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
ASSUREDPARTNERS FINANCIAL SERVICES
4600 W. CYPRESS, SUITE 405, TAMPA, FL 33607
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 - 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
COHNREZNICK CAPITAL
420 LEXINGTON AVENUE, SUITE 2533, NEW YORK, NY 10170
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
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 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
100 CUMMINGS CENTER, SUITE 323A, BEVERLY, MA 01915
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
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
3775 NW COVENTRY LANE, BOCA RATON, FL 33496
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
29 LONDONDERRY ROAD, WINDHAM, NH 03087
KCR CAPITAL, LLC
1732 WAZEE STREET, SUITE 202, DENVER, CO 80202
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
12100 WILSHIRE BLVD., 8TH FLOOR, 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
PELOTON SECURITIES LLC
10 COMMERCIAL ALLEY, SUITE 4, PORTSMOUTH, NH 03801
PGB SECURITIES LLC
500 HILLS DRIVE, BEDMINSTER, NJ 07921
PICKERING ENERGY PARTNERS BD LP
3200 KIRBY DRIVE, SUITE 800, HOUSTON, TX 77098
PORTICO CAPITAL SECURITIES LLC
35 MASON STREET, 4TH 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
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
VICCAR LLC
600 GRASSMERE AVENUE, INTERLAKEN, NJ 07712-4317
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
ZATARA CAPITAL SECURITIES L.P.
1801 CENTURY PARK EAST, 24TH FLOOR, LOS ANGELES, CA 90067
Last updated: 5/17/2021