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Changes to List of Broker-Dealer Firms We Regulate

For the period of 12/1/2023 through 12/31/2023

A

ALIRA HEALTH
ALIRA HEALTH
NAME CHANGED TO: ALIRA HEALTH TRANSACTION SERVICES, LLC

ALIRA HEALTH
ALIRA HEALTH TRANSACTION SERVICES, LLC
NEW NAME OF: ALIRA HEALTH

AMERICAN EQUITY
AMERICAN EQUITY INVESTMENT CORPORATION
NEW ALBANY, IN, UNITED STATES
RESIGNED

ARQUE CAPITAL, L
ARQUE CAPITAL, LTD.
SCOTTSDALE, AZ, UNITED STATES
CANCELLED FOR FAILURE TO PAY OUTSTANDING DUES, FEES, AND OTHER CHARGES

AXIO FINANCIAL L
AXIO FINANCIAL LLC
NAME CHANGED TO: ICAPITAL MARKETS LLC

AXIO FINANCIAL L
ICAPITAL MARKETS LLC
NEW NAME OF: AXIO FINANCIAL LLC

B

BENCHMARK INVEST
BENCHMARK INVESTMENTS, LLC
NAME CHANGED TO: EF HUTTON LLC

BENCHMARK INVEST
EF HUTTON LLC
NEW NAME OF: BENCHMARK INVESTMENTS, LLC

BERMAN CAPITAL,
BERMAN CAPITAL, LLC
SAN FRANCISCO, CA, UNITED STATES
RESIGNED

BODINGTON & COMP
BODINGTON & COMPANY
SAN FRANCISCO, CA, UNITED STATES
RESIGNED

C

CALLAHAN FINANCI
CALLAHAN FINANCIAL SERVICES, INC.
WASHINGTON, DC, UNITED STATES
RESIGNED

CARTA SECURITIES
CARTA SECURITIES, LLC
SAN FRANCISCO, CA, UNITED STATES
RESIGNED

COBURN GROUP, LL
COBURN GROUP, LLC
CHICAGO, IL, USA
RESIGNED

COMMENDA SECURIT
COMMENDA SECURITIES, LLC
ZIONSVILLE, IN, USA
RESIGNED

E

EAGLE POINT SECU
EAGLE POINT SECURITIES LLC
600 STEAMBOAT ROAD, SUITE 202, GREENWICH, CT 06830
ADMITTED

ELECTRONIC TRANS
ELECTRONIC TRANSACTION CLEARING, INC.
DALLAS, TX, USA
RESIGNED

EMBED CLEARING L
EMBED CLEARING LLC
VANCOUVER, WA, UNITED STATES
RESIGNED

F

FIRST REPUBLIC S
FIRST REPUBLIC SECURITIES COMPANY, LLC
SAN FRANCISCO, CA, USA
RESIGNED

G

GELBAND & CO., I
GELBAND & CO., INC.
EAST HAMPTON, NY, UNITED STATES
RESIGNED

GENESIS GLOBAL T
GENESIS GLOBAL TRADING, INC
NEW YORK, NY, USA
RESIGNED

GORDIAN INVESTME
GORDIAN INVESTMENTS, LLC
OREGON HOUSE, CA, U.S.A.
RESIGNED

GUOTAI JUNAN SEC
GUOTAI JUNAN SECURITIES USA, INC.
NEW YORK, NY
RESIGNED

H

HOVEY CAPITAL PA
HOVEY CAPITAL PARTNERS LLC
1900 GLADES ROAD, SUITE 500-65 4TH FLOOR, BOCA RATON, FL 33431
MAILING ADDRESS: 1900 GLADES ROAD, SUITE 500-65, BOCA RATON, FL 33431
ADMITTED

J

JAHANI SECURITIE
JAHANI SECURITIES INC.
641 LEXINGTON AVENUE, 15TH FLOOR, NEW YORK, NY 10018
MAILING ADDRESS: 641 LEXINGTON AVENUE, 15TH FLOOR, NEW YORK, NY 10022
ADMITTED

K

KATALYST SECURIT
KATALYST SECURITIES LLC
NEW YORK, NY, USA
RESIGNED

KENNETH, JEROME
KENNETH, JEROME & CO.,INC.
FLORHAM PK, NJ, UNITED STATES
RESIGNED

KNOWN GROWTH LLC
KNOWN GROWTH LLC
31 HUDSON YARDS, NEW YORK, NY 10001
MAILING ADDRESS: 251 WEST 30TH STREET, 5TH FLOOR, NEW YORK, NY 10001
ADMITTED

L

LUMOS PARTNERS,
LUMOS PARTNERS, LLC
PLEASANTON, CA, USA
RESIGNED

M

MADISON MARQUETT
MADISON MARQUETTE SECURITIES LLC
BOSTON, MA, USA
RESIGNED

MAREX CAPITAL MA
MAREX CAPITAL MARKETS INC.
COWEN AND COMPANY
COWEN AND COMPANY, LLC
COWEN & CO., LLC
SG COWEN & CO., LLC
SG COWEN SECURITIES CORPORATION
SOCIETE GENERALE SECURITIES CORPORATION
SOGEN SECURITIES CORPORATION
HUDSON SECURITIES, INC.

MODERN PRIVATE E
MODERN PRIVATE EQUITY PARTNERS, LLC
2847 LONG BRANCH ROAD, SPENCER, TN 38585
ADMITTED

P

PARK CITY CAPITA
PARK CITY CAPITAL, INC.
NAME CHANGED TO: HCC SECURITIES GROUP, INC

PARK CITY CAPITA
HCC SECURITIES GROUP, INC
NEW NAME OF: PARK CITY CAPITAL, INC.

PENN SECURITIES
PENN SECURITIES LLC
SEATTLE, WA, UNITED STATES
RESIGNED

R

RM SECURITIES, L
RM SECURITIES, LLC
100 S CLINTON AVENUE, #2432, ROCHESTER, NY 14604
MAILING ADDRESS: 10250 CONSTELLATION BLVD, SUITE 100, LOS ANGELES, CA 90067
ADMITTED

S

SAGEPOINT FINANC
SAGEPOINT FINANCIAL, INC.
NAME CHANGED TO: OSAIC SERVICES, INC.

SAGEPOINT FINANC
OSAIC SERVICES, INC.
NEW NAME OF: SAGEPOINT FINANCIAL, INC.

SIMPLICITY FINAN
SIMPLICITY FINANCIAL INVESTMENT SERVICES, INC.
SUMMIT, NJ
RESIGNED

SUPERVISION BROK
SUPERVISION BROKERAGE LLC
NAME CHANGED TO: SUPERVISION PARTNERS LLC

SUPERVISION BROK
SUPERVISION PARTNERS LLC
NEW NAME OF: SUPERVISION BROKERAGE LLC

T

TM CAPITAL CORP.
TM CAPITAL CORP.
NAME CHANGED TO: TM CAPITAL LLC

TM CAPITAL CORP.
TM CAPITAL LLC
NEW NAME OF: TM CAPITAL CORP.

U

UPSTOX USA INC.
UPSTOX USA INC.
PASADENA, CA, UNITED STATES
RESIGNED