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Broker-Dealer Firms We Regulate - U

# 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

U. S. BOSTON CAPITAL CORPORATION
LINCOLN NORTH, LINCOLN, MA 01773
Mailing Address: 55 OLD BEDFORD ROAD, SUITE 202, LINCOLN, MA 01773

U.S. BANCORP INVESTMENTS, INC.
60 LIVINGSTON AVENUE, EP-MN-WN3C, SAINT PAUL, MN 55107
Mailing Address: 60 LIVINGSTON AVENUE, EP-MN-WN3C, SAINT PAUL, MN 55107

U.S. BROKERAGE, INC.
17 E KOSSUTH ST, COLUMBUS, OH 43206

U.S. INVESTORS, INC.
4601 N FAIRFAX DR, SUITE 1200, ARLINGTON, VA 22203
Mailing Address: P.O. BOX 1168, STAUNTON, VA 24402-1168

U.S. SECURITIES, INTL. CORP.
120 BROADWAY, SUITE 1017, NEW YORK, NY 10271
Mailing Address: 120 BROADWAY, NEW YORK, NY 10271

U.S. STERLING SECURITIES, INC.
1393 VETERANS MEMORIAL HIGHWAY UNIT 412N, HAUPPAUGE, NY 11788

UBS ASSET MANAGEMENT (US) INC.
787 7TH AVENUE, NEW YORK, NY 10019

UBS FINANCIAL SERVICES INC.
1200 HARBOR BOULEVARD, WEEHAWKEN, NJ 07086
Mailing Address: 315 DEADERICK STREET, 3RD FL, COMPLIANCE DEPARTMENT, NASHVILLE, TN 37238

UBS FUND SERVICES (USA) LLC
10 STATE HOUSE SQUARE, 15TH FLOOR, HARTFORD, CT 06103-3604

UBS SECURITIES LLC
1285 AVENUE OF THE AMERICAS, NEW YORK, NY 10019
Mailing Address: 600 WASHINGTON BLVD, 10TH FLOOR, STAMFORD, CT 06901

UCAP SECURITIES LLC
1221 BRICKELL AVENUE, SUITE 1070, MIAMI, FL 33131
Mailing Address: 1221 BRICKELL AVENUE, SUITE 2040, MIAMI, FL 33131

UHLMANN PRICE SECURITIES, LLC
303 WEST MADISON ST, SUITE 1700, CHICAGO, IL 60606

UHY ADVISORS CORPORATE FINANCE, LLC
27725 STANSBURY BLVD, SUITE 385, FARMINGTON HILLS, MI 48334

ULLICO INVESTMENT COMPANY, LLC
8403 COLESVILLE RD., 13 FLOOR, SILVER SPRING, MD 20910

ULTIMUS FUND DISTRIBUTORS, LLC
225 PICTORIA DRIVE, SUITE 450, CINCINNATI, OH 45246

ULTRAVIOLET SECURITIES, LLC
151 BODMAN PLACE, SUITE 301, RED BANK, NJ 07701

UMB DISTRIBUTION SERVICES, LLC
235 W. GALENA STREET, MILWAUKEE, WI 53212

UMB FINANCIAL SERVICES, INC.
928 GRAND AVENUE, KANSAS CITY, MO 64106

UMERGENCE LLC
1006 S. MAIN ST., PLANTSVILLE, CT 06479
Mailing Address: 1224 MILL STREET, BUILDING B, EAST BERLIN, CT 06023

UNEST SECURITIES, LLC
5161 LANKERSHIM BLVD., #250, NORTH HOLLYWOOD, CA 91601

UNICREDIT CAPITAL MARKETS LLC
15O EAST 42ND STREET, NEW YORK, NY 10017-4679
Mailing Address: 150 EAST 42ND STREET, NEW YORK, NY 10017-4679

UNION CAPITAL COMPANY
6407 E. GRANT ROAD, TUCSON, AZ 85715

UNION SQUARE ADVISORS LLC
1 EMBARCADERO CENTER, SUITE 950, SAN FRANCISCO, CA 94111

UNIONBANC INVESTMENT SERVICES, LLC
800 N BRAND BLVD., 16TH FLOOR, GLENDALE, CA 91203

UNITED BROKERAGE SERVICES, INC
514 MARKET STREET, PARKERSBURG, WV 26101
Mailing Address: P. O. BOX 1508, PARKERSBURG, WV 26102-1508

UNITED CAPITAL MARKETS, INC.
2665 S. BAYSHORE DR., PHE 1, MIAMI, FL 33133

UNITED FIRST PARTNERS LLC
3 COLUMBUS CIRCLE, SUITE 1730, NEW YORK, NY 10019

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
7333 E. DOUBLETREE RANCH ROAD #120, SCOTTSDALE, AZ 85258-2023
Mailing Address: P.O. BOX 5750, SCOTTSDALE, AZ 85261-5750

UNITED SECURITIES
327 W 200 S, SALT LAKE CITY, UT 84101
Mailing Address: 1263 E 4TH AVE, SALT LAKE CITY, UT 84103

UNIVERSAL FINANCIAL SERVICES INC.
CALLE 1 LOTE 10, METRO OFFICE PARK, GUAYNABO, PR 00968
Mailing Address: PO BOX 2171, SAN JUAN, PR 00922-2171

UNIVEST SECURITIES, LLC
75 ROCKEFELLER PLAZA, SUITE 1838, NEW YORK, NY 10019
Mailing Address: 8761 THE ESPLANADE, SUITE 30, ORLANDO, FL 32836

UNLU SECURITIES INC.
250 PARK AVENUE, SUITE 7077, NEW YORK, NY 10177

UOB GLOBAL EQUITY SALES LLC
592 FIFTH AVENUE, SUITE 602, NEW YORK, NY 10036

UOB KAY HIAN (U.S.) INC.
3207 DOVETAIL MEWS, MISSISSAUGA, ONTARIO, L5L 5K4 CANADA
Mailing Address: PO BOX 26045 CHURCHILL, MISSISSAUGA, ONTARIO, L5L 5W7 CANADA

UPMARKET SECURITIES LLC
900 E. HAMILTON AVENUE, SUITE 100 #206, CAMPBELL, CA 95008

UPSTOX USA INC.
647 WINSTON AVENUE, SAN MARINO, CA 91108
Mailing Address: 1251 6TH AVENUE, FLOOR 17, C/O GEENA CAPORALE, NEW YORK, NY 10020

US ARMA PARTNERS LP
810 SEVENTH AVENUE, SUITE 2005, NEW YORK, NY 10019

US CAPITAL GLOBAL SECURITIES, LLC
1 FERRY BUILDING, SUITE 201, SAN FRANCISCO, CA 94111

US TIGER SECURITIES, INC.
437 MADISON AVE, 27TH FLOOR, NEW YORK, NY 10022

USA FINANCIAL SECURITIES CORPORATION
6020 EAST FULTON, ADA, MI 49301

USAA INVESTMENT SERVICES COMPANY
9800 FREDERICKSBURG ROAD, SAN ANTONIO, TX 78288-0227

USCA SECURITIES LLC
4444 WESTHEIMER, SUITE G500, HOUSTON, TX 77027

USI SECURITIES, INC.
95 GLASTONBURY BLVD., SUITE 102, GLASTONBURY, CT 06033

USP SECURITIES CORPORATION
14201 DALLAS PARKWAY, INTERNATIONAL PLAZA, DALLAS, TX 75254

USQ SECURITIES LLC
403 E. 90TH STREET, #1RW, NEW YORK, NY 10128

USRP EQUITIES, LLC
99 WOOD AVENUE SOUTH, ISELIN, NJ 08830
Mailing Address: 99 WOOD AVENUE SOUTH, ISELIN, NJ 08830

USTOCKTRADE SECURITIES, INC.
275 GROVE STREET, SUITE 2-400, NEWTON, MA 02466

Last updated: 6/21/22