Changes to List of Broker-Dealer Firms We Regulate
For the period of 7/1/2026 through 7/31/2026
ALTERNATIVE ACCE
ALTERNATIVE ACCESS CAPITAL, LLC
SAN RAFAEL, CA, USA
RESIGNED
ANNATTO LLC
ANNATTO LLC
80 STONE PINE RD, OFFICE 120 - ARISTO, HALF MOON BAY, CA 94019
MAILING ADDRESS: 307 W 38TH ST, NEW YORK, NY 10018
ADMITTED
AQUA MARKETS LLC
AQUA MARKETS LLC
25 BROADWAY, 10TH FLOOR, NEW YORK, NY 10014
MAILING ADDRESS: ONE LOWENSTEIN DRIVE, ROSELAND, NJ 07068
ADMITTED
BAINBRIDGE CAPIT
BAINBRIDGE CAPITAL SECURITIES, INC.
NAME CHANGED TO: BAINBRIDGE INVESTMENT BANK
BAINBRIDGE CAPIT
BAINBRIDGE INVESTMENT BANK
NEW NAME OF: BAINBRIDGE CAPITAL SECURITIES, INC.
CONCHO TRANSACTI
CONCHO TRANSACTIONS
30 UMBRIA LN, SPRING, TX 77382
ADMITTED
CONNELLY CAPITAL
CONNELLY CAPITAL SECURITIES LLC
2 CALLE TABONUCO, GAM TOWER 401, GUAYNABO, PR 00968
ADMITTED
COPPER BEECH CAP
COPPER BEECH CAPITAL LLC
1223 N CHURCH STREET, MOORESTOWN, NJ 08057
ADMITTED
CTC EXECUTION SE
CTC EXECUTION SERVICES, LLC
425 S. FINANCIAL PLACE, 4TH FLOOR, CHICAGO, IL 60605
ADMITTED
ELARA SECURITIES
ELARA SECURITIES, INC.
NEW YORK, NY, USA
RESIGNED
FIRST COMMONWEAL
FIRST COMMONWEALTH SECURITIES CORPORATION
ATLANTA, GA, UNITED STATES
EXPELLED PER RULE 9552 - FAILED TO FILE ITS DECEMBER 2025 ANNUAL AUDIT REPORT.
FLAGSTAR ADVISOR
FLAGSTAR ADVISORS
NAME CHANGED TO: FLAGSTAR SECURITIES, INC
FLAGSTAR ADVISOR
FLAGSTAR SECURITIES, INC
NEW NAME OF: FLAGSTAR ADVISORS
FLAGSTAR ADVISOR
FLAGSTAR ADVISORS
NAME CHANGED TO: FLAGSTAR SECURITIES, INC
FLAGSTAR ADVISOR
FLAGSTAR SECURITIES, INC
NEW NAME OF: FLAGSTAR ADVISORS
FRONTEGRA STRATE
FRONTEGRA STRATEGIES, LLC
NAME CHANGED TO: NEXTIER DISTRIBUTION LLC
FRONTEGRA STRATE
NEXTIER DISTRIBUTION LLC
NEW NAME OF: FRONTEGRA STRATEGIES, LLC
GLOBAL81 US LLC
GLOBAL81 US LLC
430 PARK AVENUE 19TH FLOOR, NEW YORK, NY 10022
MAILING ADDRESS: C/O TRITAURIAN, 430 PARK AVENUE 19TH FLOOR, NEW YORK, NY 10022
ADMITTED
LIBERTY PARTNERS
LIBERTY PARTNERS FINANCIAL SERVICES, LLC
RALEIGH, NC, USA
RESIGNED
MA SECURITIES LL
MA SECURITIES LLC
30 ROCKEFELLER PLAZA, FLOOR 20, SUITE 2030, NEW YORK, NY 10112
MAILING ADDRESS: 141 W JACKSON BLVD, FLOOR 13, SUITE 1320, CHICAGO, IL 60604
ADMITTED
MONEYLION SECURI
MONEYLION SECURITIES LLC
NEW YORK, NY, UNITED STATES
RESIGNED
NBC SECURITIES,
NBC SECURITIES, INC.
NAME CHANGED TO: LANARK FINANCIAL, INC.
NBC SECURITIES,
LANARK FINANCIAL, INC.
NEW NAME OF: NBC SECURITIES, INC.
PEDERSON&CO LLC
PEDERSON&CO LLC
NAME CHANGED TO: LAGOON ADVISORY PARTNERS, LLC
PEDERSON&CO LLC
LAGOON ADVISORY PARTNERS, LLC
NEW NAME OF: PEDERSON&CO LLC
RANGE INVESTING
RANGE INVESTING
685 3RD AVENUE, FLOOR 30, NEW YORK, NY 10017
MAILING ADDRESS: 396 SCHOOLHOUSE ROAD, STUYVESANT, NY 12173
ADMITTED
SAGE CLEARING LL
SAGE CLEARING LLC
282 GRAND AVENUE, ENGLEWOOD, NJ 07631
ADMITTED
STRATEGAS SECURI
STRATEGAS SECURITIES, LLC DBA STRATEGAS RESEARCH PARTNERS
NAME CHANGED TO: BAIRD STRATEGAS LLC
STRATEGAS SECURI
BAIRD STRATEGAS LLC
NEW NAME OF: STRATEGAS SECURITIES, LLC DBA STRATEGAS RESEARCH PARTNERS
TAGLICH BROTHERS
TAGLICH BROTHERS, INC.
COLD SPRING HARBOR, NY, UNITED STATES
RESIGNED
THE TIE CAPITAL
THE TIE CAPITAL LLC
555 MADISON AVENUE, FLOOR 16, NEW YORK, NY 10022
ADMITTED
TITAN PARTNERS S
TITAN PARTNERS SECURITIES LLC
NAME CHANGED TO: TITAN PARTNERS
TITAN PARTNERS S
TITAN PARTNERS
NEW NAME OF: TITAN PARTNERS SECURITIES LLC
TRB CAPITAL MARK
TRB CAPITAL MARKETS, LLC
NAME CHANGED TO: TRB SECURITIES, LLC
TRB CAPITAL MARK
TRB SECURITIES, LLC
NEW NAME OF: TRB CAPITAL MARKETS, LLC
TRINDERO SECURIT
TRINDERO SECURITIES, LLC
451 UNIVERSITY DRIVE, SUITE 200, FORT WORTH, TX 76107
ADMITTED
UPHORIZON, LLC
UPHORIZON, LLC
NAME CHANGED TO: UPHORIZON SECURITIES
UPHORIZON, LLC
UPHORIZON SECURITIES
NEW NAME OF: UPHORIZON, LLC
VESTLY CAPITAL
VESTLY CAPITAL
1111 BRICKELL AVE SUITE 1850, MIAMI, FL 33131
MAILING ADDRESS: 1395 BRICKELL AVENUE, SUITE 1130, MIAMI, FL 33131
ADMITTED