED ISFA CORPORATION

LPL FINANCIAL LL
TO FORM LPL FINANCIAL LLC
ACQUIRED HOMECO SECURITIES, INC.

M

M.J. WHITMAN LLC
M.J. WHITMAN LLC
NAME CHANGED TO: ETICO PARTNERS, LLC

M.J. WHITMAN LLC
ETICO PARTNERS, LLC
NEW NAME OF: M.J. WHITMAN LLC

O

OBERLIN FINANCIA
OBERLIN FINANCIAL INTERNATIONAL LLC
BRYAN, OH
CANCELLED FOR NO SEC REGISTRATION

P

PARK LANE CAPITA
PARK LANE CAPITAL LP
NEW YORK, NY
CANCELLED FOR NO SEC REGISTRATION

PCBB CAPITAL MAR
PCBB CAPITAL MARKETS, LLC
WALNUT CREEK, CA, USA
RESIGNED

PRIME DECISION C
PRIME DECISION CONSULTING LLC
39 JAGGER LANE, WESTHAMPTON, NY 11977
ADMITTED

R

RENSSELAER SECUR
RENSSELAER SECURITIES CORP.
RENSSELAER, NY, UNITED STATES
RESIGNED

S

SGC SECURITIES L
SGC SECURITIES LP
NARBERTH, PA, USA
RESIGNED

T

TD AMERITRADE, I
WATERHOUSE SECURITIES, INC.
TO FORM TD AMERITRADE, INC.

TD AMERITRADE, I
WATERHOUSE SECURITIES, INC.
SCOTTRADE, INC.
MERGE SCOTTSDALE SECURITIES, INC.
TO FORM TD AMERITRADE, INC.

THURSTON, SPRING
THURSTON, SPRINGER, MILLER, HERD & TITAK, INC.
NAME CHANGED TO: THURSTON SPRINGER FINANCIAL

THURSTON, SPRING
THURSTON SPRINGER FINANCIAL
NEW NAME OF: THURSTON, SPRINGER, MILLER, HERD & TITAK, INC.

TIER ONE PARTNER
TIER ONE PARTNERS, INC.
BELLEAIRE BEACH, FL, UNITED STATES
RESIGNED

TOD'S POINT CAPI
TOD'S POINT CAPITAL LLC
OLD GREENWICH, CT, USA
RESIGNED

TREVOR, COLE, RE
TREVOR, COLE, REID, & MONROE, INC.
NEW YORK, NY, UNITED STATES
RESIGNED

TUDOR SECURITIES
TUDOR SECURITIES, LLC
601 BRICKELL KEY DRIVE, SUITE 700, MIAMI, FL 33131
MAILING ADDRESS: 601 BRICKELL KEY DRIVE, SUITE 700, MIAMI, FL 33131
ADMITTED

W

W. H. COLSON SEC
W. H. COLSON SECURITIES, INC.
GREENVILLE, NC, USA
RESIGNED

WELLFORD CAPITAL
WELLFORD CAPITAL MARKETS, LLC
NAME CHANGED TO: GRANDVIEW CAPITAL MARKETS, LLC

WELLFORD CAPITAL
GRANDVIEW CAPITAL MARKETS, LLC
NEW NAME OF: WELLFORD CAPITAL MARKETS, LLC