Capital Acquisition Brokers We Regulate

Capital Acquisition Brokers (CABs) are firms that engage in a limited range of activities, which can include advising companies and private equity funds on capital raising and corporate restructuring and acting as placement agents for the sale of unregistered securities to institutional investors under limited conditions. CABs are not permitted, among other things, to carry or maintain customer accounts, handle customers’ funds or securities, accept customers’ trading orders, or engage in proprietary trading or market-making. FINRA has established a separate, narrower set of rules that governs firms that meet the CAB definition and elect to be so governed. Those firms are listed below. CABs are also included in the Firms We Regulate page list because CABs are still registered broker-dealers under federal securities laws and SEC rules.

ACANTHUS
10-12 BLANDFORD STREET, LONDON W1U 4AZ UNITED KINGDOM

ACQUEST SECURITIES LLC
3039 ELLA LEE LANE, HOUSTON, TX 77019
Mailing Address: P.O. BOX 131605, HOUSTON, TX 77219

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

AMERICAN DISCOVERY ADVISORS, LLC
11150 SANTA MONICA BLVD, STE 1425, LOS ANGELES, CA 90025

APPLE LANE GROUP LLC
2393 MAIN STREET, LANCASTER, MA 01523

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

AUSTIN GROWTH CAPITAL, LLC
706 GUADALUPE STREET, AUSTIN, TX 78701

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

BILLOW BUTLER & COMPANY, L.L.C.
225 W. WACKER DRIVE, SUITE 1575, CHICAGO, IL 60606

BREVAN HOWARD US LLC
1345 AVENUE OF THE AMERICAS, 28TH FLOOR, NEW YORK, NY 10105

CAMBRIDGE INTERNATIONAL PARTNERS LLC
780 THIRD AVENUE - 11TH FLOOR, NEW YORK, NY 10017-2024

CAPITALA SECURITIES, LLC
4201 CONGRESS STREET, SUITE 360C, CHARLOTTE, NC 28209

CASCADIA CAPITAL, LLC
1000 2ND AVENUE, SUITE 1200, SEATTLE, WA 98104

CEIBA FINANCIAL, LLC
1831 LEXINGTON DR., FULLERTON, CA 92835

CONNAUGHT (U.S.) LLC
152-156 GREAT PORTLAND STREET, LONDON W1W6AJ UNITED KINGDOM

COVINGTON ASSOCIATES, LLC
99 SUMMER STREET, 2ND FLOOR, BOSTON, MA 02110

D.E. SHAW SECURITIES, L.L.C.
1166 AVENUE OF THE AMERICAS, 9TH FLOOR, NEW YORK, NY 10036

DCF, LLC
629 MARKET STREET, SUITE 120, CHATTANOOGA, TN 37402

EASTDIL SECURED ADVISORS LLC
100 WILSHIRE BLVD, SUITE 1500, SANTA MONICA, CA 90401

EGWELE SECURITIES LLC
155 NORTH WACKER DRIVE, SUITE 4250, CHICAGO, IL 60606

EQUITEQ SECURITIES LLC
122 EAST 42ND STREET, SUITE 3500, NEW YORK, NY 10168

FENNEBRESQUE & CO., LLC
2025 CASSAMIA PLACE, CHARLOTTE, NC 28211

FINTAG CAPITAL MARKETS, LLC
101 SOUTH TRYON STREET, SUITE 2700, CHARLOTTE, NC 28280

FIRSTEUROPE, LLC
20 E. 84TH STREET, APT 2-B, NEW YORK, NY 10028

FORTRESS CAPITAL FORMATION LLC
1345 AVENUE OF THE AMERICAS, 46TH FLOOR, NEW YORK, NY 10105

FREDERICKS MICHAEL SECURITIES, INC.
430 PARK AVENUE, 8TH FLOOR, NEW YORK, NY 10022

FUNDOPOLIS SECURITIES, LLC
10 CONVERSE PLACE, FLOOR 2- AD MELIORA SUITE, WINCHESTER, MA 01890

GALENA CAPITAL
800 W MAIN STREET, SUITE 1460, BOISE, ID 83702
Mailing Address: 618 E HIGHLAND VIEW DRIVE, BOISE, ID 83702

GQR SECURITIES LLC
500 W PUTNAM AVE, SUITE 400, GREENWICH, CT 06830

GRAFINE CAPITAL PARTNERS LLC
667 MADISON AVENUE, 11TH FLOOR, NEW YORK, NY 10065

HENRIES & CO
1667 SAINT MARKS AVENUE, BROOKLYN, NY 11233

HERITAGE CAPITAL GROUP, INC.
5210 BELFORT RD., # 300, JACKSONVILLE, FL 32256

HUDSONWEST LLC
255 SAINT PAUL ST, #207, DENVER, CO 80206

INCLINE ADVISORS
655 TYNER WAY, INCLINE VILLAGE, NV 89451

INFINITY CAPITAL SECURITIES, LLC
201 NW 10TH STREET, SUITE 200, OKLAHOMA CITY, OK 73103

INNER CIRCLE SPORTS LLC
6501 CONGRESS AVENUE, 6501, BOCA RATON, FL 33487
Mailing Address: 6501 CONGRESS AVENUE, BOCA RATON, FL 33487

IVY HILL
267 IVY HILL ROAD, RIDGEFIELD, CT 06877

J.C. FLOWERS SECURITIES CO. LLC
767 FIFTH AVENUE, 23RD FLOOR, NEW YORK, NY 10153

JEGI LLC
150 EAST 52ND STREET-18TH FLOOR, NEW YORK, NY 10022

JLT CAPITAL PARTNERS LLC
3266 QUILCENE LANE, NAPLES, FL 34114

KCR CAPITAL, LLC
LAKEWOOD-GREEN MOIUNTAIN BUILDING, 12340 WEST ALAMEDA PARKWAY, SUITE 211, LAKEWOOD, CO 80228
Mailing Address: LAKEWOOD-GREEN MOUNTAIN BUILDING, 12340 WEST ALAMEDA PARKWAY, SUITE 211, LAKEWOOD, CO 80228

KOREFUSION CAPITAL LLC
1467 FUNSTON STREET, SAN FRANCISCO, CA 94122

KSG ADVISORS, LLC
390 NORTH BROADWAY, 3RD FLOOR, JERICHO, NY 11753

LIBERTY GLOBAL CAPITAL SERVICES, LLC
131 WINDSOR ROAD, WABAN, MA 02468

LONG NECK SERVICES LLC
1025 BOSTON POST ROAD, SUITE 200, DARIEN, CT 06820

MERIDIAN INVESTMENTS, INC.
35 BRAINTREE HILL OFFICE PARK, SUITE 301, BRAINTREE, MA 02184

MMX GLOBAL PARTNERS, LLC
328 BARRY AVE S, SUITE 205, WAYZATA, MN 55391

MOMENTUM CAPITAL MARKETS, LLC
101 SECOND STREET, SUITE 1275, SAN FRANCISCO, CA 94105

MONTMINY SECURITIES, LLC
201 SANTA MONICA BLVD, SUITE 480, SANTA MONICA, CA 90401

MORGAN PARTNERS LLC
100 WORCESTER STREET, SUITE 202, WELLESLEY HILLS, MA 02481

NEW CENTURY CAPITAL PARTNERS, INC.
1707 GLENDON AVENUE, SUITE 3, LOS ANGELES, CA 90024
Mailing Address: 1112 MONTANA AVENUE, STE 465, SANTA MONICA, CA 90403

OCTAGON CAPITAL GROUP, LLC
21 WOODFIELD DRIVE, SHORT HILLS, NJ 07078-1609

PAF SECURITIES, LLC
601 BRICKELL KEY DRIVE, SUITE 604, MIAMI, FL 33131

PBMARES CAPITAL MARKETS, LLC
3957 WESTERRE PARKWAY, SUITE 220, RICHMOND, VA 23233
Mailing Address: 3957 WESTERRE PARKWAY, SUITE 200, RICHMOND, VA 23233

PELOTON SECURITIES LLC
10 COMMERCIAL ALLEY, SUITE 4, PORTSMOUTH, NH 03801

PGB SECURITIES LLC
500 HILLS DRIVE, BEDMINSTER, NJ 07921

PPHB SECURITIES LP
1885 ST. JAMES PLACE, SUITE 900, HOUSTON, TX 77056

REAGAN SECURITIES, INC.
3495 PIEDMONT ROAD, NE, BUILDING 10, SUITE 920, ATLANTA, GA 30305

REDBIRD BD LLC
667 MADISON AVE, 16TH FLOOR, NEW YORK, NY 10065

ROBUS CAPITAL PARTNERS LLC
301 RECINTO SUR STREET STE 204, SAN JUAN, PR 00901

ROCKDALE SECURITIES, LLC
1123 BROADWAY, SUITE 1200, NEW YORK, NY 10010

ROW ASSOCIATES, LLC
1222 16TH AVENUE SOUTH, SUITE 21, NASHVILLE, TN 37212

SDR CAPITAL MARKETS, INC.
5613 DTC PARKWAY, SUITE 830, GREENWOOD VILLAGE, CO 80111

SHANNON ADVISORS LLC
272 E. DEERPATH ROAD, SUITE 254, LAKE FOREST, IL 60045-5328

STONINGTON DRIVE SECURITIES LLC
51 JFK PARKWAY FIRST FLOOR WEST, SHORT HILLS, NJ 07078

STRATHMORE GROUP LLC
11 CEDARBERRY LANE, SOUTHAMPTON, NY 11968-1515

STRAUS CAPITAL, LLC
50 PRINCETON-HIGHTSTOWN ROAD, (SUITE J), PRINCETON JUNCTION, NJ 08550

TAYLOR GREY, INC.
1460 N. DOHENY DRIVE, LOS ANGELES, CA 90069

TELEGRAPH HILL BD LLC
535 MISSION STREET, 14TH FLOOR, SAN FRANCISCO, CA 94105

TFA SECURITIES, INC.
201 CONTINENTAL BLVD., SUITE 110, EL SEGUNDO, CA 90245

THE FORBES SECURITIES GROUP LLC
6400 S. FIDDLERS GREEN CIRCLE, SUITE 850, GREENWOOD VILLAGE, CO 80111

THE GROWTH STAGE INC.
2911 TURTLE CREEK BOULEVARD, SUITE 300, DALLAS, TX 75219

THE TRANSPORTATION GROUP (SECURITIES) LIMITED
122 EAST 42ND STREET SUITE 2018, NEW YORK,, NY 10168

THREADSTONE CAPITAL, LLC
477 MADISON AVE., 18TH FLOOR, NEW YORK, NY 10022

VERIT ADVISORS CAPITAL MARKETS LLC
181 W. MADISON STREET, SUITE 3745, CHICAGO, IL 60602

W G SECURITIES, LLC
1764 LITCHFIELD TURNPIKE, SUITE 250, WOODBRIDGE, CT 06525

WATERVIEW SECURITIES, INC.
12770 COIT ROAD, SUITE 1218, DALLAS, TX 75251

ZATARA CAPITAL SECURITIES L.P.
3 CORPORATE PLAZA DRIVE, SUITE 101, NEWPORT BEACH, CA 92660

Last updated: 5/16/2022