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Changes to List of Broker-Dealer Firms We Regulate

For the period of 2/1/2023 through 2/28/2023

A

ACRETRADER FINAN
ACRETRADER FINANCIAL, LLC
114 NORTH EAST STREET, FAYETTEVILLE, AR 72701
ADMITTED

AEGIS ENERGY ADV
AEGIS ENERGY ADVISORS CORP.
NEW YORK, NY, UNITED STATES
RESIGNED

ALLIANZ GLOBAL I
ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC
NEW YORK, NY, UNITED STATES
RESIGNED

ALLIO CAPITAL
ALLIO CAPITAL
500 YALE AVENUE NORTH, SEATTLE, WA 98109
ADMITTED 

AMHERST PIERPONT
AMHERST PIERPONT
NAME CHANGED TO: SANTANDER US CAPITAL MARKETS LLC

AMHERST PIERPONT
SANTANDER US CAPITAL MARKETS LLC
NEW NAME OF: AMHERST PIERPONT

ANGEL ISLAND CAP
ANGEL ISLAND CAPITAL SERVICES, LLC
NAME CHANGED TO: ADVENTIX GLOBAL MARKETS LLC

ANGEL ISLAND CAP
ADVENTIX GLOBAL MARKETS LLC
NEW NAME OF: ANGEL ISLAND CAPITAL SERVICES, LLC

ASHLAND SECURITI
ASHLAND SECURITIES, LLC
MIAMI, FL, UNITED STATES
RESIGNED

ATOMIC BROKERAGE
ATOMIC BROKERAGE LLC
107 GREENWICH STREET, 21ST FLOOR, NEW YORK, NY 10006
MAILING ADDRESS:  2131 NORTH LEAVITT STREET, CHICAGO, IL 60647
ADMITTED 

AURIA SERVICES C
AURIA SERVICES CORP.
NEW YORK, NY, UNITED STATES
RESIGNED

AVID CAPITAL ADV
AVID CAPITAL ADVISORS LLC
1427 MOUNTAIN MEADOW, MCCALL, ID 83638
MAILING ADDRESS:  1427 MOUNTAIN MEADOW DRIVE, MCCALL, ID 83638-4002
ADMITTED 

B

BD4RIA, INC.
BD4RIA, INC.
FORT WORTH, TX
RESIGNED

BDT & COMPANY, L
BDT & COMPANY, LLC
NAME CHANGED TO: BDT & MSD PARTNERS, LLC

BDT & COMPANY, L
BDT & MSD PARTNERS, LLC
NEW NAME OF: BDT & COMPANY, LLC

BLUE BELLE INVES
BLUE BELLE INVESTMENT CO., INC.
HOUSTON, TX, UNITED STATES
RESIGNED

C

CENTENIUM ADVISO
CENTENIUM ADVISORS, LLC
NEW YORK, NY, USA
RESIGNED

CHARLES SCHWAB &
CHARLES SCHWAB & CO., INC.
TD AMERITRADE, INC.
TD WATERHOUSE INVESTOR SERVICES, INC.
MERGED TD WATERHOUSE INVESTOR  SERVICES, INC.
WATERHOUSE SECURITIES, INC.
 TO FORM CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB &
CHARLES SCHWAB & CO., INC.
TD AMERITRADE, INC.
TD WATERHOUSE INVESTOR SERVICES, INC.
TD WATERHOUSE INVESTOR  SERVICES, INC.
WATERHOUSE SECURITIES, INC.

CND FINANCIAL LT
CND FINANCIAL LTD.
BULVERDE, TX
RESIGNED

D

DLP SECURITIES,.
DLP SECURITIES,.LLC
NAME CHANGED TO: AQUAS FINANCIAL, LLC

DLP SECURITIES,.
AQUAS FINANCIAL, LLC
NEW NAME OF: DLP SECURITIES,.LLC

DOJIMA SERVICES
DOJIMA SERVICES LLC
200 S. BISCAYNE BLVD, FLOOR 20, MIAMI, FL 33131
MAILING ADDRESS:  200 S. BISCAYNE BLVD FLOOR 20, MIAMI, FL 33131
ADMITTED 

E

EXECUTION ACCESS
EXECUTION ACCESS, LLC
NEW YORK, NY, USA
RESIGNED

F

FCA CAPITAL MARK
FCA CAPITAL MARKETS LLC
240 SAINT PAUL STREET, SUITE 400, DENVER, CO 80206
ADMITTED 

FIRST MANHATTAN
FIRST MANHATTAN CO
NAME CHANGED TO: FIRST MANHATTAN SECURITIES LLC

FIRST MANHATTAN
FIRST MANHATTAN SECURITIES LLC
NEW NAME OF: FIRST MANHATTAN CO

G

GARY GOLDBERG &
GARY GOLDBERG & CO., LLC
LOCUST VALLEY, NY, UNITED STATES
RESIGNED

GLOBAL CREDIT PA
GLOBAL CREDIT PARTNERS, LLC
NAME CHANGED TO: PAR5 CAPITAL & CO LLC

GLOBAL CREDIT PA
PAR5 CAPITAL & CO LLC
NEW NAME OF: GLOBAL CREDIT PARTNERS, LLC

H

HOLLY STREET SEC
HOLLY STREET SECURITIES
WILDWOOD, MO, UNITED STATES
RESIGNED

K

KSG ADVISORS, LL
KSG ADVISORS, LLC
NAME CHANGED TO: KEYSTONE GLOBAL

KSG ADVISORS, LL
KEYSTONE GLOBAL
NEW NAME OF: KSG ADVISORS, LLC

L

LAZARD MIDDLE MA
LAZARD MIDDLE MARKET LLC
MINNEAPOLIS, MN, USA
RESIGNED

LEK SECURITIES C
LEK SECURITIES CORPORATION
NEW CITY, NY, UNITED STATES
RESIGNED

LEVELX CAPITAL L
LEVELX CAPITAL LLC
BROOKLYN, NY, UNITED STATES
RESIGNED

LIBERTY GLOBAL C
LIBERTY GLOBAL CAPITAL SERVICES, LLC
WABAN, MA
RESIGNED

M

MELVILLE ISLAND,
MELVILLE ISLAND, LLC
CHICAGO, IL, USA
RESIGNED

P

P.J. ROBB VARIAB
P.J. ROBB VARIABLE CORPORATION
NAME CHANGED TO: P.J. ROBB VARIABLE, LLC

P.J. ROBB VARIAB
P.J. ROBB VARIABLE, LLC
NEW NAME OF: P.J. ROBB VARIABLE CORPORATION

PEOPLE'S SECURIT
PEOPLE'S SECURITIES, INC.
BRIDGEPORT, CT, UNITED STATES
RESIGNED

PRAGER & CO., LL
PRAGER & CO., LLC
SAN FRANCISCO, CA, UNITED STATES
RESIGNED

R

REALTO SECURITIE
REALTO SECURITIES, LLC
NAME CHANGED TO: LODAS SECURITIES, LLC

REALTO SECURITIE
LODAS SECURITIES, LLC
NEW NAME OF: REALTO SECURITIES, LLC

RICHFIELD ORION
RICHFIELD ORION INTERNATIONAL, INC.
CASTLE ROCK, CO, UNITED STATES
EXPELLED  FOR FAILED TO REQUEST TERMINATION OF ITS SUSPENSION WITHIN THREE MONTHS OF THE DATE OF THE NOTICE OF SUSPENSION

RUFFER LLC
RUFFER LLC
52 MARIOMI ROAD, NEW CANAAN, CT 06840
ADMITTED 

S

SANTANDER US CAP
PIERPONT SECURITIES INC.
SANTANDER INVESTMENT SECURITIES INC.
MERGED SANTANDER CENTRAL HISPANO INVESTMENT SECURITIES INC.
SANTANDER INVESTMENT SECURITIES INC.
 TO FORM SANTANDER US CAPITAL MARKETS LLC

SC LOWY FINANCIA
SC LOWY FINANCIAL (US) LLC
NEW YORK CITY, NY, UNITED STATES
RESIGNED

SEPULVEDA DISTRI
SEPULVEDA DISTRIBUTORS LLC
LOS ANGELES, CA
RESIGNED

SHAREGAIN SECURI
SHAREGAIN SECURITIES INC.
261 MADISON AVENUE, 9TH FLOOR, NEW YORK, NY 10016
ADMITTED 

SMITH POINT CAPI
SMITH POINT CAPITAL LTD
CHAPEL HILL, NC, UNITED STATES
RESIGNED

SOUTH FORK SECUR
SOUTH FORK SECURITIES
MIAMI BEACH, FL, UNITED STATES
RESIGNED

STONECREST GLOBA
STONECREST GLOBAL CAPITAL, LLC
NAME CHANGED TO: WINLO MANAGEMENT GROUP, LLC

STONECREST GLOBA
WINLO MANAGEMENT GROUP, LLC
NEW NAME OF: STONECREST GLOBAL CAPITAL, LLC

T

TASTYWORKS, INC.
TASTYWORKS, INC.
NAME CHANGED TO: TASTYTRADE, INC.

TASTYWORKS, INC.
TASTYTRADE, INC.
NEW NAME OF: TASTYWORKS, INC.

TIGERRISK CAPITA
TIGERRISK CAPITAL MARKETS & ADVISORY
NAME CHANGED TO: HOWDEN TIGER CAPITAL MARKETS & ADVISORY, LLC

TIGERRISK CAPITA
HOWDEN TIGER CAPITAL MARKETS & ADVISORY, LLC
NEW NAME OF: TIGERRISK CAPITAL MARKETS & ADVISORY

TITLEIST ASSET M
TITLEIST ASSET MANAGEMENT, LTD.
NAME CHANGED TO: TITLEIST CAPITAL, LLC

TITLEIST ASSET M
TITLEIST CAPITAL, LLC
NEW NAME OF: TITLEIST ASSET MANAGEMENT, LTD.

W

WHITEHALL-PARKER
WHITEHALL-PARKER SECURITIES, INC.
SAN RAFAEL, CA, UNITED STATES
RESIGNED