Changes to List of Broker-Dealer Firms We Regulate
For the period of 11/1/2025 through 11/30/2025
A
ACKRELL CAPITAL,
ACKRELL CAPITAL, LLC
SAN FRANCISCO, CA
RESIGNED
AUFHAUSER SECURI
AUFHAUSER SECURITIES, INC.
NEW YORK, NY, UNITED STATES
RESIGNED
AVANTAX INVESTME
AVANTAX INVESTMENT SERVICES, INC.
DALLAS, TX, UNITED STATES
RESIGNED
B
BLUE CAPAY VENTU
BLUE CAPAY VENTURES
575 MARKET STREET, SUITE 425, SAN FRANCISCO, CA 94105
ADMITTED
BRECHLING ANDERS
BRECHLING ANDERSEN SECURITIES
LOS ANGELES, CA, UNITED STATES
EXPELLED FOR PER RULE 9552- FAILED TO FILE ITS SEPTEMBER 2022 SUPPLEMENTAL STATEMENT OF INCOME REPORT
BUNQ
BUNQ
500 7TH AVENUE, #14B104, NEW YORK, NY 10018
MAILING ADDRESS: 401 PARK AVENUE S, #1018, MAYWOOD, NJ 07607
ADMITTED
C
CAMBRIDGE INVEST
TO FORM CAMBRIDGE INVESTMENT RESEARCH, INC.
ACQUIRED DEMPSEY LORD SMITH, LLC
CAMBRIDGE INVEST
TO FORM CAMBRIDGE INVESTMENT RESEARCH, INC.
ACQUIRED DEMPSEY, LORD, SMITH, LLC
E
ENERGY DOMAIN SE
ENERGY DOMAIN SECURITIES, LLC
FORT WORTH, TX, UNITED STATES
RESIGNED
F
FRONTIER SOLUTIO
FRONTIER SOLUTIONS, LLC
NAME CHANGED TO: FRONTIER SECURITIES
FRONTIER SOLUTIO
FRONTIER SECURITIES
NEW NAME OF: FRONTIER SOLUTIONS, LLC
G
GREAT PINE INVES
GREAT PINE INVESTMENTS LLC
MIAMI, FL, UNITED STATES
RESIGNED
I
INTEGRITY ALLIAN
BROKERS INTERNATIONAL FINANCIAL SERVICES, LLC.
MERGED LION STREET FINANCIAL, LLC
TO FORM INTEGRITY ALLIANCE, LLC.
INTEGRITY ALLIAN
BROKERS INTERNATIONAL FINANCIAL SERVICES, LLC.
TO FORM INTEGRITY ALLIANCE, LLC.
K
KIMBANK CAPITAL
KIMBANK CAPITAL GROUP, LLC
227 WEST MONROE STREET, SUITE 2100, CHICAGO, IL 60606
ADMITTED
M
MAIN STREET SECU
MAIN STREET SECURITIES LLC
AUSTIN, TX, UNITED STATES
RESIGNED
MCSA SECURITIES
MCSA SECURITIES LLC
2200 ATLANTIC STREET, SUITE 501, STAMFORD, CT 06902
ADMITTED
MERIT SECURITIES
MERIT SECURITIES, LLC
GIG HARBOR, WA, UNITED STATES
RESIGNED
N
NOURSDALE CAPITA
NOURSDALE CAPITAL
410 PARK AVENUE SUITE 730, NEW YORK, NY 10022
ADMITTED
NOVELLUS SERVICE
NOVELLUS SERVICES, LLC
725 FREDERICK COURT, WYCKOFF, NJ 07481
ADMITTED
P
PIONEER CAPITAL
PIONEER CAPITAL MARKETS, INC.
3440 TORINGDON WAY, SUITE 205, CHARLOTTE, NC 28277
MAILING ADDRESS: 652 ALBANY SHAKER ROAD, ALBANY, NY 12211
ADMITTED
PTP SECURITIES,
PTP SECURITIES, LLC
CANTON, CT
RESIGNED
R
RAINBRIDGE SECUR
RAINBRIDGE SECURITIES LLC
485 MADISON AVENUE, 15TH FLOOR, NEW YORK, NY 10022
ADMITTED
RICE, VOELKER, L
RICE, VOELKER, LLC
MANDEVILLE, LA, UNITED STATES
RESIGNED
T
TALOS MARKETS LL
TALOS MARKETS LLC
300 PARK AVENUE SOUTH, FL 9, NEW YORK, NY 10010
ADMITTED
TRIBAL CAPITAL M
TRIBAL CAPITAL MARKETS, LLC
NAME CHANGED TO: PLP CAPITAL
TRIBAL CAPITAL M
PLP CAPITAL
NEW NAME OF: TRIBAL CAPITAL MARKETS, LLC
TSX ALPHA U.S.,
TSX ALPHA U.S., INC.
NAME CHANGED TO: TMX ALPHA US, LLC
TSX ALPHA U.S.,
TMX ALPHA US, LLC
NEW NAME OF: TSX ALPHA U.S., INC.
U
USMART CAPITAL,
USMART CAPITAL, LLC
NAME CHANGED TO: USMART (USA)
USMART CAPITAL,
USMART (USA)
NEW NAME OF: USMART CAPITAL, LLC
V
VOLEON SECURITIE
VOLEON SECURITIES
NAME CHANGED TO: VOLEON SECURITIES MARKETS LLC
VOLEON SECURITIE
VOLEON SECURITIES MARKETS LLC
NEW NAME OF: VOLEON SECURITIES
W
WORLD INVESTMENT
WORLD INVESTMENTS, INC.
NAME CHANGED TO: WORLD INVESTMENTS, LLC
WORLD INVESTMENT
WORLD INVESTMENTS, LLC
NEW NAME OF: WORLD INVESTMENTS, INC.
WORLD INVESTMENT
WORLD INVESTMENTS, LLC
PENSIONMARK SECURITIES, LLC
PENSIONMARK SECURITIES, LLC.
PFG SECURITIES, LLC.