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Changes to List of Broker Dealer Firms We Regulate

For the period of 7/1/2019 through 7/31/2019 

A

ALLEGIS INVESTME
ALLEGIS INVESTMENT SERVICES, LLC
IDAHO FALLS, ID, USA
RESIGNED

B

BITOODA TECHNOLO
BITOODA TECHNOLOGIES LLC
185 HUDSON STREET, SUITE 2540, JERSEY CITY, NJ 07302
185 HUDSON STREET SUITE 2540, JERSEY CITY, NJ 07302
ADMITTED

C

CAROFIN, LLC
CAROFIN, LLC
100 ELKS CLUB RD., BREVARD, NC 28712
ADMITTED

D

DE GUARDIOLA ADV
DE GUARDIOLA ADVISORS, LLC
WEST PALM BEACH, FL, USA
RESIGNED

DIGITAL CAPITAL
DIGITAL CAPITAL MARKETS LLC
10211 FLEMING AVENUE, BETHESDA, MD 20814
ADMITTED

DOCK SQUARE SECU
DOCK SQUARE SECURITIES , LLC
CORAL GABLES, FL, USA
RESIGNED

E

ENSTREAM CAPITAL
ENSTREAM CAPITAL MARKETS, LLC
NAME CHANGED TO: EAST WEST MARKETS, LLC

ENSTREAM CAPITAL
EAST WEST MARKETS, LLC
NEW NAME OF: ENSTREAM CAPITAL MARKETS, LLC

ENTRUSTPERMAL SE
ENTRUSTPERMAL SECURITIES LLC
NAME CHANGED TO: ENTRUST GLOBAL SECURITIES LLC

ENTRUSTPERMAL SE
ENTRUST GLOBAL SECURITIES LLC
NEW NAME OF: ENTRUSTPERMAL SECURITIES LLC

EQX LLC
EQX LLC
379 WEST BROADWAY, NEW YORK, NY 10012
ADMITTED

EROOM SECURITIES
EROOM SECURITIES L.L.C.
NAME CHANGED TO: DASH PRIME LLC

EROOM SECURITIES
DASH PRIME LLC
NEW NAME OF: EROOM SECURITIES L.L.C.

ESPOSITO SECURIT
ESPOSITO SECURITIES, LLC
DALLAS, TX, USA
RESIGNED

F

FIDELITY PRIME F
FIDELITY PRIME FINANCING
155 SEAPORT BOULEVARD, BOSTON, MA 02210
200 SEAPORT BOULEVARD, MAIL ZONE: ZW11A, BOSTON, MA 02210
ADMITTED

G

G.C. ANDERSEN PA
G.C. ANDERSEN PARTNERS CAPITAL, LLC
NEW YORK, NY, UNITED STATES
RESIGNED

I

IUR SECURITIES L
IUR SECURITIES LLC
THIRD FLOOR LANSDOWNE HOUSE, 57 BERKELEY SQ., LONDON W1J6ER UNITED KINGDOM
ADMITTED

J

JAMES E. COFFEY
JAMES E. COFFEY SECURITIES, INC.
NEW YORK, NY, USA
CANCELLED FOR FAILURE TO PAY OUTSTANDING FEES

JDF CAPITAL ADVI
JDF CAPITAL ADVISORS, LLC
DENVER, CO, UNITED STATES
RESIGNED

JOHN HANCOCK FUN
JOHN HANCOCK FUNDS, LLC
NAME CHANGED TO: JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC

JOHN HANCOCK FUN
JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC
NEW NAME OF: JOHN HANCOCK FUNDS, LLC

L

LIQUID CAPITAL S
LIQUID CAPITAL SECURITIES, LLC
EVANSTON, IL, USA
RESIGNED

LUCKYSTRIKE SECU
LUCKYSTRIKE SECURITIES LLC
NAME CHANGED TO: LS SECURITIES, LLC

LUCKYSTRIKE SECU
LS SECURITIES, LLC
NEW NAME OF: LUCKYSTRIKE SECURITIES LLC

M

MILLIMAN INVESTM
MILLIMAN INVESTMENT MANAGEMENT SERVICES LLC
71 S. WACKER DRIVE, 31ST FLOOR, CHICAGO, IL 60606
ADMITTED

MYPALTRADE SECUR
MYPALTRADE SECURITIES INC.
10777 SUNSET OFFICE DRIVE, SUITE 330, ST. LOUIS, MO 63127
ADMITTED

O

OPUS FINANCIAL P
OPUS FINANCIAL PARTNERS, LLC
IRVINE, CA, USA
RESIGNED

P

PARAGON HEALTH C
PARAGON HEALTH CAPITAL, LLC
450 CENTRAL AVE #202, HIGHLAND PARK, IL 60035
ADMITTED

PHOTON SECURITIE
PHOTON SECURITIES LLC
NAME CHANGED TO: OPENDEAL BROKER LLC

PHOTON SECURITIE
OPENDEAL BROKER LLC
NEW NAME OF: PHOTON SECURITIES LLC

PRAGMA SECURITIE
PRAGMA SECURITIES LLC
NAME CHANGED TO: PRAGMA LLC

PRAGMA SECURITIE
PRAGMA LLC
NEW NAME OF: PRAGMA SECURITIES LLC

R

ROBERTSON STEPHE
ROBERTSON STEPHENS CAPITAL MARKETS, LLC
201 MISSION STREET, SUITE 510, SAN FRANCISCO, CA 94105
ADMITTED

S

SIMMONS FIRST IN
SIMMONS FIRST INVESTMENT GROUP, INC.
LITTLE ROCK, AR, UNITED STATES
RESIGNED

T

TRANSAMERICA INV
TRANSAMERICA INVESTORS SECURITIES CORPORATION
TRANSAMERICA CAPITAL, INC.
ENDEAVOR GROUP

U

USQ SECURITIES L
USQ SECURITIES LLC
375 PARK AVENUE, SUITE 2607, NEW YORK, NY 10152
ADMITTED

UTC FINANCIAL SE
UTC FINANCIAL SERVICES USA, INC.
PORT OF SPAIN, TRINIDAD
RESIGNED

V

VICTORY CAPITAL
VICTORY CAPITAL ADVISERS, INC.
USAA INVESTMENT MANAGEMENT COMPANY
USAA INVESTMENTS
USAA FINANCIAL ADVISORS, INC.
USAA INVESTMENT MANAGEMENT COMPANY