Firms We Regulate - A

A & M SECURITIES, LLC
2475 NORTHWINDS PKWY, SUITE 200, ALPHARETTA, GA 30004

A&A SECURITIES LLC
1981 LONGMIRE LANE, 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

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

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
5300 CALIFORNIA AVENUE, IRVINE, CA 92617

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

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

AENEAS CAPITAL LLC
140 DOVER STREET, LAKEWOOD, CO 80226

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
152 WEST 57TH STREET, 36TH FLOOR, NEW YORK, NY 10019

AGA SECURITIES, LLC
370 DORADO BEACH EAST, DORADO, PR 00646

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.
1905 WAYZATA BLVD EAST, SUITE 100, 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

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
20 N SAN MATEO DRIVE, SUITE 10, 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

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 ELM DISTRIBUTION PARTNERS, LLC
100 ARBORETUM DRIVE, SUITE 105, PORTSMOUTH, NH 03801

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

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 2150, 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
485 LEXINGTON AVENUE, 10TH FLOOR, NEW YORK, NY 10017

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 LLC
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.
601 CALIFORNIA STREET, SUITE 500, SAN FRANCISCO, CA 94108

ARBOR ADVISORS, LLC
1900 S NORFOLK ST. STE. 320, STE. 720, SAN MATEO, CA 94403

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 LP
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
9137 EAST MINERAL CIRCLE, SUITE 280, CENTENNIAL, CO 80112

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

ASCENT CAPITAL ADVISORS (AMERICA) LLC
27 IMPERIAL AVENUE, TOP FLOOR, WESTPORT, CT 06880

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

ASHLAND SECURITIES, LLC
80 S.W. 8TH STREET, SUITE 2000, MIAMI, FL 33130

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

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

AUTOMATED EQUITY FINANCE MARKETS, INC.
225 LIBERTY STREET, 10TH FLOOR, SUITE 1020, NEW YORK, NY 10281

AVALON INVESTMENT & SECURITIES GROUP, INC.
2013 E. AVALON AVENUE, MUSCLE SHOALS, AL 35661
Mailing Address: P. O. BOX 2544, MUSCLE SHOALS, AL 35662

AVALON SECURITIES, LTD.
1001 SIXTH AVENUE, 3RD 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

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
1501 BROADWAY, SUITE 12032, NEW YORK, NY 10036

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

AXEGINE SECURITIES LLC
360 MADISON AVE, 20TH FLOOR, NEW YORK, NY 10017
Mailing Address: 360 MADISON AVE, 22ND FLOOR, C/O SEAPORT GLOBAL HOLDINGS LLC, NEW YORK, NY 10017

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

AXOS CLEARING LLC
1200 LANDMARK CENTER, 1299 FARNAM STREET SUITE 800, OMAHA, NE 68102-1916

Last updated: 5/9/2019