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 U.S. LIMITED
10-12 BLANDFORD STREET, LONDON W1U 4AZ UNITED KINGDOM
ACQUEST SECURITIES LLC
3039 ELLA LEE LANE, HOUSTON, TX 77019
ALBRIGHT SECURITIES LLC
1101 WILSON BLVD., 6TH FLOOR, ARLINGTON, VA 22209
ARTEMIS SECURITIES CLEARING, LLC
225 W. WACKER DRIVE, SUITE 1575, CHICAGO, IL 60606
AUSTIN GROWTH CAPITAL, LLC
1221 S MOPAC EXPY, SUITE 260, AUSTIN, TX 78746
BREVAN HOWARD US LLC
1345 AVENUE OF THE AMERICAS, 20TH FLOOR, NEW YORK, NY 10105
CAMBRIDGE INTERNATIONAL PARTNERS LLC
2187 ATLANTIC STREET, SUITE 703, STAMFORD, CT 06902
COLONNADE ISLAND LLC
7000 BAHIA BEACH BLVD., LAS VENTANAS II-314, RIO GRANDE, PR 00745-2900
Mailing Address: 7000 BAHIA BEACH BLVD., APT. 314, RIO GRANDE, PR 00745-2900
COLONNADE SECURITIES LLC
600 CLEVELAND STREET, SUITE 272, CLEARWATER, FL 33755
D.E. SHAW SECURITIES, L.L.C.
TWO MANHATTAN WEST, 375 NINTH AVENUE, 52ND FLOOR, NEW YORK, NY 10001
EGWELE SECURITIES LLC
155 NORTH WACKER DRIVE, SUITE 4250, CHICAGO, IL 60606
EQUITEQ SECURITIES LLC
460 PARK AVENUE SOUTH, SUITE 1102, NEW YORK, NY 10016
EUROSCOPE CAPITAL, LLC
9036 JACKSON LN, GREAT FALLS, VA 22066
FENNEBRESQUE & CO., LLC
2025 CASSAMIA PLACE, CHARLOTTE, NC 28211
FORTRESS CAPITAL FORMATION LLC
1345 AVENUE OF THE AMERICAS, 45TH FLOOR, NEW YORK, NY 10105
FREDERICKS MICHAEL SECURITIES, INC.
430 PARK AVENUE, 8TH FLOOR, NEW YORK, NY 10022
FUNDAMENTAL SECURITIES
777 BRICKELL AVENUE, SUITE 547, MIAMI, FL 33131
GPP SECURITIES, LLC
165 MASON STREET, 3RD FLOOR, GREENWICH, CT 06830
GQR SECURITIES LLC
500 W PUTNAM AVE, SUITE 400, GREENWICH, CT 06830
GRAFINE CAPITAL PARTNERS LLC
654 MADISON AVENUE, SUITE 1201, NEW YORK, NY 10065
HENRIES SECURITIES
1667 SAINT MARKS AVENUE, BROOKLYN, NY 11233
HERITAGE CAPITAL GROUP, INC.
5210 BELFORT RD., # 300, JACKSONVILLE, FL 32256
HIGHWOOD SECURITIES LLC
62 OAK HILL DRIVE, OYSTER BAY, NY 11771
HUDSONWEST LLC
5038 E 3RD AVE, DENVER, CO 80220
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
3013 YAMATO ROAD SUITE B12-339, BOCA RATON, FL 33434
IWPF SECURITIES LLC
2222 PONCE DE LEON BLVD, SUITE 5-113, CORAL GABLES, FL 33134
J.C. FLOWERS SECURITIES CO. LLC
1301 AVENUE OF THE AMERICAS, 16TH FLOOR, NEW YORK, NY 10019
JAVCAP SECURITIES LLC
420 LEXINGTON AVENUE, SUITE 1810, NEW YORK, NY 10170
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
KEYSTONE GLOBAL
390 NORTH BROADWAY, 3RD FLOOR, JERICHO, NY 11753
KOREFUSION CAPITAL LLC
1467 FUNSTON STREET, SAN FRANCISCO, CA 94122
M.J. GROSSNICKLE, LLC
157 MAIN STREET, DAMARISCOTTA, ME 04543
Mailing Address: PO BOX 1141, DAMARISCOTTA, ME 04543
MERIDIAN INVESTMENTS, INC.
8065 LEESBURG PIKE, 504, VIENNA, VA 22182
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
PAF SECURITIES, LLC
2601 S. BAYSHORE DRIVE, SUITE 1130, MIAMI, FL 33133
Mailing Address: 2601 S.. BAYSHORE DRIVE, SUITE 1130, MIAMI, FL 33133
PELOTON SECURITIES LLC
117 BOW STREET, UNIT #1AS, 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, 8TH FLOOR, NEW YORK, NY 10065
ROBUS CAPITAL PARTNERS LLC
301 RECINTO SUR STREET, STE 202, SAN JUAN, PR 00901
ROCKDALE SECURITIES, LLC
270 SOUTH MAIN STREET, SUITE 112-F, BOUNTIFUL, UT 84010
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
263 LITTLE PLAINS ROAD, SOUTHAMPTON, NY 11968-4946
STRAUS CAPITAL, LLC
50 PRINCETON-HIGHTSTOWN ROAD, (SUITE J), PRINCETON JUNCTION, NJ 08550
TAYLOR GREY, INC.
3158 SCHOLARSHIP, NEWPORT BEACH, CA 92612
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.
1460 BROADWAY, SUITE 8031, NEW YORK, NY 10036
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
WITHUM CAPITAL, LLC
200 JEFFERSON PARK, SUITE 400, WHIPPANY, NJ 07981
ZINK DISTRIBUTION SOLUTIONS
2937 SW 27TH AVENUE, SUITE 302/303, COCONUT GROVE, FL 33133
Last updated: 6/13/25