Firms We Regulate - A
A & M SECURITIES, LLC
2475 NORTHWINDS PKWY, SUITE 200, ALPHARETTA, GA 30004
A&A SECURITIES LLC
1151 GIBSON RD, SELAH, WA 98942
A. P. SECURITIES, INC.
15 WATERVIEW DR, CENTERPORT, NY 11721
Mailing Address: P. O. BOX 434, CENTERPORT, NY 11721
A.BRIDGE REALVEST SECURITIES CORPORATION
50 TICE BLVD, SUITE 340, WOODCLIFF LAKE, NJ 07677
A.C.R. SECURITIES, INC.
687 PARK LANE, CEDARHURST, NY 11516
A.G. QUINTAL INVESTMENT COMPANY INC.
2177 ACUSHNET AVE., NEW BEDFORD, MA 02745-6316
A.G.P. / ALLIANCE GLOBAL PARTNERS
88 POST ROAD WEST, 2ND FLOOR, WESTPORT, CT 06880
A5 SECURITIES LLC
414 WEST 51ST STREET, UNIT 1, NEW YORK, NY 10019
AARDVARK SECURITIES LLC
550 W JACKSON BLVD., STE 1300, CHICAGO, IL 60661
AARON CAPITAL INCORPORATED
2244 FARADAY, SUITE 113, CARLSBAD, CA 92011
Mailing Address: PO BOX 772193, MEMPHIS, TN 38177
ABACUS INTERNATIONAL CAPITAL CORP.
6 BOWERY, 4TH FLOOR, NEW YORK, NY 10013
ABACUS INVESTMENTS, INC.
138 N. MAIN ST, OCONOMOWOC, WI 53066
ABD RETIREMENT SERVICES, INC.
450 SANSOME STREET, SUITE #300, SAN FRANCISCO, CA 94111
ABEL NOSER, LLC.
ONE BATTERY PLAZA, #6, NEW YORK, NY 10004
ABERDEEN FUND DISTRIBUTORS, LLC
1735 MARKET STREET, 32 ND FLOOR, PHILADELPHIA, PA 19103
ABG SUNDAL COLLIER INC.
850 THIRD AVENUE, NEW YORK, NY 10022-4212
Mailing Address: 850 THIRD AVENUE, NEW YORK, NY 10022
ABG, LLC
725 5TH AVENUE, 23RD FLOOR, NEW YORK, NY 10022
ABN AMRO CLEARING CHICAGO LLC
175 WEST JACKSON BLVD, STE 2050, CHICAGO, IL 60604
ABN AMRO SECURITIES (USA) LLC
100 PARK AVENUE, 17 FLOOR, NEW YORK, NY 10017-5516
ABNER HERRMAN & BROCK, LLC
HARBORSIDE 5 185 HUDSON STREET, SUITE 1640, JERSEY CITY, NJ 07311
ABOUT CORPORATE FINANCE CORPORATION
1900 AVENUE OF THE STARS, SUITE 2460, LOS ANGELES, CA 90067
ABRAHAM & CO., INC.
3724 47TH STREET CT. NW, GIG HARBOR, WA 98335
ACA/PRUDENT INVESTORS PLANNING CORPORATION
290 ROUTE 22 WEST, 2ND FLOOR, GREEN BROOK, NJ 08812
ACADEMY SECURITIES, INC.
140 EAST 45TH STREET, 5TH FLOOR, NEW YORK, NY 10017
ACALYX ADVISORS INC.
295 MADISON AVENUE, SUITE 1714, NEW YORK, NY 10017
ACC SECURITIES, LLC
16400 DALLAS PARKWAY, SUITE 300, DALLAS, TX 75248
Mailing Address: 16400 DALLAS PARKWAY, SUITE 300, DALLAS, TX 75248
ACCEPTUS CAPITAL CORP.
510 BROADHOLLOW ROAD SUITE 104, MELVILLE, NY 11747
ACCESS FINANCIAL GROUP, INC.
118 NORTH CLINTON ST-SUITE 450, CHICAGO, IL 60661
ACCESS INVESTMENTS, INC.
6440 AVONDALE DRIVE, SUITE 210, OKLAHOMA CITY, OK 73116
Mailing Address: 6440 AVONDAL DRIVE, SUITE 210, OKLAHOMA CITY, OK 73116-2000
ACCESS SECURITIES, LLC
30 BUXTON FARM ROAD STE 300, STAMFORD, CT 06905
ACCESSALPHA WORLDWIDE LLC
444 WEST LAKE STREET, SUITE 1700, CHICAGO, IL 60606
ACCORD CAPITAL PARTNERS LLC
240 STOCKTON STREET, 7TH FLOOR, SAN FRANCISCO, CA 94108-5324
ACCRUED EQUITIES INC.
150 BROADHOLLOW RD, SUITE PH 02, MELVILLE, NY 11747
ACE DIVERSIFIED CAPITAL, INC.
923 EAST VALLEY BLVD.,, SUITE 213, SAN GABRIEL,, CA 91776
ACHELOUS PARTNERS, LLC
800 THIRD AVENUE FLOOR 21, NEW YORK CITY, NY 10022
Mailing Address: ACHELOUS PARTNERS, LLC, 800 THIRD AVENUE FLOOR 21, NEW YORK, NY 10022
ACKRELL CAPITAL, LLC
38 KEYES AVE., SUITE 200, SAN FRANCISCO, CA 94129
ACORNS SECURITIES, LLC
19900 MACARTHUR BLVD, SUITE #500, IRVINE, CA 92612
ACP SECURITIES, LLC
1450 BRICKELL AVENUE, SUITE 1490, MIAMI, FL 33131
ACQUEST SECURITIES LLC
3039 ELLA LEE LANE, HOUSTON, TX 77019
Mailing Address: P.O. BOX 131605, HOUSTON, TX 77219
ACQUIOM FINANCIAL LLC
950 17TH STREET, STE 1400, DENVER, CO 80202
Mailing Address: 950 17TH STREET, STE 1400, DENVER, CO 80202
ACS EXECUTION SERVICES, LLC
12 BROAD STREET, 2ND FLOOR, RED BANK, NJ 07701
ACTINVER SECURITIES, INC.
5075 WESTHEIMER, SUITE 650, HOUSTON, TX 77056
ADP BROKER-DEALER, INC.
ONE ADP BOULEVARD, ROSELAND, NJ 07068-1786
Mailing Address: 71 HANOVER ROAD, MS - 580, FLORHAM PARK, NJ 07932
ADVANCED ADVISOR GROUP, LLC
440 EMERSON STREET N., SUITE 4, CAMBRIDGE, MN 55008
ADVANCED STRATEGIES BROKER DEALER LLC
1308 DALLAS ROAD, CHATTANOOGA, TN 37405
ADVANCED TRADING & LINKED ASSET STRATEGIES, LLC
425 WALNUT STREET, SUITE 2410, CINCINNATI, OH 45202-3931
ADVANTAGE GFC LLC
355 SOUTH END AVENUE, SUITE 17N, NEW YORK, NY 10280
ADVANTAGE SECURITIES LLC
231 S. LASALLE STREET, SUITE 1400, CHICAGO, IL 60604
ADVISORS ASSET MANAGEMENT, INC.
18925 BASE CAMP ROAD, MONUMENT, CO 80132-0000
Mailing Address: 18925 BASE CAMP ROAD, MONUMENT, CO 80132
ADVISORY GROUP EQUITY SERVICES LTD.
444 WASHINGTON STREET, SUITE 407, WOBURN, MA 01801
AEG CAPITAL, LLC
200 W. MADISON STREET, SUITE 2410, CHICAGO, IL 60606
AEGIS CAPITAL CORP.
810 7TH AVE, 18TH & 22ND FLOOR, NEW YORK, NY 10019
Mailing Address: 810 7TH AVE, 18TH FLOOR, NEW YORK, NY 10019
AEGIS ENERGY ADVISORS CORP.
708 THIRD AVENUE, 6TH FLOOR, NEW YORK, NY 10017-4201
AEGIS INVESTMENTS, INC.
4915 WEST 35TH STREET, SUITE 206, ST LOUIS PARK, MN 55416
AEI SECURITIES, INC.
1300 WELLS FARGO PLACE, 30 SEVENTH STREET EAST, ST. PAUL, MN 55101-4901
AENIGMA ADVISORS LLC
321 NORTH CLARK STREET, SUITE 500, CHICAGO, IL 60654
AEON CAPITAL INC
1715 HIGHWAY 35, SUITE 103, MIDDLETOWN,, NJ 07748
Mailing Address: 1715 HIGHWAY 35, SUITE 103, MIDDLETOWN,, NJ 07748
AERIS PARTNERS LLC
200 STATE STREET, 11TH FLOOR, BOSTON, MA 02109
AETHLON CAPITAL, L.L.C
225 SOUTH SIXTH ST., SUITE 1790, MINNEAPOLIS, MN 55402
AFFILIATED BANKERS CAPITAL, L.L.C.
901 SOUTH MOPAC EXPRESSWAY, BARTON OAKS PLAZA V, SUITE 140, AUSTIN, TX 78746
AFL-CIO ITC FINANCIAL, LLC
815 CONNECTICUT AVENUE NW, SUITE 320, WASHINGTON, DC 20006
AFS SECURITIES, LLC
404 WYMAN STREET, SUITE 100, WALTHAM, MA 02451
AFW ASSOCIATES LLC
575 FIFTH AVENUE, 17TH FLOOR, NEW YORK, NY 10017
Mailing Address: PO BOX 4856, NEW YORK, NY 10185
AGAVE PARTNERS ADVISORS, INC.
MAIN STREET PROMENADE, 55 S. MAIN STREET, STE 325, NAPERVILLE, IL 60540
AGC PARTNERS
99 HIGH STREET, FLOOR 22, BOSTON, MA 02110
AGECROFT PARTNERS, LLC
103 CANTERBURY ROAD, RICHMOND, VA 23221-3211
AGENCY DESK, LLC
590 MADISON AVENUE, 21 FLOOR, NEW YORK, NY 10022
AGENCY TRADING GROUP, INC.
235 EAST LAKE STREET, WAYZATA, MN 55391
AGM SECURITIES LLC
888 SEVENTH AVENUE, 15TH FLOOR, NEW YORK, NY 10019
AIG CAPITAL SERVICES, INC.
HARBORSIDE 5, 185 HUDSON STREET, SUITE 3300, JERSEY CITY, NJ 07311
AIG GLOBAL CAPITAL MARKETS SECURITIES, LLC
50 DANBURY ROAD, WILTON, CT 06897
AIP CAPITAL MARKETS LLC
20 PENN BOULEVARD, SCARSDALE, NY 10583
AK CAPITAL LLC
445 PARK AVENUE, 9TH FLOOR, NEW YORK, NY 10022
Mailing Address: 445 PARK AVENUE 9TH FLOOR, NEW YORK, NY 10022
AKAR CAPITAL MANAGEMENT, INC.
8551 W. SUNRISE BLVD. #102A, PLANTATION, FL 33322
Mailing Address: 8551 W. SUNRISE BLVD #102A, PLANTATION, FL 33322
AKIN BAY COMPANY LLC
780 THIRD AVENUE, NEW YORK, NY 10017
ALAMO CAPITAL
201 N CIVIC DR, SUITE 360, WALNUT CREEK, CA 94596
ALANTRA, LLC
75 STATE STREET, SUITE 1210, BOSTON, MA 02109
ALBRIGHT SECURITIES LLC
601 13TH STREET, NW, SUITE 1000 SOUTH, WASHINGTON, DC 20005
ALDERMAN & COMPANY CAPITAL, LLC
35 WARRINGTON ROUND, DANBURY, CT 06810
ALDWYCH SECURITIES LLC
9 EAST 53RD STREET, 5TH FLOOR, NEW YORK, NY 10022
ALERUS SECURITIES CORPORATION
2300 COLUMBIA ROAD SOUTH, GRAND FORKS, ND 58201
Mailing Address: P.O. BOX 6001, GRAND FORKS, ND 58206
ALEXANDER CAPITAL, L.P.
17 STATE STREET, 5TH FLOOR, NEW YORK, NY 10004
ALEXANDER INVESTMENT SERVICES CO.
909 LILY CREEK ROAD #101, LOUISVILLE, KY 40243-2808
ALIGHT FINANCIAL SOLUTIONS, LLC
4 OVERLOOK POINT, LINCOLNSHIRE, IL 60069
ALIRA HEALTH
1 GRANT STREET, FRAMINGHAM, MA 01702-6758
ALLARIA SECURITIES, LLC
1110 BRICKELL AVENUE, SUITE 603, MIAMI, FL 33131
ALLEGHENY INVESTMENTS, LTD.
STONE QUARRY CROSSING, 811 CAMP HORNE ROAD, SUITE 100, PITTSBURGH, PA 15237
ALLEGIS INVESTMENT SERVICES, LLC
591 PARK AVENUE, SUITE 101, IDAHO FALLS, ID 83402
Mailing Address: 591 PARK AVENUE, SUITE 101, IDAHO FALLS, ID 83404
ALLEGRO SECURITIES LLC
434 KING WILLIAM, SAN ANTONIO, TX 78204
ALLEN & COMPANY LLC
711 FIFTH AVENUE, NEW YORK, NY 10022
ALLEN & COMPANY OF FLORIDA, INC.
1401 SOUTH FLORIDA AVENUE, LAKELAND, FL 33803
Mailing Address: P.O. BOX 387, LAKELAND, FL 33802
ALLEN C. EWING & CO.
7807 BAYMEADOWS ROAD EAST, SUITE 200, JACKSONVILLE, FL 32256
Mailing Address: 7807 BAYMEADOWS ROAD EAS, SUITE 200, JACKSONVILLE, FL 32256
ALLEN, MOONEY & BARNES BROKERAGE SERVICES, LLC
135 S. MADISON STREET, THOMASVILLE, GA 31792
Mailing Address: POST OFFICE BOX 1116, THOMASVILLE, GA 31799
ALLIANCE ADVISORY & SECURITIES, INC.
3390 AUTO MALL DRIVE, WESTLAKE VILLAGE, CA 91362
ALLIANCE FINANCIAL GROUP, INC.
5950 BERKSHIRE LANE #1060, DALLAS, TX 75225
ALLIANCE-ONE INVESTMENTS, LLC
700 QUAKER LANE, WARWICK, RI 02886
ALLIANCEBERNSTEIN INVESTMENTS, INC.
1345 AVENUE OF THE AMERICAS, NEW YORK, NY 10105-0096
ALLIANT EQUITY INVESTMENTS, LLC
21600 OXNARD STREET - SUITE 1200, WOODLAND HILLS, CA 91367
Mailing Address: 21600 OXNARD STREET-SUITE 1200, WOODLAND HILLS, CA 91367
ALLIANT SECURITIES, INC. TURNER, NORD, KIENBAUM
695 NORTH LEGACY RIDGE DRIVE SUITE 300, LIBERTY LAKE, WA 99019
ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC
1633 BROADWAY, NEW YORK, NY 10019
ALLIANZ LIFE FINANCIAL SERVICES, LLC
5701 GOLDEN HILLS DRIVE, MINNEAPOLIS, MN 55416-1297
Mailing Address: P O BOX 1117, MINNEAPOLIS, MN 55440-1117
ALLIED MILLENNIAL PARTNERS, LLC
THREE WORLD FINANCIAL CENTER, 200 VESEY STREET 24TH FL, NEW YORK, NY 10281
Mailing Address: THREE WORLD FINANCIAL CENTER, 200 VESEY STREET 24TH FL, NEW YORK, NY 10281
ALLISON-WILLIAMS COMPANY
100 SOUTH 5TH STREET, SUITE 1250, MINNEAPOLIS, MN 55402
Mailing Address: 100 SOUTH 5TH STREET, SUITE 1250, MINNEAPOLIS, MN 55402
ALLSTATE DISTRIBUTORS, L.L.C.
3075 SANDERS ROAD, SUITE I2, NORTHBROOK, IL 60062
ALLSTATE FINANCIAL SERVICES, LLC
2920 S 84TH STREET, LINCOLN, NE 68506
Mailing Address: PO BOX 83271, LINCOLN, NE 68501-3271
ALLY INVEST SECURITIES LLC
888 E. LAS OLAS BLVD, SUITE 300, FORT LAUDERDALE, FL 33301
ALMAX FINANCIAL SOLUTIONS, LLC
12 VAN SYCKLES ROAD, CLINTON, NJ 08809
ALPACA SECURITIES LLC
217 SOUTH B STREET, SUITES 2 & 4, SAN MATEO, CA 94401
ALPHASOURCE CAPITAL SECURITIES LLC
32 EAST 57TH STREET, 12TH FLOOR, NEW YORK, NY 10022
ALPINA CAPITAL, LLC
200 COLUMBINE STREET, SUITE 260, DENVER, CO 80206
ALPINE SECURITIES CORPORATION
39 EXCHANGE PLACE, SALT LAKE CITY, UT 84111
ALPS DISTRIBUTORS, INC.
1290 BROADWAY, SUITE 1100, DENVER, CO 80203
Mailing Address: PO BOX 328, DENVER, CO 80201-0328
ALPS PORTFOLIO SOLUTIONS DISTRIBUTOR, INC.
1290 BROADWAY, SUITE 1100, DENVER, CO 80203
Mailing Address: P.O. BOX 328, DENVER, CO 80201-0328
ALT FUND DISTRIBUTORS LLC
140 EAST 45TH STREET, SUITE 15 B, NEW YORK, NY 10017
Mailing Address: 140 EAST 45TH STREET, SUITE 15 B, NEW YORK, NY 10017
ALTACORP CAPITAL (USA) INC.
#410, 585 8TH AVENUE SW, CALGARY, T2P 1G1 AB CANADA
ALTEGRIS INVESTMENTS, LLC
1200 PROSPECT STREET, SUITE 400, LA JOLLA, CA 92037
ALTERNATIVE ACCESS CAPITAL, LLC
700 LARKSPUR LANDING CIR, SUITE 245, LARKSPUR, CA 94939
ALTERNATIVE ASSET INVESTMENT MANAGEMENT SECURITIES, LLC
10 OLD IVY LANE, SUITE 10, ENGLEWOOD, NJ 07631
Mailing Address: BOX 5274, ROCKEFELLER STATION, NEW YORK, NY 10185-5274
ALTERNATIVE EXECUTION GROUP
708 THIRD AVENUE, 6TH FLOOR, NEW YORK, NY 10017
Mailing Address: 708 THIRD AVENUE, 5TH FLOOR, NEW YORK, NY 10017
ALTERNET SECURITIES INC.
ONE LIBERTY PLAZA, 165 BROADWAY, 4TH FL., NEW YORK, NY 10006
ALVAREZ & MARSAL SECURITIES, LLC
600 MADISON AVE, 8TH FLOOR, NEW YORK, NY 10022
Mailing Address: 600 MADISON AVE, 8TH FLOOR, NEW YORK, NY 10022
AMA SECURITIES LLC
405 LEXINGTON AVENUE, 67TH FLOOR, NEW YORK, NY 10174
AMBASSADOR FINANCIAL GROUP, INC.
1605 NORTH CEDAR CREST BOULEVARD, SUITE 508, ALLENTOWN, PA 18104
AMBATA SECURITIES, LLC
1050 CROWN POINTE PKWY., STE 950, ATLANTA, GA 30338
Mailing Address: 1050 CROWN POINTE PKWY, STE 950, ATLANTA, GA 30338
AMBIT AMERICA INC.
AMBIT AMERICA INC., 370 LEXINGTON AVENUE, SUITE 803, NEW YORK, NY 10017
AMD CAPITAL, LLC
100 TRI-STATE INTERNATIONAL, SUITE 245, LINCOLNSHIRE, IL 60069
Mailing Address: 100 TRI-STATE INTERNATIONAL, SUITE 138, LINCOLNSHIRE, IL 60069
AMERA SECURITIES LLC
795 HARRISON ROAD, SUITE 200, VILLANOVA, PA 19085
AMERANT INVESTMENTS, INC.
220 ALHAMBRA CIRCLE, 2ND FLOOR, CORAL GABLES, FL 33134
AMERICAN CAPITAL PARTNERS, LLC
205 OSER AVE., HAUPPAUGE, NY 11788
AMERICAN CENTURY INVESTMENT SERVICES INC.
4500 MAIN STREET, KANSAS CITY, MO 64111
Mailing Address: P.O. BOX 410141, KANSAS CITY, MO 64141-0141
AMERICAN DISCOVERY ADVISORS, LLC
11150 SANTA MONICA BLVD, STE 1425, LOS ANGELES, CA 90025
AMERICAN ENTERPRISE INVESTMENT SERVICES INC.
707 2ND AVENUE SOUTH, MINNEAPOLIS, MN 55402
Mailing Address: 5221 AMERIPRISE FINANCIAL CENTER, MINNEAPOLIS, MN 55474
AMERICAN EQUITY INVESTMENT CORPORATION
4222 GRANTLINE ROAD, NEW ALBANY, IN 47150
AMERICAN FIDELITY SECURITIES, INC.
9000 CAMERON PARKWAY, OKLAHOMA CITY, OK 73114-3701
Mailing Address: 9000 CAMERON PARKWAY, OKLAHOMA CITY, OK 73114
AMERICAN FINANCIAL ASSOCIATES, INC.
1700 NORTHAMPTON STREET, SUITE A, EASTON, PA 18042-1659
Mailing Address: 1700 NORTHAMPTON STREET, SUITE A, EASTON, PA 18042-1659
AMERICAN FINANCIAL SECURITIES, INC.
6003 UNIVERSITY AVE. - SUITE C, CEDAR FALLS, IA 50613
Mailing Address: 6003 UNIVERSITY AVE.- SUITE C, CEDAR FALLS, IA 50613
AMERICAN FUNDS & TRUSTS INCORPORATED
3030 SOUTH MAIN STREET, SUITE 100, SALT LAKE CITY, UT 84115-3554
AMERICAN FUNDS DISTRIBUTORS, INC.
333 S. HOPE ST. 55TH FL., LOS ANGELES, CA 90071
AMERICAN GLOBAL WEALTH MANAGEMENT, INC.
1600 PENNSYLVANIA AVE., MCDONOUGH, GA 30253
AMERICAN HERITAGE SECURITIES, INC.
655 W MARKET STREET, AKRON, OH 44303-1438
AMERICAN INDEPENDENT SECURITIES GROUP, LLC
1036 E. IRON EAGLE DR., SUITE 105, EAGLE, ID 83616
AMERICAN INVESTORS COMPANY
2440 CAMINO RAMON, SUITE 103, SAN RAMON, CA 94583
Mailing Address: P. O. BOX 1307, SAN RAMON, CA 94583
AMERICAN INVESTORS GROUP, INC.
10400 YELLOW CIRCLE DRIVE SUITE 102, MINNETONKA, MN 55343
AMERICAN LEDGER ATS LLC
862 PATRIOT DRIVE, #A, MOORPARK, CA 93021
AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.
4250 VETERANS MEMORIAL HIGHWAY, 4TH FLOOR EAST, HOLBROOK, NY 11741
Mailing Address: 4250 VETERANS MEMORIAL HWY, 4TH FLOOR EAST, HOLBROOK, NY 11741
AMERICAN REPUBLIC EQUITIES CORPORATION
601 SIXTH AVE, DES MOINES, IA 50309
AMERICAN TRUST INVESTMENT SERVICES, INC.
1244 119TH STREET, WHITING, IN 46394-1003
AMERICAN VETERANS GROUP, PBC
150 BROADHOLLOW ROAD, SUITE PH04, MELVILLE, NY 11747
Mailing Address: 150 BROADHOLLOW, SUITE PH04, MELVILLE, NY 11747
AMERICAN WEALTH MANAGEMENT, INC.
121050 CROWN POINTE PARKWAY SUITE 1230, ATLANTA, GA 30338
Mailing Address: 1050 CROWN POINTE PARKWAY SUITE 1230, ATLANTA, GA 30338
AMERICAS EXECUTIONS, LLC
NEW YORK STOCK EXCHANGE, 11 WALL STREET POD-P, NEW YORK, NY 10005
Mailing Address: C/O ACCOUNTING & COMPLIANCE INTERNATIONAL, 40 WALL STREET, SUITE 1704, NEW YORK, NY 10005
AMERIPRISE FINANCIAL SERVICES, INC.
707 2ND AVENUE SOUTH, MINNEAPOLIS, MN 55402
Mailing Address: 5221 AMERIPRISE FINANCIAL CENTER, MINNEAPOLIS, MN 55474
AMERITAS INVESTMENT CORP.
5900 "O" STREET, LINCOLN, NE 68510-2234
Mailing Address: PO BOX 5507, LINCOLN, NE 68505-0507
AMERIVET SECURITIES, INC.
1155 AVENUE OF THE AMERICAS, 14TH FLOOR, NEW YORK, NY 10036
AMG DISTRIBUTORS, INC.
600 STEAMBOAT ROAD, SUITE 300, GREENWICH, CT 06830
AMHERST PIERPONT
245 PARK AVENUE, 15TH FLOOR, NEW YORK, NY 10167
AMUNDI PIONEER DISTRIBUTOR, INC.
60 STATE STREET, BOSTON, MA 02109-1820
AMUNI FINANCIAL, INC.
720 SECOND AVE S., ST. PETERSBURG, FL 33701
Mailing Address: P.O. BOX 11749, ST. PETERSBURG, FL 33733-9680
AMUR ADVISORS LLC
ONE NORTH LEXINGTON AVENUE, SUITE 1101, WHITE PLAINS, NY 10601
ANCHIN CAPITAL ADVISORS LLC
1375 BROADWAY, 18TH FLOOR, NEW YORK, NY 10018
Mailing Address: 1375 BROADWAY, 18TH FLOOR, NEW YORK CITY, NY 10018
ANCHOR ASSET MANAGEMENT LLC
ONE EAST END AVENUE, SUITE 10A, NEW YORK, NY 10075
ANCHOR BAY SECURITIES, LLC
5780 FLEET STREET, SUITE 308, CARLSBAD, CA 92008
ANDBANC BROKERAGE, LLC
1221 BRICKELL AVENUE SUITE 1050, MIAMI, FL 33131
ANDERSON LENEAVE & CO.
6000 FAIRVIEW ROAD, SUITE 625, CHARLOTTE, NC 28210
ANDES CAPITAL GROUP, LLC
205 WEST WACKER DRIVE, SUITE 1804, CHICAGO, IL 60606
ANDREW GARRETT INC.
52 VANDERBILT AVE, STE 510, NEW YORK, NY 10017
ANGEL ISLAND CAPITAL SERVICES, LLC
ONE EMBARCADERO CENTER, SUITE 2110, SAN FRANCISCO, CA 94111
ANGEL POND CAPITAL LLC
950 THIRD AVENUE, 25TH FLOOR, NEW YORK, NY 10022
Mailing Address: 950 THIRD AVENUE, 25TH FLOOR, NEW YORK, NY 10022
ANICO FINANCIAL SERVICES, INC.
ONE MOODY PLAZA, SUITE 1423, GALVESTON, TX 77550
Mailing Address: ONE MOODY PLAZA SUITE 1423, GALVESTON, TX 77550
ANKURA CAPITAL ADVISORS, LLC
150 NORTH RIVERSIDE PLAZA, SUITE 2400, CHICAGO, IL 60606
ANNEXUS SECURITIES, LLC
14275 N. 87TH STREET, SUITE 115, SCOTTSDALE, AZ 85260
ANOVEST FINANCIAL SERVICES, INC.
3225 SHALLOWFORD ROAD, SUITE 220, MARIETTA, GA 30062
ANSLEY SECURITIES LLC
465 WEST COLEMAN BLVD., SUITE 202, MT. PLEASANT, SC 29464
ANTARCTICA ADVISORS
800 BRICKELL AVE. SUITE 1115, MIAMI, FL 33131
Mailing Address: 800 BRICKELL AVE. SUITE 1115, SUITE 1860, MIAMI, FL 33131
ANUBIS SECURITIES LLC
717 FIFTH AVENUE, 18TH FLOOR, NEW YORK, NY 10022
ANZ SECURITIES, INC.
277 PARK AVENUE, FLOOR 31, NEW YORK, NY 10172-0003
AON SECURITIES INC.
200 EAST RANDOLPH STREET, CHICAGO, IL 60601
APEX CLEARING CORPORATION
ONE DALLAS CENTER, 350 N. ST. PAUL, SUITE 1300, DALLAS, TX 75201
APEXUS CAPITAL LLC
321 19TH STREET, SANTA MONICA, CA 90402-2409
APOLLO GLOBAL SECURITIES, LLC
9 WEST 57TH STREET, NEW YORK, NY 10019-2701
APPLE LANE GROUP LLC
2393 MAIN STREET, LANCASTER, MA 01523
APTO PARTNERS, LLC
5 COLD HILL ROAD SOUTH, SUITE 11, MENDHAM, NJ 07945
APW CAPITAL, INC.
100 ENTERPRISE DRIVE, SUITE 504, ROCKAWAY, NJ 07866
AQR INVESTMENTS, LLC
TWO GREENWICH PLAZA, GREENWICH, CT 06830
AQUA SECURITIES L.P.
125 PARK AVENUE, NEW YORK, NY 10017
AQUEDUCT CAPITAL GROUP, LLC
2820 SELWYN AVENUE, SUITE 550, CHARLOTTE, NC 28209
AQUILA DISTRIBUTORS LLC
120 WEST 45TH STREET, SUITE 3600, NEW YORK, NY 10036
AQUILO PARTNERS, L.P.
ONE MARITIME PLAZA, 14TH FLOOR, SAN FRANCISCO, CA 94111
Mailing Address: ONE MARITIME PLAZA, 15TH FLOOR, SAN FRANCISCO, CA 94111
ARBOR ADVISORS, LLC
1875 SOUTH GRANT ST., STE. 720, SAN MATEO, CA 94402
ARBOR COURT CAPITAL, LLC
8000 TOWN CENTRE DRIVE, SUITE 400, BROADVIEW HEIGHTS, OH 44147
ARBOR RESEARCH & TRADING, LLC
1000 HART ROAD, SUITE 260, BARRINGTON, IL 60010
ARCA CAPITAL INVESTMENTS, INC.
WELLS FARGO CENTER, 333 AVENUE OF THE AMERICAS, SUITE 2530, MIAMI, FL 33131
ARCADIA CAPITAL PARTNERS LLC
2355 EAST CAMELBACK ROAD, SUITE 210, PHOENIX, AZ 85016
ARCADIA SECURITIES, LLC
1370 AVENUE OF THE AMERICAS, 29TH FL, NEW YORK, NY 10019
ARCHER DISTRIBUTORS, LLC
6100 CHEVY CHASE DR., SUITE 100, LAUREL, MD 20707
ARCHIPELAGO SECURITIES L.L.C.
353 NORTH CLARK STREET, SUITE #3200, CHICAGO, IL 60654
ARCHIPELAGO TRADING SERVICES, INC.
353 NORTH CLARK STREET, SUITE 3200, CHICAGO, IL 60654
ARCHSTONE CAPITAL, LLC
1400 EYE ST., NW STE. 1115, WASHINGTON, DC 20005
ARCOLA SECURITIES, INC.
1211 AVENUE OF THE AMERICAS, 41ST FLOOR, NEW YORK, NY 10036
ARCTIC SECURITIES LLC
ONE ROCKEFELLER PLAZA, SUITE 1706, NEW YORK, NY 10124
ARDEA PARTNERS LLC
32 NASSAU STREET, SUITE 300, PRINCETON, NJ 08542
ARDOUR CAPITAL INVESTMENTS, LLC
26 BROADWAY, SUITE 1107, NEW YORK, NY 10004
ARENA FINANCIAL SERVICES, LLC
405 LEXINGTON AVENUE, 59TH FLOOR, NEW YORK, NY 10174
Mailing Address: 405 LEXINGTON AVENUE, 59TH FLOOR, NEW YORK, NY 10174
ARES INVESTOR SERVICES LLC
800 CORPORATE POINTE, 3RD FLOOR, CULVER CITY, CA 90230
ARETE RESEARCH LLC
15 BROAD ST., 1ST FLOOR, BOSTON, MA 02109
ARETE WEALTH MANAGEMENT, LLC
1101 W LAKE STREET, 1ST FLOOR, CHICAGO, IL 60607
ARIA CAPITAL ADVISORS, LLC
475 CENTRAL AVENUE, SUITE M1, ST. PETERSBURG, FL 33701
ARIEL DISTRIBUTORS, LLC
200 EAST RANDOLPH STREET, SUITE 2900, CHICAGO, IL 60601
ARIVE CAPITAL MARKETS
8808 5TH AVENUE, BROOKLYN, NY 11209
ARK GLOBAL, LLC
44 WASHINGTON ST., SUITE 100, WELLESLEY HILLS, MA 02481
ARKADIOS CAPITAL
309 EAST PACES FERRY ROAD, SUITE 1000, ATLANTA, GA 30305
ARLINGTON SECURITIES, INC.
140 MARINE LANE, ST. LOUIS, MO 63146-2236
ARMORY SECURITIES, LLC
1230 ROSECRANS AVE, SUITE 660, MANHATTAN BEACH, CA 90266
ARONSON CAPITAL ADVISORS, LLC
805 KING FARM BOULEVARD, SUITE 300, ROCKVILLE, MD 20850
ARQ ADVISORS LLC
95 SUMMIT AVENUE, SUMMIT, NJ 07901
ARQUE CAPITAL, LTD.
7001 NORTH SCOTTSDALE ROAD, SUITE 1005, SCOTTSDALE, AZ 85253
ARROW INVESTMENTS, INC.
3010 WESTCHESTER AVENUE, SUITE 203, PURCHASE, NY 10577
ARROWROOT PARTNERS, LLC
100 WILSHIRE BLVD. SUITE 1755, SANTA MONICA, CA 90401
ARTISAN PARTNERS DISTRIBUTORS LLC
875 E. WISCONSIN AVENUE, SUITE 800, MILWAUKEE, WI 53202
ARTIST CAPITAL LLC
20 WEST 55TH STREET, 11TH FLOOR, NEW YORK, NY 10019
ARUNDEL (SECURITIES), INC.
C/O RED WALL PARTNERS, 45 ROCKEFELLER PLAZA - SUITE 2000, NEW YORK, NY 10111
Mailing Address: C/O REDWALL PARTNERS, 45 ROCKEFELLER PLAZA - SUITE 2000, NEW YORK, NY 10111
ARVEST WEALTH MANAGEMENT
921 WEST MONROE AVENUE, LOWELL, AR 72745
Mailing Address: P.O. BOX 1515, LOWELL, AR 72745-1515
ASANTE CAPITAL GROUP ADVISORS LLC
4TH FLOOR, 25 OLD BURLINGTON STREET, LONDON, W1S 3AN ENGLAND
ASCENDANT ALTERNATIVE STRATEGIES, LLC
535 WEST 24TH ST., 4TH FLOOR, NEW YORK, NY 10011
ASCENDANT FINANCIAL PARTNERS, LLC
5347 SOUTH VALENTIA WAY, SUITE 250, GREENWOOD VILLAGE, CO 80111
ASCENDIANT CAPITAL MARKETS, LLC
18881 VON KARMAN, 16TH FLOOR, IRVINE, CA 92612
ASCENDIANT SECURITIES, LLC
18881 VON KARMAN, SUITE 1630, IRVINE, CA 92612
ASCENSUS BROKER DEALER SERVICES, LLC
95 WELLS AVENUE, SUITE 160, NEWTON, MA 02459
ASCENSUS FINANCIAL SERVICES, LLC.
200 DRYDEN RD, SUITE 4000, DRESHER, PA 19025
ASCENT CAPITAL ADVISORS (AMERICA) LLC
27 IMPERIAL AVENUE, TOP FLOOR, WESTPORT, CT 06880
ASHMORE INVESTMENT MANAGEMENT (US) CORPORATION
475 5TH AVENUE, 15TH FLOOR, NEW YORK, NY 10017
ASHTON STEWART & CO., INC.
800 THIRD AVE, SUITE 2700, NEW YORK, NY 10022
ASHTON YOUNG, INC.
2600 S TELEGRAPH ROAD, SUITE 150, BLOOMFIELD HILLS, MI 48302
ASIA PACIFIC FINANCIAL MANAGEMENT GROUP, INC.
145 ASPINALL AVE, HAGATNA, 96910 GUAM, USA
Mailing Address: 145 ASPINALL AVE., HAGATNA, 96910 GUAM, USA
ASL CAPITAL MARKETS INC.
600 SUMMER STREET, SUITE 202, STAMFORD, CT 06901
ASPIRATION FINANCIAL LLC
4551 GLENCOE AVE., SUITE 300, MARINA DEL REY, CA 90292
ASSETMARK BROKERAGE, LLC
1655 GRANT STREET, 10TH FLOOR, CONCORD, CA 94520
ASSETPOINT FINANCIAL, LLC
1300 NORTH 17TH STREET, SUITE 1800, ARLINGTON, VA 22209-3810
ASSOCIATED INVESTMENT SERVICES, INC.
433 MAIN STREET, GREEN BAY, WI 54301-5114
Mailing Address: P.O. BOX 640, GREEN BAY, WI 54305-0640
ASTOR RIDGE N.A. LLP
12 EAST 49TH STREET, SUITE 10-125, NEW YORK, NY 10017
ASTORIA CAPITAL MARKETS, INC.
344A WILLIS AVE, MINEOLA, NY 11501
ATEL SECURITIES CORPORATION
THE TRANSAMERICA PYRAMID 600 MONTGOMERY STREET, 9TH FLOOR, SAN FRANCISCO, CA 94111
ATHENE SECURITIES, LLC
7700 MILLS CIVIC PARKWAY, WEST DES MOINES, IA 50266
ATIS, INC
9717 PRAIRIE AVENUE, HIGHLAND, IN 46322
ATLANTIC - PACIFIC CAPITAL, INC.
102 GREENWICH AVENUE, 2ND FLOOR, GREENWICH, CT 06830
ATLANTIC SECURITIES, INC.
920 PROVIDENCE RD., SUITE 201, TOWSON, MD 21286-2988
ATLAS STRATEGIC ADVISORS, LLC
140 EAST 45TH STREET, 18TH FLOOR, NEW YORK, NY 10017
ATLAS TECHNOLOGY GROUP LLC
201 FILBERT STREET, SUITE 100, SAN FRANCISCO, CA 94133
ATM EXECUTION LLC
599 LEXINGTON AVE, 21 FLOOR, NEW YORK, NY 10022
ATREYU GROUP LLC
1185 AVENUE OF THE AMERICAS, 3RD FLOOR, NEW YORK, NY 10036
AUCTUS SECURITIES, LLC
125 S. WACKER DR., SUITE 2125, CHICAGO, IL 60606
AUERBACH GRAYSON & COMPANY LLC
25W 45TH STREET SUITE 16, NEW YORK, NY 10036
Mailing Address: 25W 45TH STREET SUITE 16, NEW YORK, NY 10036
AUFHAUSER SECURITIES, INC.
112 WEST 56TH STREET, NEW YORK, NY 10019-3841
AUGEO ADVISORS, LLC
10801 NATIONAL BLVD., SUITE 245, LOS ANGELES, CA 90064
Mailing Address: 10940 WILSHIRE BLVD., 16TH FLOOR, LOS ANGELES, CA 90064
AURIA SERVICES CORP.
1120 AVENUE OF THE AMERICAS, 4TH FLOOR, NEW YORK, NY 10036
AURIGA USA, LLC
54 WEST 21ST STREET, SUITE 801, NEW YORK, NY 10010
AURORA CAPITAL LLC
354 WIDOW GAVITS ROAD, PO BOX 1167, BRIDGEHAMPTON,, NY 11932-1167
AURORA SECURITIES
2565 WEST MAPLE, TROY, MI 48084
AURUS ADVISORS, INC.
N. 822 FLORIDA A1A, SUITE 310, PONTE VEDRA BEACH, FL 32082
Mailing Address: 156 RETREAT PLACE, PONTE VEDRA BEACH, FL 32082
AUSDAL FINANCIAL PARTNERS, INC.
5187 UTICA RIDGE RD, DAVENPORT, IA 52807
AUSTIN ATLANTIC CAPITAL INC.
1 ALHAMBRA PLAZA, SUITE 100, CORAL GABLES, FL 33134
Mailing Address: 1 ALHAMBRA PLAZA, SUITE 100, MIAMI, FL 33134
AUTO AFTERMARKET SECURITIES, LLC
6203 SAN IGNACIO AVE., SUITE 110, SAN JOSE, CA 95119
AUTOMATED EQUITY FINANCE MARKETS, INC.
225 LIBERTY STREET, 10TH FLOOR, SUITE 1020, NEW YORK, NY 10281
AUTONOMOUS RESEARCH US LP
SUITE 2303, 23RD FLOOR, 1325 AVENUE OF THE AMERICAS, NEW YORK, NY 10019
AVALON INVESTMENT & SECURITIES GROUP, INC.
2013 AVALON AVENUE, MUSCLE SHOALS, AL 35661
Mailing Address: P. O. BOX 2544, MUSCLE SHOALS, AL 35662
AVALON SECURITIES, LTD.
1001 SIXTH AVENUE, 10TH FLOOR, NEW YORK, NY 10018
AVALON WEALTH MANAGEMENT LLC
2929 ALLEN PKWY STE 3000, HOUSTON, TX 77019-7124
AVANT-GARDE TRADING SECURITIES
230 W. MONROE, SUITE 845, CHICAGO, IL 60606
AVANTI SECURITIES CORPORATION
2 ST. CLAIR AVENUE WEST, SUITE 2102, TORONTO, ON, M4V 1L5 CANADA
AVANZA CAPITAL MARKETS INC.
135 EAST 57TH STREET, 8TH FLOOR, NEW YORK, NY 10022
Mailing Address: 135 EAST 57TH STREET, 6TH FLOOR, NEW YORK, NY 10022
AVATAR CAPITAL GROUP LLC
525 WASHINGTON BLVD., 14TH FLOOR, JERSEY CITY, NJ 07310
AVENDUS CAPITAL, INC.
455 PARK AVENUE 19TH FLOOR, NEW YORK, NY 10022
AVENTURA SECURITIES, LLC
15805 BISCAYNE BLVD, SUITE 201, NORTH MIAMI BEACH, FL 33160
AVENUE SECURITIES LLC
78 SW 7TH STREET, MIAMI, FL 33130
AVERE FINANCIAL GROUP, LLC
8310 S. VALLEY HIGHWAY, STE. 110, ENGLEWOOD, CO 80112
AVISEN SECURITIES, INC.
3620 AMERICAN RIVER DRIVE, SUITE 145, SACRAMENTO, CA 95864-7256
AVM, L.P.
777 YAMATO ROAD, SUITE 300, BOCA RATON, FL 33431
AVONDALE PARTNERS, LLC
3102 WEST END AVENUE, SUITE 1100, NASHVILLE, TN 37203
Mailing Address: 3102 WEST END AVE, SUITE 1100, NASHVILLE, TN 37203
AWM SERVICES, LLC
770 S. POST OAK LANE, SUITE 270, HOUSTON, TX 77056
AX TRADING, LLC
6 EAST 45TH STREET, 19TH FLOOR, NEW YORK, NY 10017
AXA ADVISORS, LLC
1290 AVENUE OF THE AMERICAS, NEW YORK, NY 10104
Mailing Address: 1290 AVENUE OF THE AMERICAS, 16TH FLOOR, NEW YORK, NY 10104
AXA DISTRIBUTORS, LLC
525 WASHINGTON BOULEVARD, JERSEY CITY, NJ 07310
AXCESSNET, LLC
192 PARTRIDGE LANE, CONCORD, MA 02421
AXIA CAPITAL MARKETS, LLC
555 MADISON AVENUE, SUITE 11A, NEW YORK, NY 10022
AXIO FINANCIAL LLC
489 FIFTH AVENUE, 15TH FLOOR, NEW YORK, NY 10017
AXIOM CAPITAL MANAGEMENT, INC.
350 FIFTH AVENUE, SUITE 5420, NEW YORK, NY 10118
Last updated: 12/21/2018