Changes to List of Broker Dealer Firms We Regulate

For the period of 6/1/2018 through 6/30/2018

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180 DEGREE CAPIT
180 DEGREE CAPITAL BD, LLC
7 N. WILLOW STREET, SUITE 4B, MONTCLAIR, NJ 07042
ADMITTED

A

ANDREWS SECURITI
ANDREWS SECURITIES, LLC
NAME CHANGED TO: LOHI SECURITIES

ANDREWS SECURITI
LOHI SECURITIES
NEW NAME OF: ANDREWS SECURITIES, LLC

ARIANE CAPITAL P
ARIANE CAPITAL PARTNERS LLC
NAME CHANGED TO: AMERA SECURITIES LLC

ARIANE CAPITAL P
AMERA SECURITIES LLC
NEW NAME OF: ARIANE CAPITAL PARTNERS LLC

B

BHIRUD ASSOCIATE
BHIRUD ASSOCIATES, INC.
DARIEN, CT, UNITED STATES
RESIGNED

C

CAPSTONE CAPITAL
CAPSTONE CAPITAL MARKETS LLC
NAME CHANGED TO: CAPSTONE HEADWATERS

CAPSTONE CAPITAL
CAPSTONE HEADWATERS
NEW NAME OF: CAPSTONE CAPITAL MARKETS LLC

CAPWEALTH INVEST
CAPWEALTH INVESTMENT SERVICES, LLC
FRANKLIN, TN, USA
RESIGNED

CHALICE CAPITAL
CHALICE CAPITAL PARTNERS, LLC
MERGED NIAGARA INTERNATIONAL CAPITAL LIMITED
TO FORM CHALICE CAPITAL PARTNERS, LLC

CREDITSTATION AT
CREDITSTATION ATS LLC
NAME CHANGED TO: AMERICAN LEDGER ATS LLC

CREDITSTATION AT
AMERICAN LEDGER ATS LLC
NEW NAME OF: CREDITSTATION ATS LLC

E

EURO PACIFIC CAP
EURO PACIFIC CAPITAL, INC.
NAME CHANGED TO: A.G.P. / ALLIANCE GLOBAL PARTNERS

EURO PACIFIC CAP
A.G.P. / ALLIANCE GLOBAL PARTNERS
NEW NAME OF: EURO PACIFIC CAPITAL, INC.

F

FING SECURITIES
FING SECURITIES LLC
NAME CHANGED TO: SEXTANT SECURITIES, LLC

FING SECURITIES
SEXTANT SECURITIES, LLC
NEW NAME OF: FING SECURITIES LLC

FIRST INTEGRITY
FIRST INTEGRITY CAPITAL PARTNERS CORP.
WEST PALM BEACH, FL
RESIGNED

H

HANCOCK INVESTME
HANCOCK INVESTMENT SERVICES, INC.
NAME CHANGED TO: HANCOCK WHITNEY INVESTMENT SERVICES INC.

HANCOCK INVESTME
HANCOCK WHITNEY INVESTMENT SERVICES INC.
NEW NAME OF: HANCOCK INVESTMENT SERVICES, INC.

I

IFS CAPITAL MARK
IFS CAPITAL MARKETS, LLC
3414 PEACHTREE RD NE, ATLANTA, GA 30326-1184
ADMITTED

L

LCS SECURITIES,
LCS SECURITIES, LLC
NEW YORK, NY, USA
RESIGNED

M

MARIANA CAPITAL
MARIANA CAPITAL USA, LLC
NAME CHANGED TO: FILLMORE ADVISORS, LLC

MARIANA CAPITAL
FILLMORE ADVISORS, LLC
NEW NAME OF: MARIANA CAPITAL USA, LLC

MCNAMEE LAWRENCE
MCNAMEE LAWRENCE SECURITIES, LLC
BOSTON, MA, UNITED STATES
EXPELLED FOR FAILED TO REQUEST TERMINATION OF SUSPENSION WITHIN THREE MONTHS .

N

NEWPORT COAST SE
NEWPORT COAST SECURITIES, INC.
NEW YORK, NY, UNITED STATES
EXPELLED FOR VIOLATION OF SECTION 10(B) OF THE EXCHANGE ACT AND RULE 10B-5, NASD RULE 2120 AND FINRA RULE 2020.

R

RELIABLE IMMIGRA
RELIABLE IMMIGRATION SOLUTIONS ENTERPRISES, INC.
372 CAMBRIDGE STREET, WINCHESTER, MA 01890
ADMITTED

ROBERT R. MEREDI
ROBERT R. MEREDITH & CO., INC.
NEW YORK, NY, UNITED STATES
EXPELLED FOR FAILED TO REQUEST TERMINATION OF SUSPENSION WITHIN THREE MONTHS OF RECEIVING THE NOTICE OF SUSPENSION LETTER.

S

SIMON MARKETS LL
SIMON MARKETS LLC
200 WEST STREET, NEW YORK, NY 10282-2198
MAILING ADDRESS: 222 SOUTH MAIN STREET, SALT LAKE CITY, UT 84101
ADMITTED

SISK INVESTMENT
SISK INVESTMENT SERVICES, INC.
SYOSSET, NY, UNITED STATES
EXPELLED FOR THE FIRM FAILED TO REQUEST TERMINATION OF SUSPENSION WITHIN THREE MONTHS OF RECEIVING THE NOTICE OF SUSPENSION LETTER.

SOUTHERN WEALTH
SOUTHERN WEALTH SECURITIES, LLC
5005 LBJ PARKWAY, SUITE 1313, DALLAS, TX 75244
MAILING ADDRESS: 5005 LBJ PARKWAY, SUITE 1313, DALLAS, TX 75244
ADMITTED

T

THOMAS P. REYNOL
THOMAS P. REYNOLDS SECURITIES LTD.
NEW YORK, NY, UNITED STATES
RESIGNED

V

VIRTUS CAPITAL M
VIRTUS CAPITAL MARKETS LLC
243 TRESSER BLVD 17TH FLOOR, STAMFORD, CT 06901-3436
ADMITTED

VISION
VISION
NAME CHANGED TO: VISION BROKERAGE SERVICES, LLC

VISION
VISION BROKERAGE SERVICES, LLC
NEW NAME OF: VISION

W

WAYNE HUMMER INV
WAYNE HUMMER INVESTMENTS L.L.C.
NAME CHANGED TO: WAYNE HUMMER INVESTMENTS L.L.C.

WAYNE HUMMER INV
WAYNE HUMMER INVESTMENTS L.L.C.
NEW NAME OF: WAYNE HUMMER INVESTMENTS L.L.C.

WUNDERLICH SECUR
WUNDERLICH SECURITIES, INC.
NAME CHANGED TO: B. RILEY WEALTH MANAGEMENT

WUNDERLICH SECUR
B. RILEY WEALTH MANAGEMENT
NEW NAME OF: WUNDERLICH SECURITIES, INC.