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Firms We Regulate - N

# 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

N.A. INVESTCORP LLC
280 PARK AVENUE, 39TH FLOOR, NEW YORK, NY 10017

N.B. ZOULLAS SECURITIES, INC.
ONE PENN PLAZA, SUITE 2005, 20TH FLOOR, NEW YORK, NY 10119

N.E. PRIVATE CLIENT ADVISORS, LTD.
790 NORTH MAIN STREET, PROVIDENCE, RI 02904

N.I.S. FINANCIAL SERVICES, INC.
500 EAST 9TH ST., KANSAS CITY, MO 64106
Mailing Address: P. O. BOX 219103, KANSAS CITY, MO 64121-9103

N4 FINANCIAL, INC.
1900 O'FARRELL STREET, SUITE 145, SAN MATEO, CA 94403
Mailing Address: 1900 O'FARRELL STREET SUITE 145, SAN MATEO, CA 94403

NABSECURITIES, LLC
245 PARK AVE 28TH FL, NEW YORK, NY 10167

NANCY BARRON & ASSOCIATES, INC.
150 GRAND BOULEVARD, LEXINGTON, KY 40507

NASDAQ CAPITAL MARKETS ADVISORY LLC
505 HOWARD STREET, SUITE #4200, SAN FRANCISCO, CA 94105

NASDAQ EXECUTION SERVICES, LLC
2929 WALNUT STREET, FMC TOWER, LEVEL 8, PHILADELPHIA, PA 19104

NATALLIANCE SECURITIES, LLC
111 CONGRESS AVENUE, SUITE 800, AUSTIN, TX 78701

NATHAN HALE CAPITAL, LLC
227 W TRADE ST, SUITE 2150, CHARLOTTE, NC 28202

NATIONAL BANK OF CANADA FINANCIAL INC.
65 EAST 55TH STREET, 8TH FLOOR, NEW YORK, NY 10022

NATIONAL FINANCIAL SERVICES LLC
200 SEAPORT BOULEVARD, BOSTON, MA 02210
Mailing Address: TWO DESTINY WAY, MAIL ZONE: WG3D, WESTLAKE, TX 76262

NATIONAL SECURITIES CORPORATION
5000 T-REX AVENUE, SUITE 300, BOCA RATON, FL 33431

NATIONS FINANCIAL GROUP, INC.
4000 RIVER RIDGE DR NE, CEDAR RAPIDS, IA 52402

NATIONWIDE FUND DISTRIBUTORS LLC
10 WEST NATIONWIDE BOULEVARD, MS: 5-02-210R, COLUMBUS, OH 43215
Mailing Address: ONE NATIONWIDE PLAZA, MS: 5-02-210R, COLUMBUS, OH 43215

NATIONWIDE INVESTMENT SERVICES CORPORATION
ONE NATIONWIDE PLAZA, 1-33-401, COLUMBUS, OH 43215

NATIONWIDE PLANNING ASSOCIATES INC.
115 WEST CENTURY ROAD, SUITE 360, PARAMUS, NJ 07652

NATIONWIDE SECURITIES, LLC
1050 YARD STREET BUILDING I, MAILING CODE: GI-1D-NSL1, GRANDVIEW HEIGHTS, OH 43212
Mailing Address: ONE NATIONWIDE PLAZA, MAIL CODE: 01-33-401, COLUMBUS, OH 43215

NATIXIS DISTRIBUTION, L.P.
888 BOYLSTON STREET, SUITE 800, BOSTON, MA 02199-8197

NATIXIS SECURITIES AMERICAS LLC
1251 AVENUE OF THE AMERICAS, 5TH FLOOR, NEW YORK, NY 10020
Mailing Address: 1251 AVENUE OF THE AMERICAS 5TH FLOOR, NEW YORK, NY 10020

NATWEST MARKETS SECURITIES INC.
600 WASHINGTON BOULEVARD, STAMFORD, CT 06901

NAVAID FINANCIAL SERVICES, INC.
1520 LOCUST ST., FL. 12, PHILADELPHIA, PA 19102

NAVIAN CAPITAL SECURITIES LLC
425 WALNUT STREET, SUITE 2410, CINCINNATI, OH 45202

NAVIDAR GROUP LLC
2700 VIA FORTUNA, SUITE 140, AUSTIN, TX 78746

NAVY FEDERAL BROKERAGE SERVICES, LLC
820 FOLLIN LANE, VIENNA, VA 22180

NBC SECURITIES, INC.
1927 1ST AVENUE NORTH, BIRMINGHAM, AL 35203-0686

NC SECURITIES, LLC
1300 PICCARD DRIVE, SUITE 108, ROCKVILLE, MD 20850

NCG SECURITIES LLC
12 BROAD STREET, 5TH FLOOR, RED BANK, NJ 07701

NEAR EARTH, LLC
945 WEST ROAD, NEW CANAAN, CT 06840

NEBARI SECURITIES, LLC
130 5TH AVENUE, FLOOR 5, NEW YORK, NY 10011

NEEDHAM & COMPANY, LLC
250 PARK AVENUE, 10TH FLOOR, NEW YORK, NY 10177

NELSON IVEST BROKERAGE SERVICES, INC.
423 COUNTRY CLUB DRIVE, WINTER PARK, FL 32789-2968

NELSON SECURITIES,INC.
9718 N MORTON CT, SPOKANE, WA 99218

NEST INVESTMENTS BD LLC
20 ASH STREET, SUITE 300, CONSHOHOCKEN, PA 19428
Mailing Address: PO BOX 266, CONSHOHOCKEN, PA 19428

NESTLERODE & LOY, INC.
110 REGENT COURT, SUITE 202, STATE COLLEGE, PA 16801
Mailing Address: P.O. BOX 343, STATE COLLEGE, PA 16804-0343

NETREX CAPITAL MARKETS, LLC
270 SOUTH SERVICE ROAD, SUITE 45, MELVILLE,, NY 11747-2339

NETWORK 1 FINANCIAL SECURITIES INC.
THE GALLERIA, SUITE 241, 2 BRIDGE AVENUE, RED BANK, NJ 07701

NEUBERGER BERMAN BD LLC
1290 AVENUE OF THE AMERICAS, NEW YORK, NY 10104

NEW CENTURY CAPITAL PARTNERS, INC.
1510 11TH STREET, SUITE 203, SANTA MONICA, CA 90401

NEW CITY CAPITAL LLC
51 E CAMPBELL AVE, SUITE 102, CAMPBELL, CA 95008

NEW HARBOR VENTURE PARTNERS LLC
215 MORRIS AVENUE, SUITE 7, SPRING LAKE, NJ 07762

NEWBRIDGE SECURITIES CORPORATION
1200 NORTH FEDERAL HIGHWAY, SUITE 400, BOCA RATON, FL 33432

NEWCAP PARTNERS, INC.
5777 W. CENTURY BLVD., SUITE 1135, LOS ANGELES, CA 90045

NEWCOURT SECURITIES, LTD
23 WARING RD, POUND RIDGE, NY 10576

NEWOAK CAPITAL MARKETS LLC
575 FIFTH, 15TH FL., NEW YORK, NY 10017
Mailing Address: 575 FIFTH AVENUE, 15TH FL., NEW YORK, NY 10017

NEWPORT GROUP SECURITIES, INC.
300 PRIMERA BLVD., SUITE 200, LAKE MARY, FL 32746

NEXBANK SECURITIES INC
2515 MCKINNEY AVE, SUITE 1100, DALLAS, TX 75201

NEXPOINT SECURITIES, INC.
200 CRESCENT COURT, SUITE 700, DALLAS, TX 75201

NEXT FINANCIAL GROUP, INC.
2500 WILCREST DRIVE, SUITE 620, HOUSTON, TX 77042

NEXTGEN CAPITAL MARKETS, LLC
3715 NORTHSIDE PKWY NW, STE.,1-250, ATLANTA, GA 30327

NEXTREND SECURITIES, INC.
STATE OF TEXAS ADDRESS CONFIDENTIALITY, AUSTIN, TX 78711
Mailing Address: PO BOX 12108, AUSTIN, TX 78711

NEXTSEED SECURITIES, LLC
3131 EASTSIDE STREET, SUITE 100, HOUSTON, TX 77098
Mailing Address: 3131 EASTSIDE STREET, SUITE 110, HOUSTON, TX 77098

NGC FINANCIAL, LLC
36-01 208TH STREET, BAYSIDE, NY 11361

NH INVESTMENT & SECURITIES AMERICA, INC.
120 WEST 45TH STREET, SUITE 2402, NEW YORK, NY 10036

NI ADVISORS
1138 CADILLAC COURT, MILPITAS, CA 95035
Mailing Address: 1138 CADILLAC COURT, MILPITAS, CA 95035

NIAGARA INTERNATIONAL CAPITAL LIMITED
757 THIRD AVENUE, 21ST FLOOR, NEW YORK, NY 10017

NICOL INVESTORS CORPORATION
1 EXECUTIVE PARK, GRANITE CITY, IL 62040-0907
Mailing Address: 1 EXECUTIVE PARK, P.O. BOX 907, GRANITE CITY, IL 62040-0907

NMS CAPITAL ADVISORS, LLC.
9171 WILSHIRE BLVD, STE 500, BEVERLY HILLS, CA 90210

NOBLE CAPITAL MARKETS, INC.
225 NE MIZNER BOULEVARD, SUITE 150, BOCA RATON, FL 33432

NOBLES & RICHARDS, INC.
801 EAST PLANO PARKWAY, SUITE 220, PLANO, TX 75074

NOLAN SECURITIES CORP.
535 MAIN ROAD, MONTEREY, MA 01245

NOMURA GREENTECH CAPITAL ADVISORS, LLC
640 FIFTH AVENUE, 16TH FLOOR, NEW YORK, NY 10019

NOMURA SECURITIES INTERNATIONAL, INC.
WORLDWIDE PLAZA, 309 WEST 49TH STREET, NEW YORK, NY 10019

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

NORFOLK MARKETS, LLC
1140 6TH AVE, 9TH FLOOR, NEW YORK, NY 10036

NORTH CAPITAL PRIVATE SECURITIES CORPORATION
623 E FT UNION BLVD, SUITE 101, SALT LAKE CITY, UT 84047

NORTH INLET ADVISORS, LLC
2115 REXFORD RD, SUITE 224, CHARLOTTE, NC 28211

NORTH POINT ADVISORS, INC.
580 CALIFORNIA STREET, SUITE 2000, SAN FRANCISCO, CA 94104
Mailing Address: 580 CALIFORNIA STREET, SUITE 2000, SAN FRANCISCO, CA 94105

NORTH SOUTH CAPITAL, LLC
321 WEST MAPLE STREET, SUITE 201, NEW LENOX, IL 60451

NORTHBRIDGE FINANCIAL SERVICES
3650 WEST LIBERTY, ANN ARBOR, MI 48103

NORTHCOAST RESEARCH PARTNERS, LLC
1301 EAST NINTH STREET, 15TH FLOOR, CLEVELAND, OH 44114

NORTHEAST CAPITAL & ADVISORY, INC.
111 PARTRIDGE RUN, SCHENECTADY, NY 12309

NORTHERN CAPITAL SECURITIES CORPORATION
50 HIGH STREET, 4TH FLOOR, NORTH ANDOVER, MA 01845

NORTHERN FUNDS DISTRIBUTORS, LLC
THREE CANAL PLAZA, 3RD FLOOR, PORTLAND, ME 04101
Mailing Address: THREE CANAL PLAZA, SUITE 100, PORTLAND, ME 04101

NORTHERN LIGHTS DISTRIBUTORS, LLC
4221 NORTH 203RD STREET, SUITE 100, ELKHORN, NE 68022

NORTHERN SECURITIES, INC.
2633 HAMEL RD, MEDINA, MN 55340-0275
Mailing Address: P.O. BOX 275, MEDINA, MN 55340-0275

NORTHERN TRUST SECURITIES, INC.
50 SOUTH LASALLE STREET, CHICAGO, IL 60603

NORTHILL DISTRIBUTION US INC.
575 FIFTH AVENUE, 39TH FLOOR, NEW YORK, NY 10017

NORTHLAND SECURITIES, INC.
150 SOUTH FIFTH STREET, SUITE 3300, MINNEAPOLIS, MN 55402

NORTHWEST FINANCIAL GROUP LLC
200 SPRING STREET, SUITE 120, HERNDON, VA 20170

NORTHWEST INVESTMENT ADVISORS, INC.
9 S WASHINGTON ST STE 210, SPOKANE, WA 99201

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
720 EAST WISCONSIN AVENUE, MILWAUKEE, WI 53202-4797

NOVA CAPITAL SOLUTIONS, LLC
1600 SE 15TH STREET #305, FORT LAUDERDALE, FL 33316

NPB FINANCIAL GROUP, LLC
3500 W. OLIVE AVENUE, THIRD FLOOR, BURBANK, CA 91505

NPM SECURITIES, LLC
4 TIMES SQUARE, 10TH FLOOR, NEW YORK, NY 10036
Mailing Address: 151 WEST 42 STREET, 10TH FLOOR, NEW YORK, NY 10036

NTB FINANCIAL CORPORATION
9540 SOUTH MAROON CIRCLE, SUITE 250, CENTENNIAL, CO 80112

NUMIS SECURITIES INC.
575 FIFTH AVENUE, 25TH FL, NEW YORK, NY 10017

NUVEEN SECURITIES, LLC
333 WEST WACKER DRIVE, CHICAGO, IL 60606-1286

NVSTR FINANCIAL LLC
135 MADISON AVE, 5TH FLOOR, NEW YORK, NY 10016
Mailing Address: PO BOX 145, NEW YORK, NY 10159-0145

NW CAPITAL MARKETS INC.
2 HUDSON PLACE, HOBOKEN, NJ 07030

NYLIFE DISTRIBUTORS LLC
30 HUDSON STREET, JERSEY CITY, NJ 07302
Mailing Address: 30 HUDSON STREET, 22ND FLOOR, JERSEY CITY, NJ 07302

NYLIFE SECURITIES LLC
51 MADISON AVE., ROOM 713, NEW YORK, NY 10010
Mailing Address: 51 MADISON AVENUE, ROOM 713, NEW YORK, NY 10010

NYPPEX, LLC
800 WESTCHESTER AVENUE, RYE BROOK, NY 10573

Last updated: 6/24/2020