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Broker-Dealer Firms We Regulate - A

# 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

A. P. SECURITIES, INC.
15 WATERVIEW DR, CENTERPORT, NY 11721
Mailing Address: P. O. BOX 434, CENTERPORT, NY 11721

A.BRIDGE REALVEST SECURITIES CORPORATION
244 CAMBRIDGE OAKS, PARK RIDGE, NJ 07656

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
375 WEST END AVE UNIT 10D, NEW YORK, NY 10024

AAG CAPITAL, INC
2211 ASHLEY OAKS CIRCLE, WESLEY CHAPEL, FL 33544

AARDVARK SECURITIES LLC
550 W JACKSON BLVD., STE 1300, CHICAGO, IL 60661

ABACUS INTERNATIONAL CAPITAL CORP.
6 BOWERY, 4TH FLOOR, NEW YORK, NY 10013

ABACUS INVESTMENTS, INC.
S33 W35676 MEADOW TRAIL, DOUSMANS, WI 53118
Mailing Address: S33 W35676 MEADOW TRAIL, DOUSMAN, WI 53118

ABEL NOSER, LLC.
850 THIRD AVENUE, 15TH FLOOR, NEW YORK, NY 10022

ABERDEEN FUND DISTRIBUTORS, LLC
1900 MARKET STREET, SUITE 200, PHILADELPHIA, PA 19103

ABG SUNDAL COLLIER INC.
140 BROADWAY, SUITE 4604, NEW YORK, NY 10005

ABG, LLC
725 FIFTH AVENUE, 24TH FLOOR, NEW YORK, NY 10022

ABN AMRO CAPITAL MARKETS (USA) LLC
100 PARK AVENUE, 17TH FLOOR, NEW YORK, NY 10017

ABN AMRO CLEARING USA LLC
175 WEST JACKSON BLVD, STE 2050, CHICAGO, IL 60604

ABN AMRO SECURITIES (USA) LLC
303 GEORGE STREET, 3RD FLOOR, NEW BRUNSWICK, NJ 08901

ABOUT CORPORATE FINANCE CORPORATION
1925 CENTURY PARK EAST, SUITE 250, LOS ANGELES, CA 90067

ABRAHAM SECURITIES CORPORATION
3724 47TH STREET CT. NW, GIG HARBOR, WA 98335

ABSA SECURITIES U.S. INC.
610 FIFTH AVENUE, SUITE 405, NEW YORK, NY 10020

AC SUNSHINE SECURITIES LLC
7380 W. SAND LAKE ROAD, SUITE 500, ORLANDO, FL 32819

ACA/PRUDENT INVESTORS PLANNING CORPORATION
290 ROUTE 22 WEST, SUITE 201, GREEN BROOK, NJ 08812

ACADEMY SECURITIES, INC.
622 3RD AVENUE, 12TH FLOOR, NEW YORK, NY 10017

ACALYX ADVISORS INC.
4440 PGA BLVD, SUITE 600, PALM BEACH GARDENS, FL 33410

ACC SECURITIES, LLC
14180 DALLAS PARKWAY, SUITE 350, DALLAS, TX 75254

ACCEPTUS CAPITAL CORP.
22 COUNTRY CLUB DRIVE, PORT WASHINGTON, NY 11050

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 310, STAMFORD, CT 06905
Mailing Address: 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, 25TH FLOOR, 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
475 MARINA BLVD., SAN FRANCISCO, CA 94123

ACORNS SECURITIES, LLC
5300 CALIFORNIA AVENUE, IRVINE, CA 92617

ACP SECURITIES, LLC
1450 BRICKELL AVENUE, SUITE 1690, 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

ACRETRADER FINANCIAL, LLC
26 WEST CENTER STREET, SUITE 202, FAYETTEVILLE, AR 72701

ACS EXECUTION SERVICES, LLC
12 BROAD STREET, 2ND FLOOR, RED BANK, NJ 07701

ADELPHI STOCK BROKERS
40 CORNWALL LANE, SANDS POINT, NY 11050
Mailing Address: 40 CORNWALL LANE, SANDS POINT, NY 11050

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
1995 EAST RUM RIVER DRIVE S., CAMBRIDGE, MN 55008
Mailing Address: 1995 EAST RUM RIVER DRIVE S., CAMBRIDGE, MN 55008

ADVANCED STRATEGIES BROKER DEALER LLC
1308 DALLAS ROAD, CHATTANOOGA, TN 37405

ADVANTAGE SECURITIES LLC
141 WEST JACKSON BOULEVARD, SUITE 3900, CHICAGO, IL 60604

ADVENTIX GLOBAL MARKETS LLC
150 MOTOR PARKWAY, 4TH FLOOR, HAUPPAUGE, NY 11788

ADVISORS ASSET MANAGEMENT, INC.
18925 BASE CAMP ROAD, MONUMENT, CO 80132-0000
Mailing Address: 18925 BASE CAMP ROAD, MONUMENT, CO 80132

AE FINANCIAL SERVICES, LLC
2950 SW MCCLURE ROAD, SUITE B, TOPEKA, KS 66614

AEG CAPITAL, LLC
200 W. MADISON STREET, SUITE 2410, CHICAGO, IL 60606

AEGIS CAPITAL CORP.
1345 AVENUE OF THE AMERICAS, 27TH FLOOR, NEW YORK, NY 10105

AEGIS INVESTMENTS, INC.
4915 WEST 35TH STREET, SUITE 100, ST LOUIS PARK, MN 55416

AEI SECURITIES, INC.
1300 WELLS FARGO PLACE, 30 SEVENTH STREET EAST, ST. PAUL, MN 55101-4901

AEL FINANCIAL SERVICES, LLC
2101 REXFORD ROAD, SUITE 310, CHARLOTTE, NC 28211

AERIS PARTNERS LLC
500 BOYLSTON STREET, 18TH FLOOR, BOSTON, MA 02116

AET INVESTMENT SERVICES, LLC
14 SCOTT AVENUE, SELDEN, NY 11784

AETHLON CAPITAL, L.L.C
1786 JAMES AVENUE SOUTH, MINNEAPOLIS, MN 55403

AFFILIATED BANKERS CAPITAL, L.L.C.
9901 BRODIE LANE, SUITE 160 #340, AUSTIN, TX 78748

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

AGA SECURITIES, LLC
200 WINSLOW WAY WEST, SUITE 380, BAINBRIDGE ISLAND, WA 98110

AGC PARTNERS
99 HIGH STREET, FLOOR 22, BOSTON, MA 02110

AGECROFT PARTNERS, LLC
103 CANTERBURY ROAD, RICHMOND, VA 23221-3211

AGES FINANCIAL SERVICES, LTD.
123 HAVEN STREET, SUITE 2, READING, MA 01867

AGILE TRADING TECHNOLOGIES, LLC
2 TOWN PLACE, STE 210, BRYN MAWR, PA 19010

AGM SECURITIES LLC
42 BROADWAY, SUITE 12-129, NEW YORK, NY 10004

AHANA MARKETS LLC
1510 WISCONSIN AVENUE NW, OFFICE 5, WASHINGTON, DC 20007
Mailing Address: 18636 W. HAZELWOOD STREET, GOOD YEAR, AZ 85395

AIA SECURITIES LLC
2 VENTURE, SUITE 430, IRVINE, CA 92618

AIME CAPITAL MARKETS LLC
445 NORTHERN BLVD, STE 28, GREAT NECK, NY 11021

AINVEST FINANCIAL, INC.
330 7TH AVE, SUITE 902, NEW YORK, NY 10001

AIP CAPITAL MARKETS LLC
26123 MARINA DR, ROLLING HILLS ESTATES, CA 90274

AIRLINK MARKETS, LLC
1400 112TH AVE. SE, SUITE 100, BELLEVUE, WA 98004

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 180, WALNUT CREEK, CA 94596

ALANTRA, LLC
ONE FEDERAL STREET, SUITE 2202, BOSTON, MA 02110

ALBERT SECURITIES, LLC
3534 HAYDEN AVENUE, CULVER CITY, CA 90232

ALBRIGHT SECURITIES LLC
1101 WILSON BLVD., 6TH FLOOR, ARLINGTON, VA 22209

ALDERMAN & COMPANY CAPITAL, LLC
35 WARRINGTON ROUND, DANBURY, CT 06810

ALDWYCH SECURITIES LLC
290 HARBOR DRIVE 4TH FLOOR, STAMFORD, CT 06902
Mailing Address: 290 HARBOR DRIVE 4TH FLOOR, 70, STAMFORD, CT 06902

ALEXANDER CAPITAL, L.P.
10 DRS JAMES PARKER BLVD, SUITE 202, RED BANK, NJ 07701
Mailing Address: 10 DRS JAMES PARKER BLVD, SUITE 201, RED BANK, NJ 07701

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 TRANSACTION SERVICES, LLC
1 GRANT STREET, FRAMINGHAM, MA 01702-6758

ALKALI PARTNERS, LLC.
500 SW 116TH AVE., SUITE 273, BEAVERTON, OR 97229

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

ALLEGRO SECURITIES LLC
231 SHARON DRIVE, SAN ANTONIO, TX 78216
Mailing Address: P.O. BOX 8088, SAN ANTONIO, TX 78208

ALLEN & COMPANY LLC
711 FIFTH AVENUE, NEW YORK, NY 10022

ALLEN C. EWING & CO.
8515 BAYMEADOWS WAY, UNIT 102, 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-ONE INVESTMENTS, LLC
4000 N MINGO RD, TULSA, OK 74116

ALLIANCEBERNSTEIN INVESTMENTS, INC.
501 COMMERCE STREET, NASHVILLE, TN 37203

ALLIANT SECURITIES, INC. TURNER, NORD, KIENBAUM
695 NORTH LEGACY RIDGE DRIVE SUITE 300, LIBERTY LAKE, WA 99019

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

ALLIO CAPITAL
107 SPRING ST., SEATTLE, WA 98104

ALLOCATIONS SECURITIES
3558 ROUND BARN BOULEVARD, SUITE 200 OFFICE 206, SANTA ROSA, CA 95403

ALLSPRING FUNDS DISTRIBUTOR, LLC
1415 VANTAGE PARK DRIVE, CHARLOTTE, NC 28203
Mailing Address: 100 HERITAGE RESERVE, FLOOR 1, MENOMONEE FALLS, WI 53051-4400

ALLSTATE FINANCIAL SERVICES, LLC
151 N 8TH STREET, SUITE 450, LINCOLN, NE 68508-1380
Mailing Address: PO BOX 83271, LINCOLN, NE 68501-3271

ALLY INVEST SECURITIES LLC
601 S TRYON STREET, SUITE 100, CHARLOTTE, NC 28202
Mailing Address: P.O. BOX 30248, CHARLOTTE, NC 28230

ALMAX FINANCIAL SOLUTIONS, LLC
12 VAN SYCKLES ROAD, CLINTON, NJ 08809

ALPACA SECURITIES LLC
42881 LAKE BABCOCK DR., SUITE 200, BABCOCK RANCH, FL 33982

ALPHALEDGER MARKETS, INC.
19362 POWDER HILL PLACE, SUITE 104, POULSBO, WA 98370
Mailing Address: PO BOX 236, POULSBO, WA 98370

ALPHASOURCE CAPITAL SECURITIES LLC
35 WALKER AVENUE, EAST QUOGUE, NY 11942
Mailing Address: 35 WALKER AVENUE, NEW YORK, NY 11942

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 1000, DENVER, CO 80203
Mailing Address: PO BOX 328, DENVER, CO 80201-0328

ALPS PORTFOLIO SOLUTIONS DISTRIBUTOR, INC.
1290 BROADWAY, SUITE 1000, 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

ALTACCESS SECURITIES COMPANY, L.P.
325 N. ST. PAUL STREET, 30TH FLOOR, DALLAS, TX 75201

ALTERNA SECURITIES, INC.
2800 POST OAK BLVD, SUITE 6300, HOUSTON, TX 77056

ALTERNATIVE ACCESS CAPITAL, LLC
900 LARKSPUR LANDING CIR, SUITE 100, LARKSPUR, CA 94939

ALTERNATIVE EXECUTION GROUP
111 W 41ST STREET, BAYONNE, NJ 07002
Mailing Address: 90 AVENUE B, BAYONNE, NJ 07002

ALTITUDE CAPITAL GROUP LLC
260 NEWPORT CENTER DRIVE, SUITE 100, NEWPORT BEACH, CA 92660

ALTO SECURITIES, LLC
500 11TH AVENUE N, SUITE 790, NASHVILLE, TN 37203

ALTRUIST FINANCIAL LLC
3030 S LA CIENEGA BLVD, CULVER CITY, CA 90232

ALTSOURCED SOLUTIONS, LLC
305 SPIDER LILY LANE, NAPLES, FL 34119

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
484 PACIFIC STREET, 3RD FLOOR, STAMFORD, CT 06902

AMBIT AMERICA INC.
AMBIT AMERICA INC., 485 MADISON AVENUE, 15TH FLOOR, NEW YORK, NY 10022

AMD CAPITAL, LLC
2907 W. WILSON AVENUE, CHICAGO, IL 60625

AMERANT INVESTMENTS, INC.
220 ALHAMBRA CIRCLE, 2ND FLOOR, CORAL GABLES, FL 33134

AMERICAN ALTERNATIVE CAPITAL, LLC
19500 VICTOR PARKWAY, SUITE 550, LIVONIA, MI 48152

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
ONE NEW HAMPSHIRE AVENUE, SUITE 125, PORTSMOUTH, NH 03801

AMERICAN ENTERPRISE INVESTMENT SERVICES INC.
903 3RD AVENUE SOUTH, MINNEAPOLIS, MN 55402
Mailing Address: 5221 AMERIPRISE FINANCIAL CENTER, MINNEAPOLIS, MN 55474

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 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 FUNDSTARS
4695 MACARTHUR COURT, SUITE 560, NEWPORT BEACH, CA 92660

AMERICAN GLOBAL WEALTH MANAGEMENT, INC.
1600 PENNSYLVANIA AVE., MCDONOUGH, GA 30253

AMERICAN HERITAGE SECURITIES, INC.
50 S MAIN ST, SUITE 1210, AKRON, OH 44308-1831

AMERICAN INDEPENDENT SECURITIES GROUP, LLC
664 S RIVERSHORE LANE, SUITE 150, EAGLE, ID 83616
Mailing Address: PO BOX 579, EAGLE, ID 83616

AMERICAN INVESTORS COMPANY
12667 ALCOSTA BLVD., SUITE 160, SAN RAMON, CA 94583
Mailing Address: P. O. BOX 1307, SAN RAMON, CA 94583

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 TRUST INVESTMENT SERVICES, INC.
1244 119TH STREET, WHITING, IN 46394-1003

AMERICAN VETERANS GROUP, PBC
324 S. SERVICE ROAD, SUITE 107, MELVILLE, NY 11747

AMERICAN WEALTH MANAGEMENT, INC.
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, 77 WATER STREET, SUITE 1604, NEW YORK, NY 10005

AMERIFLEX GROUP SECURITIES, INC.
8475 W. SUNSET ROAD, SUITE 102, LAS VEGAS, NV 89113

AMERIPRISE FINANCIAL SERVICES, LLC
707 2ND AVENUE SOUTH, MINNEAPOLIS, MN 55402
Mailing Address: 5221 AMERIPRISE FINANCIAL CENTER, MINNEAPOLIS, MN 55474

AMERITAS INVESTMENT COMPANY, LLC
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.
680 WASHINGTON BLVD, SUITE 500, STAMFORD, CT 06901

AMPLIFY COMMUNITY INVESTMENT PARTNERS, LLC
1 VANGUARD WAY, DALLAS, TX 75243

AMUNDI DISTRIBUTOR US, 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

ANALYST HUB SECURITIES, LLC
2301 S CAPITAL OF TEXAS HWY, STE. J-101, AUSTIN, TX 78746
Mailing Address: 2301 S. CAPITAL OF TEXAS HWY, STE. J-101, AUSTIN, TX 78746

ANCHIN CAPITAL LLC
3 TIMES SQUARE, 25TH FLOOR, NEW YORK, NY 10036
Mailing Address: 3 TIMES SQUARE, 25TH FLOOR, NEW YORK CITY, NY 10036

ANCHOR BAY SECURITIES, LLC
5780 FLEET STREET, SUITE 308, CARLSBAD, CA 92008

ANCORIS SECURITIES LLC
515 MADISON AVENUE, 22ND FLOOR, NEW YORK, NY 10022

ANDBANC BROKERAGE, LLC
201 S. BISCAYNE BOULEVARD, SUITE 1100, MIAMI, FL 33131

ANDERSON LENEAVE & CO.
6805 CARNEGIE BLVD., SUITE 210, CHARLOTTE, NC 28211

ANDES CAPITAL GROUP, LLC
205 WEST WACKER DRIVE, SUITE 610, CHICAGO, IL 60606

ANDREW GARRETT INC.
52 VANDERBILT AVE, STE  403, NEW YORK, NY 10017
Mailing Address: 52 VANDERBILT AVE, STE 1510, NEW YORK, NY 10017

ANGEL POND CAPITAL LLC
590 MADISON AVE, SUITE 2122, NEW YORK, NY 10022

ANICO FINANCIAL SERVICES, INC.
ONE MOODY PLAZA, SUITE 1463, GALVESTON, TX 77550
Mailing Address: ONE MOODY PLAZA SUITE 1463, GALVESTON, TX 77550

ANKURA CAPITAL ADVISORS, LLC
485 LEXINGTON AVENUE, 10TH FLOOR, NEW YORK, NY 10017

ANNEXUS SECURITIES, LLC
16767 N. PERIMETER DRIVE, SUITE 320, SCOTTSDALE, AZ 85260

ANOVEST FINANCIAL SERVICES, INC.
3225 SHALLOWFORD ROAD, SUITE 220, MARIETTA, GA 30062

ANSLEY SECURITIES LLC
899 LONE PINE ROAD, BLOOMFIELD HILLS, MI 48302

ANTARCTICA ADVISORS, LLC
175 SW 7TH STREET, SUITE 1711, MIAMI, FL 33130
Mailing Address: 175 SW 7TH STREET, SUITE 1711, MIAMI, FL 33130

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

APA SECURITIES, LLC
920 SYLVAN AVENUE, SUITE 240, ENGLEWOOD CLIFFS, NJ 07632

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

APTO PARTNERS, LLC
5 COLD HILL ROAD SOUTH, SUITE 11, MENDHAM, NJ 07945

APW CAPITAL, INC.
100 ENTERPRISE DRIVE, SUITE 504, ROCKAWAY, NJ 07866

AQ TECHNOLOGY PARTNERS LLC
203 REDWOOD SHORES PARKWAY, SUITE 530, REDWOOD CITY, CA 94065

AQR INVESTMENTS, LLC
ONE GREENWICH PLAZA, SUITE 130, GREENWICH, CT 06830

AQUAS FINANCIAL, LLC
6700 COMANCHE TRAIL, AUSTIN, TX 78732

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 COURT CAPITAL, LLC
8000 TOWN CENTRE DRIVE, SUITE 400, BROADVIEW HEIGHTS, OH 44147

ARBOR RESEARCH & TRADING, LLC
22333 CLASSIC COURT, LAKE BARRINGTON, IL 60010

ARBUTUS SECURITIES, LLC
200 PARK AVENUE, 58TH FL, NEW YORK, NY 10166

ARCADIA SECURITIES, LLC
1370 AVENUE OF THE AMERICAS, 29TH FL, NEW YORK, NY 10019

ARCHER DISTRIBUTORS, LLC
6100 CHEVY CHASE DRIVE, 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
1401 NEW YORK AVENUE NW, SUITE 600, WASHINGTON, DC 20005

ARCOLA SECURITIES, INC.
1211 AVENUE OF THE AMERICAS, 41ST FLOOR, NEW YORK, NY 10036

ARCTIC SECURITIES LLC
45 ROCKEFELLER PLAZA, SUITE 1960, NEW YORK, NY 10124
Mailing Address: 45 ROCKEFELLER PLAZA, SUITE 1960, NEW YORK, NY 10111

ARCVIEW CAPITAL, LLC
159 20TH STREET, SUITE 1B-17, BROOKLYN, NY 11232

ARDEA PARTNERS LP
32 NASSAU STREET, SUITE 300, PRINCETON, NJ 08542
Mailing Address: 10 HUDSON YARDS, 40TH FLOOR, NEW YORK, NY 10001

ARDOUR CAPITAL INVESTMENTS, LLC
26 BROADWAY, SUITE 1107, NEW YORK, NY 10004

AREAM ADVISORS LLC
535 MISSION STREET, OFFICE 1720, SAN FRANCISCO, CA 94105

ARENA FINANCIAL SERVICES, LLC
405 LEXINGTON AVENUE, 59TH FLOOR, NEW YORK, NY 10174
Mailing Address: 405 LEXINGTON AVENUE, 59TH FLOOR, NEW YORK, NY 10174

ARENS SECURITIES
199 WATER STREET, 17TH FLOOR, NEW YORK, NY 10038

ARES MANAGEMENT CAPITAL MARKETS LLC
800 CORPORATE POINTE, 3RD FLOOR, CULVER CITY, CA 90230

ARES WEALTH MANAGEMENT SOLUTIONS, LLC
1200 17TH STREET, SUITE #2900, DENVER, CO 80202

ARETE RESEARCH LLC
1309 WALMSLEY AVE, DALLAS, TX 75208

ARETE WEALTH MANAGEMENT, LLC
1115 W FULTON MARKET, 3RD 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
465 BELFIELD AVENUE, SUITE F, STATEN ISLAND, NY 10312

ARK GLOBAL, LLC
125 FROELICH FARMS BLVD., WOODBURY, NY 11797
Mailing Address: 125 FROELICH FARMS BLVD., SUITE 6, WOODBURY, NY 11797

ARKADIOS CAPITAL
2827 PEACHTREE RD NE, SUITE 510, ATLANTA, GA 30305

ARKONIS CAPITAL LLC
7600 JERICHO TURNPIKE, SUITE 304, WOODBURY, NY 11797

ARLINGTON CAPITAL SERVICES, LLC
2000 MORRIS AVENUE, SUITE 1100, BIRMINGHAM, AL 35203

ARLINGTON SECURITIES, INC.
140 MARINE LANE, ST. LOUIS, MO 63146-2236

ARMORY SECURITIES, LLC
200 NORTH PACIFIC COAST HIGHWAY, SUITE 1525, EL SEGUNDO, CA 90245

ARMSTRONG SECURITIES LLC
711 3RD AVENUE, FLOOR 5, NEW YORK, NY 10017
Mailing Address: 53 FOREST AVENUE, 3RD FLOOR, OLD GREENWICH, CT 06870

ARQ SECURITIES
31 OCEAN TERRACE, LONG BRANCH, NJ 07740

ARROW INVESTMENTS, INC.
111 SOUTH RIDGE STREET, SUITE 201, RYE BROOK, NY 10573

ARTEMIS SECURITIES CLEARING, LLC
225 W. WACKER DRIVE, SUITE 1575, CHICAGO, IL 60606

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.
1607 SLEEPY HOLLOW CT, WESTLAKE, TX 76262

ARVEST WEALTH MANAGEMENT
5201 VILLAGE PARKWAY, ROGERS, AR 72758

ASANTE CAPITAL GROUP ADVISORS LLC
4TH FLOOR, 25 OLD BURLINGTON STREET, LONDON, W1S 3AN ENGLAND

ASCENDANT FINANCIAL PARTNERS, LLC
317 AUSTRALIAN DRIVE, ROTONDA WEST, FL 33947

ASCENDIANT CAPITAL MARKETS, LLC
110 FRONT STREET, SUITE 300, JUPITER, FL 33477
Mailing Address: 4 PARK PLAZA, SUITE 1950, IRVINE, CA 92614

ASCENDIANT SECURITIES, LLC
110 FRONT STREET, SUITE 300, JUPITER, FL 33477
Mailing Address: 4 PARK PLAZA, SUITE 1950, IRVINE, CA 92614

ASCENSUS BROKER DEALER SERVICES, LLC
95 WELLS AVENUE, SUITE 160, NEWTON, MA 02459

ASHFORD SECURITIES LLC
14185 DALLAS PARKWAY, SUITE 780, DALLAS, TX 75254

ASHMORE INVESTMENT MANAGEMENT (US) CORPORATION
475 5TH AVENUE, 15TH FLOOR, NEW YORK, NY 10017

ASHTON STEWART & CO., INC.
1395 BRICKELL AVE, SUITE 800, MIAMI, FL 33131

ASHTON THOMAS SECURITIES, LLC
200 CANAL VIEW BLVD., STE. 204, ROCHESTER, NY 14623

ASL CAPITAL MARKETS INC.
600 SUMMER STREET, SUITE 402, STAMFORD, CT 06901

ASPIRATION FINANCIAL LLC
4551 GLENCOE AVENUE, 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

ASSUREDPARTNERS FINANCIAL SERVICES
4600 W. CYPRESS, SUITE 405, TAMPA, FL 33607

ASTOR RIDGE N.A. LLP
60 RUMSON ROAD, RUMSON, NJ 07760

ASTORIA CAPITAL MARKETS, INC.
344A WILLIS AVE, MINEOLA, NY 11501

ASTRIS SECURITIES, LLC
1627 EYE STREET, NW, SUITE 1210, WASHINGTON, DC 20006

ATB CAPITAL MARKETS USA INC.
#410, 585 8TH AVENUE SW, CALGARY, T2P 1G1 CANADA

ATHENE SECURITIES, LLC
7700 MILLS CIVIC PARKWAY, WEST DES MOINES, IA 50266

ATIS, INC
9717 PRAIRIE AVENUE, HIGHLAND, IN 46322

ATLANTIC - PACIFIC CAPITAL, INC.
ONE DOCK STREET, SUITE 404, STAMFORD, CT 06902

ATLAS STRATEGIC ADVISORS, LLC
126 WEST 22 STREET, SUITE 9S, NEW YORK, NY 10011

ATLAS TECHNOLOGY GROUP LLC
530 LYTTON AVE., FLOOR 2, PALO ALTO, CA 94301

ATM EXECUTION LLC
599 LEXINGTON AVE, 21 FLOOR, NEW YORK, NY 10022

ATOMIC BROKERAGE LLC
107 GREENWICH STREET, 21ST FLOOR, NEW YORK, NY 10006

ATOMIC VAULTS SECURITIES, LLC
2121 NORTH CALIFORNIA BLVD., SUITE 290, WALNUT CREEK, CA 94596

ATREYU TRADING
83 MORSE ST, MODULE 4, NORWOOD, MA 02062

AUDACITY CAPITAL PARTNERS LLC
26455 RIVERROCK WAY, SANTA CLARITA, CA 91350
Mailing Address: 10866 WILSHIRE BLVD, 4TH FLOOR, LOS ANGELES, CA 90024

AUERBACH GRAYSON & COMPANY LLC
20W 55TH STREET, NEW YORK, NY 10019
Mailing Address: 20W 55TH STREET, NEW YORK, NY 10019

AUFHAUSER SECURITIES, INC.
112 WEST 56TH STREET, NEW YORK, NY 10019-3841

AUGEO ADVISORS, LLC
10940 WILSHIRE BLVD., 16TH FLOOR, LOS ANGELES, CA 90024

AUGMENT CAPITAL, LLC
1204 SAN ANTONIO STREET, SECOND FLOOR, AUSTIN, TX 78701

AUGUSTAR DISTRIBUTORS, INC.
ONE FINANCIAL WAY, CINCINNATI, OH 45242
Mailing Address: P.O. BOX 237, CINCINNATI, OH 45201-0371

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

AUSTIN GROWTH CAPITAL, LLC
1221 S MOPAC EXPY, SUITE 260, AUSTIN, TX 78746

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

AVALON SECURITIES, LTD.
530 FIFTH AVENUE, 9TH FLOOR, NEW YORK, NY 10036
Mailing Address: 276 WATER STREET, SUITE 650, NEW YORK, NY 10038

AVANT-GARDE TRADING SECURITIES
230 W. MONROE, SUITE 845, CHICAGO, IL 60606

AVANTAX INVESTMENT SERVICES, INC.
3200 OLYMPUS BLVD, SUITE 100, DALLAS, TX 75019

AVATAR SECURITIES, LLC
148 MADISON AVE, 5TH FLOOR, NEW YORK, NY 10016

AVENDUS CAPITAL, INC.
445 PARK AVENUE 19TH FLOOR, NEW YORK, NY 10022

AVENTURA SECURITIES, LLC
5550 GLADES ROAD, SUITE 535, BOCA RATON, FL 33431

AVENUE SECURITIES LLC
2601 S BAYSHORE DRIVE SUITE 1100, MIAMI, FL 33133

AVID CAPITAL ADVISORS LLC
1427 MOUNTAIN MEADOW, MCCALL, ID 83638

AVIDITI FINANCIAL, LLC
8117 PRESTON ROAD, SUITE 450, DALLAS, TX 75225

AVIOR CAPITAL MARKETS US, LLC
140 WEST STREET SANDTON, 11TH FLOOR, JOHANNESBURG, 2196 SOUTH AFRICA
Mailing Address: 630 FIFTH AVENUE, 45 ROCKEFELLER PLAZA SUITE 2335, NEW YORK, NY 10111

AVISEN WEALTH MANAGEMENT, 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
40 BURTON HILLLS BLVD., SUITE 450, NASHVILLE, TN 37215
Mailing Address: 40 BURTON HILLS BLVD., SUITE 450, NASHVILLE, TN 37215

AW SECURITIES
340 PALLADIO PKWY, SUITE 501, FOLSOM, CA 95630

AXCELUS FINANCIAL DISTRIBUTION COMPANY
1650 MARKET STREET, 8TH FLOOR, PHILADELPHIA, PA 19103

AXIA CAPITAL MARKETS, LLC
555 MADISON AVENUE, SUITE 11A, NEW YORK, NY 10022

AXIOM CAPITAL MANAGEMENT, INC.
350 FIFTH AVENUE, SUITE 6740, NEW YORK, NY 10118

AXIS CAPITAL USA, LLC
405 LEXINGTON AVENUE, SUITE 714, NEW YORK, NY 10174

AXOS CLEARING LLC
15950 WEST DODGE ROAD, SUITE 300, OMAHA, NE 68118

AXOS INVEST LLC
9205 W RUSSELL ROAD, SUITE 400, LAS VEGAS, NV 89148

Last updated: 3/13/24