Firms We Regulate - I

I-BANKERS DIRECT, LLC
2500 NORTH MILITARY TRAIL, SUITE 160, BOCA RATON, FL 33431

I-BANKERS SECURITIES, INC.
535 5TH AVE., 4TH FLOOR, NEW YORK, NY 10017

IA SECURITIES (USA) INC.
26 WELLINGTON STREET EAST, SUITE 700, TORONTO, ONTARIO, M5E 1S2 CANADA

IAM CAPITAL CORPORATION
276 POST ROAD WEST, WESTPORT, CT 06880-4704

IASG ALTERNATIVES, LLC
141 WEST JACKSON BLVD, SUITE 1525, CHICAGO, IL 60604

IBERIA CAPITAL PARTNERS L.L.C.
601 POYDRAS STREET, SUITE 2000, NEW ORLEANS, LA 70130

IBN FINANCIAL SERVICES, INC.
404 OLD LIVERPOOL RD, LIVERPOOL, NY 13088
Mailing Address: P.O. BOX 2365, LIVERPOOL, NY 13089

ICAP CORPORATES LLC
200 VESEY STREET, 6TH FLOOR, NEW YORK, NY 10285

ICAP SECURITIES USA LLC
200 VESEY STREET, 6TH FLOOR, NEW YORK, NY 10285

ICAPITAL SECURITIES, LLC
60 EAST 42ND STREET, 26TH FLOOR, NEW YORK, NY 10165
Mailing Address: 60 EAST 42ND STREET, 26TH FLOOR, NEW YORK, NY 10017

ICBA SECURITIES
775 RIDGE LAKE BLVD., SUITE 200, MEMPHIS, TN 38120

ICBC STANDARD SECURITIES INC.
520 MADISON AVENUE, 28TH FLOOR, NEW YORK, NY 10022

ICD SECURITIES INC.
7301 SW 57TH COURT, SUITE 400, MIAMI, FL 33143

ICG CAPITAL SECURITIES, LLC
201 SOUTH COLLEGE STREET, SUITE 1610, CHARLOTTE, NC 28244

ICICI SECURITIES INC.
275 MADISON AVENUE - SUITE 1417, NEW YORK, NY 10016

ICMA-RC SERVICES, LLC
777 NORTH CAPITOL STREET, NE, SUITE 600, WASHINGTON, DC 20002-4240

ICON DISTRIBUTORS, INC.
5299 DTC BOULEVARD, SUITE 1200, GREENWOOD VILLAGE, CO 80111
Mailing Address: 5299 DTC BLVD., SUITE 1200, GREENWOOD VILLAGE, CO 80111

ICR CAPITAL LLC
761 MAIN AVENUE, NORWALK, CT 06851-1080

IDB CAPITAL CORP.
511 FIFTH AVENUE, 4TH FLOOR, NEW YORK, NY 10017

IDFC CAPITAL (USA) INC.
600 3RD AVENUE, SUITE 241, NEW YORK, NY 10116

IDX MARKETS, LLC
79 MADISON AVENUE, 5TH FL, NEW YORK, NY 10016

IEX SERVICES LLC
3 WORLD TRADE CTR, 175 GREENWICH STREET, 58TH FLOOR, NEW YORK, NY 10007

IFM (US) SECURITIES, LLC
114 WEST 47TH STREET, 19TH FLOOR, NEW YORK, NY 10036

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

IFS CAPITAL MARKETS, LLC
3414 PEACHTREE RD NE, ATLANTA, GA 30326-1184

IFS SECURITIES
3414 PEACHTREE RD NE, SUITE 1020, ATLANTA, GA 30326-1184

IIFL CAPITAL INC.
1120 AVENUE OF THE AMERICAS, SUITE 1506, NEW YORK, NY 10036

IIFL INC.
1120 AVENUE OF THE AMERICAS, SUITE 1506, NEW YORK, NY 10036

IIP SECURITIES LLC
39 BROADWAY, SUITE 3300, ROOM 6, NEW YORK, NY 10006-3019

IMA WEALTH, INC.
8200 E. 32ND STREET NORTH SUITE 100, WICHITA, KS 67226

IMC FINANCIAL MARKETS
233 SOUTH WACKER DRIVE, #4300, CHICAGO, IL 60606

IMPERIAL CAPITAL, LLC
10100 SANTA MONICA BLVD., SUITE 2400, LOS ANGELES, CA 90067

IMST DISTRIBUTORS, LLC
THREE CANAL PLAZA, THIRD FLOOR, PORTLAND, ME 04101
Mailing Address: THREE CANAL PLAZA, SUITE 100, PORTLAND, ME 04101

INCAPITAL DISTRIBUTORS LLC
200 S. WACKER DRIVE, SUITE 3700, CHICAGO, IL 60606

INCAPITAL LLC
200 SOUTH WACKER DRIVE, SUITE 3700, CHICAGO, IL 60606

INCENTER SECURITIES GROUP LLC
489 FIFTH AVENUE, 11 FLOOR, NEW YORK, NY 10017

INCENTRUM SECURITIES, LLC
410 PARK AVENUE, 15TH FLOOR, NEW YORK, NY 10022

INDEPENDENCE CAPITAL CO., INC.
5579 PEARL ROAD, SUITE 100, PARMA, OH 44129

INDEPENDENT FINANCIAL GROUP, LLC
12671 HIGH BLUFF DRIVE, SUITE 200, SAN DIEGO, CA 92130

INDEPENDENT INVESTMENT BANKERS, CORP.
600 CONGRESS AVENUE, 14TH FLOOR, AUSTIN, TX 78701
Mailing Address: 2900 NORTH QUINLAN PARK RD., SUITE# 240-235, AUSTIN, TX 78732

INDIANA SECURITIES, LLC
1705 N MERIDIAN STREET, INDIANAPOLIS, IN 46202
Mailing Address: 1705 N MERIDIAN STREET, INDIANAPOLIS, IN 46202

INDUSTRIAL AND COMMERCIAL BANK OF CHINA FINANCIAL SERVICES LLC
1633 BROADWAY, 28TH FLOOR, NEW YORK, NY 10019

INEO CAPITAL, LLC
3225 FRANKLIN AVENUE, SUITE 309, MIAMI, FL 33133

INFINEX INVESTMENTS, INC.
538 PRESTON AVENUE, MERIDEN, CT 06450-4858

INFINITY CAPITAL SECURITIES, LLC
1611 N BROADWAY AVE, OKLAHOMA CITY, OK 73103

INFINITY FINANCIAL SERVICES
212 9TH STREET, SUITE 202, OAKLAND, CA 94607
Mailing Address: 212 9TH STREET, SUITE 202, OAKLAND, CA 94607

ING FINANCIAL MARKETS LLC
1133 AVENUE OF THE AMERICAS, NEW YORK, NY 10036

INGALLS & SNYDER, LLC
1325 AVENUE OF THE AMERICAS, 18TH FLOOR, NEW YORK, NY 10019-6066

INLAND SECURITIES CORPORATION
2901 BUTTERFIELD ROAD, OAK BROOK, IL 60523

INLET SECURITIES, LLC
233 NORTH CAUSEWAY SUITE D, NEW SMYRNA BEACH, FL 32169

INNER CIRCLE SPORTS LLC
441 LEXINGTON AVENUE, NEW YORK, NY 10017

INNOVATION ADVISORS LLC
ONE PENN PLAZA, 36TH FLOOR, NEW YORK CITY, NY 10119

INNOVATION CAPITAL, LLC
222 NORTH SEPULVEDA BOULEVARD, SUITE 1300, EL SEGUNDO, CA 90245

INNOVATION PARTNERS LLC
5950 FAIRVIEW ROAD, SUITE 140, CHARLOTTE, NC 28210

INSIGHT SECURITIES, INC.
600 CENTRAL AVE, SUITE 265, HIGHLAND PARK, IL 60035

INSIGNEO SECURITIES, LLC
777 BRICKELL AVE. -- SUITE 1010, MIAMI, FL 33131

INSTINET, LLC
WORLDWIDE PLAZA,, 309 WEST 49TH STREET, NEW YORK, NY 10019

INSTITUTIONAL BOND NETWORK, LLC
463 PENNSFIELD PLACE, SUITE 201, THOUSAND OAKS, CA 91360

INSTITUTIONAL CASH DISTRIBUTORS, LLC
580 CALIFORNIA STREET, SUITE 1335, SAN FRANCISCO, CA 94104

INSTITUTIONAL SECURITIES CORPORATION
3500 OAK LAWN AVE, SUITE 400, DALLAS, TX 75219

INTE SECURITIES LLC
7000 W PALMETTO PARK ROAD, SUITE 503, BOCA RATON, FL 33433

INTEGRAL FINANCIAL LLC
1072 SOUTH DE ANZA BLVD. SUITE # A 205, SAN JOSE, CA 95129
Mailing Address: 1072 SOUTH DE ANZA BLVD. SUITE # A 206, SAN JOSE, CA 95129

INTEGRATED FINANCIAL PLANNING SERVICES
KARLSTRASSE 20, HEIDELBERG, 69117 GERMANY
Mailing Address: KARLSTRASSE 20, HEIDELBERG 69117, 69117 GERMANY

INTEGRIS SECURITIES, LLC
1099 18TH STREET, SUITE 2750, DENVER, CO 80202

INTEGRITY BROKERAGE SERVICES, INC.
1945 STEWART ST, OCEANSIDE, CA 92054

INTEGRITY FUNDS DISTRIBUTOR, LLC
1 NORTH MAIN STREET, MINOT, ND 58703-3189
Mailing Address: PO BOX 500, MINOT, ND 58702-0500

INTEGRITY INVESTMENTS, INC.
221 PENSACOLA ROAD, VENICE, FL 34285

INTELLIGENT CROSS LLC
1 HIGH RIDGE PARK, 2ND FLOOR, STAMFORD, CT 06905

INTELLIVEST SECURITIES, INC.
1540 CHASE COURT, RIVERDALE, GA 30296-2610

INTERACTIVE BROKERS CORP.
8 GREENWICH OFFICE PARK, GREENWICH, CT 06831
Mailing Address: TWO PICKWICK PLAZA, GREENWICH, CT 06830

INTERACTIVE BROKERS LLC
ONE PICKWICK PLAZA-2ND FL., GREENWICH, CT 06830

INTERCAM SECURITIES, INC.
1221 BRICKELL AVENUE, SUITE 1070, MIAMI, FL 33131

INTERCAROLINA FINANCIAL SERVICES, INC.
3300 BATTLEGROUND AVENUE SUITE 400, GREENSBORO, NC 27410-2447

INTERCOASTAL CAPITAL MARKETS, INC.
5550 GLADES ROAD, SUITE 308, BOCA RATON, FL 33431-7277

INTERCONTINENTAL ASSET MANAGEMENT GROUP, LTD.
112 EAST PECAN SUITE 525, SAN ANTONIO, TX 78205

INTERNATIONAL ASSETS ADVISORY, LLC
390 NORTH ORANGE AVENUE, STE 750, ORLANDO, FL 32801
Mailing Address: 390 NORTH ORANGE AVENUE, SUITE 750, ORLANDO, FL 32801

INTERNATIONAL CORRESPONDENT TRADING, INC.
ONE UNIVERSITY PLAZA - SUITE 301, ONE UNIVERSITY PLAZA, HACKENSACK, NJ 07601
Mailing Address: ONE UNIVERSITY PLAZA- SUITE 301, HACKENSACK, NJ 07601

INTERNATIONAL EQUITY SERVICES, INC.
120 BLOOMINGDALE ROAD SUITE 3400, WHITE PLAINS, NY 10605

INTERNATIONAL MONEY MANAGEMENT GROUP, INC.
110 CHANNEL MARKER WAY SUITE #101, GRASONVILLE, MD 21638

INTERNATIONAL RESEARCH SECURITIES, INC.
3010 LBJ SUITE 1200, DALLAS, TX 75234

INTERVEST INTERNATIONAL EQUITIES CORPORATION
1980 DOMINION WAY - SUITE 202, COLORADO SPRINGS, CO 80918

INTL FCSTONE CREDIT TRADING LLC
530 5TH AVENUE, 15TH FLOOR, NEW YORK, NY 10036

INTL FCSTONE FINANCIAL INC.
329 PARK AVENUE NORTH, SUITE 350, WINTER PARK, FL 32789
Mailing Address: 329 PARK AVENUE NORTH, SUITE 350, WINTER PARK, FL 32789

INTREPID INVESTMENT BANKERS LLC
11755 WILSHIRE BLVD., SUITE 2200, LOS ANGELES, CA 90025

INTREPID PARTNERS, LLC
540 MADISON AVENUE, 25TH FLOOR, NEW YORK, NY 10022

INVEMED ASSOCIATES LLC
375 PARK AVENUE, SUITE 2205, NEW YORK, NY 10152-0189

INVERNESS SECURITIES, LLC
6060 PARKLAND BLVD, STE 200, CLEVELAND, OH 44124

INVESCO CAPITAL MARKETS, INC.
11 GREENWAY PLAZA, SUITE 1000, HOUSTON, TX 77046

INVESCO DISTRIBUTORS, INC.
11 GREENWAY PLAZA, SUITE 1000, HOUSTON, TX 77046-1173

INVESTACORP, INC.
4400 BISCAYNE BLVD, 11TH FLOOR, MIAMI, FL 33137

INVESTEC SECURITIES (US) LLC
10 EAST 53RD STREET, 22ND FLOOR, NEW YORK, NY 10022
Mailing Address: 10 EAST 53RD STREET, 22ND FLOOR, NEW YORK, NY 10022

INVESTMENT ARCHITECTS, INC.
11 PETALUMA BLVD NORTH SUITE 205, PETALUMA, CA 94952-3079

INVESTMENT BANK SERVICES, INC.
950 BRECKENRIDGE LANE - SUITE 280, LOUISVILLE, KY 40207
Mailing Address: 950 BRECKINRIDGE LANE - SUITE 280, LOUISVILLE, KY 40207

INVESTMENT DISTRIBUTORS, INC.
2801 HIGHWAY 280 SOUTH, BIRMINGHAM, AL 35223

INVESTMENT NETWORK, INC.
4639 WHIPPLE AVE NW, CANTON, OH 44718

INVESTMENT PLACEMENT GROUP
350 10TH AVENUE, SUITE 1150, SAN DIEGO, CA 92101
Mailing Address: 350 10TH AVENUE, SUITE 1150, SAN DIEGO, CA 92101

INVESTMENT PLANNERS, INC.
226 W. ELDORADO STREET, DECATUR, IL 62522
Mailing Address: P.O. BOX 170, DECATUR, IL 62525-0170

INVESTMENT SECURITY CORPORATION
24009 VENTURA BLVD., SUITE 101, CALABASAS, CA 91302

INVESTMENT VISA CONSULTANTS, LLC
5139 GEARY BLVD., SAN FRANCISCO, CA 94118

INVESTMENTS FOR YOU, INC.
1040 N. MAPLE STREET, MARYSVILLE, OH 43040

INVESTORS BROKERAGE OF TEXAS, LTD.
225 S. 5TH ST., WACO, TX 76701
Mailing Address: P.O. BOX 2683, WACO, TX 76702

INVESTSHARES
701 BRICKELL AVENUE, SUITE 1550, MIAMI, FL 33131

INVEX, LLC.
2 ALHAMBRA PLAZA, SUITE PH II, CORAL GABLES, FL 33134

INVICTA CAPITAL LLC
2790 MOSSIDE BOULEVARD, SUITE 530, MONROEVILLE, PA 15146

IQ CAPITAL (USA) LLC
708 3RD AVENUE, 6TH FLOOR, NEW YORK, NY 10017
Mailing Address: 733 3RD AVENUE, NEW YORK, NY 10017

IRC SECURITIES LLC
420 LEXINGTON AVENUE, SUITE 300, NEW YORK, NY 10170

IROQUOIS CAPITAL ADVISORS, LLC
3100 WEST END AVENUE, SUITE 910, NASHVILLE, TN 37203

ISAAK BOND INVESTMENTS, INC.
3900 S WADSWORTH BLVD, STE 590, LAKEWOOD, CO 80235-2224

ISRAEL A. ENGLANDER & CO., LLC
1120 AVENUE OF THE AMERICAS, SUITE 1512, NEW YORK, NY 10036

ITAU BBA USA SECURITIES, INC.
540 MADISON AVENUE, 24TH FLOOR, NEW YORK, NY 10022

ITAU INTERNATIONAL SECURITIES INC.
200 S. BISCAYNE BLVD., SUITE 2200, MIAMI, FL 33131

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

IVP CAPITAL, LLC
337 NOYAC PATH, WATER MILL, NY 11976

IVY DISTRIBUTORS, INC.
6300 LAMAR AVENUE, OVERLAND PARK, KS 66202-4200
Mailing Address: P.O. BOX 29217, SHAWNEE MISSION, KS 66201-9217

IVY SECURITIES, INC.
100 PERCHERON LANE, ROSLYN HEIGHTS, NY 11577

Last updated: 5/9/2019