Skip to main content

For updates and guidance related to COVID-19 / Coronavirus, click here.

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.

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

ALBRIGHT SECURITIES LLC
601 13TH STREET, NW, SUITE 1000 SOUTH, WASHINGTON, DC 20005

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

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

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
590 MADISON AVENUE, NINTH FLOOR, NEW YORK, NY 10022

CAMBRIDGE INTERNATIONAL PARTNERS LLC
780 THIRD AVENUE - 7TH 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

CLEAR CAPITAL SECURITIES LP
1801 CENTURY PARK EAST, SUITE 450, LOS ANGELES, CA 90067

COHNREZNICK CAPITAL
420 LEXINGTON AVENUE, SUITE 2533, NEW YORK, NY 10170

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
819 BROAD STREET, CHATTANOOGA, TN 37402

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

EDGE ADVISORS LLC
325 CHESTNUT STREET, SUITE 831, PHILADELPHIA, PA 19106

EGWELE & COMPANY
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

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

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

HERITAGE CAPITAL GROUP, INC.
4417 BEACH BOULEVARD, SUITE 302, JACKSONVILLE, FL 32207

INCLINE ADVISORS
655 TYNER WAY, INCLINE VILLAGE, NV 89451

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

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

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
29 LONDONDERRY ROAD, WINDHAM, NH 03087

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
12100 WILSHIRE BLVD., SUITE 150, LOS ANGELES, CA 90025

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

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

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

PORTICO CAPITAL SECURITIES LLC
39 LEWIS STREET, 3RD FLOOR, GREENWICH, CT 06830

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

QUANTEDGE CAPITAL USA INC.
540 MADISON AVENUE, SUITE 4B, NEW YORK, NY 10022

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
208 PONCE DE LEON AVE., SUITE 1030, SAN JUAN, PR 00918

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

STAR AMERICA CAPITAL ADVISORS, LLC
390 NORTH BROADWAY, 3RD FLOOR, JERICHO, NY 11753

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

STRATHMORE GROUP LLC
92 HORATIO STREET, SUITE 4L, NEW YORK, NY 10014-1663

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

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

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

VERIT ADVISORS CAPITAL MARKETS LLC
181 W. MADISON STREET, 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

WIND RIVER CAPITAL LLC
610 LODGE COTTAGE DRIVE, JACKSON, WY 83001-2626

Last updated: 9/22/2020