Changes to List of Broker-Dealer Firms We Regulate
For the period of 4/1/2021 through 4/30/2021
A
ALTSOURCED SOLUT
ALTSOURCED SOLUTIONS, LLC
305 SPIDER LILY LANE, NAPLES, FL 34119
MAILING ADDRESS: 305 SPIDER LILY LN, NAPLES, FL 34119
ADMITTED
APIFINY PRIME IN
APIFINY PRIME INC.
199 WATER STREET, 33RD FLOOR, SUITE 105, NEW YORK, NY 10038
ADMITTED
ASCENDANT ALTERN
ASCENDANT ALTERNATIVE STRATEGIES, LLC
WHITE PLAINS, NY
RESIGNED
B
BLEY INVESTMENTS
BLEY INVESTMENTS GROUP, INC.
NAME CHANGED TO: BLEY INVESTMENT GROUP, INC.
BLEY INVESTMENTS
BLEY INVESTMENT GROUP, INC.
NEW NAME OF: BLEY INVESTMENTS GROUP, INC.
C
COMMONWEALTH PHA
COMMONWEALTH PHARMA SECURITIES LLC
NAME CHANGED TO: COMMONWEALTH APEIRON
COMMONWEALTH PHA
COMMONWEALTH APEIRON
NEW NAME OF: COMMONWEALTH PHARMA SECURITIES LLC
CREDICORP CAPITA
CREDICORP CAPITAL SECURITIES, INC.
CORAL GABLES, FL, USA
RESIGNED
E
EMBEDDED CLEARIN
EMBEDDED CLEARING LLC
1703 MAIN STREET, SUITE 200, VANCOUVER, WA 98660
ADMITTED
F
FIGURE SECURITIE
FIGURE SECURITIES, INC.
650 CALIFORNIA STREET, SUITE 2700, SAN FRANCISCO, CA 94108
ADMITTED
G
GDM ADVISORY LLC
GDM ADVISORY LLC
ROSELAND, NJ, UNITED STATES
RESIGNED
GOOD INVESTOR VE
GOOD INVESTOR VENTURES LLC
1314 NW IRVING STREET, UNIT 312, PORTLAND, OR 97209
ADMITTED
H
H. BECK, INC.
H. BECK, INC.
NAME CHANGED TO: GROVE POINT INVESTMENTS, LLC
H. BECK, INC.
GROVE POINT INVESTMENTS, LLC
NEW NAME OF: H. BECK, INC.
HIGHWOOD SECURIT
HIGHWOOD SECURITIES LLC
62 OAK HILL DRIVE, OYSTER BAY, NY 11771
ADMITTED
I
IMA WEALTH, INC.
IMA WEALTH, INC.
NAME CHANGED TO: IMA WEALTH
IMA WEALTH, INC.
IMA WEALTH
NEW NAME OF: IMA WEALTH, INC.
J
JOSEPH EDEN INVE
JOSEPH EDEN INVESTMENTS, LLC
7600 W. ROOSEVELT RD., FOREST PARK, IL 60130 ADMITTED
M
MACKIE RESEARCH
MACKIE RESEARCH USA INC.
NAME CHANGED TO: RESEARCH CAPITAL USA INC.
MACKIE RESEARCH
RESEARCH CAPITAL USA INC.
NEW NAME OF: MACKIE RESEARCH USA INC.
MONTEC SECURITIE
MONTEC SECURITIES LLC 510 MADISON AVENUE, 10TH FLOOR, NEW YORK, NY 10022
ADMITTED
N
NEWMARK SECURITI
NEWMARK SECURITIES, LLC
125 PARK AVENUE, NEW YORK, NY 10017
ADMITTED
NINTH ETERNITY S
NINTH ETERNITY SECURITIES LLC
48 RESERVOIR AVE., CHESTNUT HILL, MA 02467
ADMITTED
P
PENNHAVEN BROKER
PENNHAVEN BROKERAGE PARTNERS, LLC
44 WEST GAY STREET, SUITE 300, WEST CHESTER, PA 19380
ADMITTED
R
RAISIN SECURITIE
RAISIN SECURITIES LLC
28 LIBERTY STREET, 6TH FLOOR, NEW YORK, NY 10005
ADMITTED
S
SELECT QUAESTOR
SELECT QUAESTOR TRADE, LLC
317 GEORGE STREET, SUITE 320, NEW BRUNSWICK, NJ 08901
MAILING ADDRESS: 31 W 34TH STREET, SUITE 7078, NEW YORK, NY 10001
ADMITTED
SOUTHERN TRUST S
SOUTHERN TRUST SECURITIES, INC.
NAME CHANGED TO: TRADEPRO SECURITIES,INC.
SOUTHERN TRUST S
TRADEPRO SECURITIES,INC.
NEW NAME OF: SOUTHERN TRUST SECURITIES, INC.
W
WAUBANK SECURITI
WAUBANK SECURITIES LLC
12 FEDERAL STREET, PITTSBURGH, PA 15212
ADMITTED
WESTERN EQUITY G
WESTERN EQUITY GROUP, INC.
NAME CHANGED TO: MODERN CAPITAL SECURITIES INC.
WESTERN EQUITY G
MODERN CAPITAL SECURITIES INC.
NEW NAME OF: WESTERN EQUITY GROUP, INC.
WWK INVESTMENTS,
WWK INVESTMENTS, INC.
NORTHVILLE, MI, UNITED STATES
RESIGNED