Changes to List of Broker-Dealer Firms We Regulate

For the period of 3/1/2024 through 3/31/2024

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1031 SECURITIES
1031 SECURITIES INC.
25300 WEST 13 MILE RD, FRANKLIN, MI 48025
ADMITTED

1031 SECURITIES,
1031 SECURITIES, LLC
NAME CHANGED TO: 1031 SECURITIES INC.

1031 SECURITIES,
1031 SECURITIES INC.
NEW NAME OF: 1031 SECURITIES, LLC

A

AINVEST FINANCIA
AINVEST FINANCIAL, INC.
NAME CHANGED TO: LIGHT HORSE SECURITIES, INC

AINVEST FINANCIA
LIGHT HORSE SECURITIES, INC
NEW NAME OF: AINVEST FINANCIAL, INC.

B

BERNSTEIN INSTIT
BERNSTEIN INSTITUTIONAL SERVICES LLC
SANFORD C. BERSTEIN & CO., LLC
SANFORD C. BERNSTEIN & CO., LLC

BLUEPOST CAPITAL
BLUEPOST CAPITAL
DALLAS, TX, UNITED STATES
RESIGNED

BRP SECURITIES,
BRP SECURITIES, LLC
6720-B ROCKLEDGE DRIVE, SUITE 400, BETHESDA, MD 33607
MAILING ADDRESS: 4211 W. BOY SCOUT BLVD., SUITE 800, TAMPA, FL 33607
ADMITTED

C

CLICK IPO SECURI
CLICK IPO SECURITIES, LLC
NAME CHANGED TO: CLICK CAPITAL MARKETS

CLICK IPO SECURI
CLICK CAPITAL MARKETS
NEW NAME OF: CLICK IPO SECURITIES, LLC

CONOVER SECURITI
CONOVER SECURITIES CORPORATION
BELLEVUE, WA, UNITED STATES
RESIGNED

CVEX MARKETS LLC
CVEX MARKETS LLC
AUSTIN, TX, UNITED STATES
CANCELLED FOR FAILURE TO PAY OUTSTANDING FEES

E

ELEQUIN SECURITI
ELEQUIN SECURITIES LLC
1333 BROADWAY, SUITE 500, NEW YORK, NY 10018
MAILING ADDRESS: 1359 BROADWAY, SUITE 1140, NEW YORK, NY 10018
ADMITTED

EMPOWER FINANCIA
EMPOWER FINANCIAL SERVICES, INC.
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
PRUDENTIAL ASSET MANAGEMENT COMPANY SECURITIES CORPORATION
PAMCO SECURITIES CORPORATION

F

FULL COURT CAPIT
FULL COURT CAPITAL SECURITIES LLC
30 HEADLEY PLACE, MAPLEWOOD, NJ 07040
ADMITTED

I

INNOVATION ADVIS
INNOVATION ADVISORS LLC
NAME CHANGED TO: IA GLOBAL CAPITAL LLC

INNOVATION ADVIS
IA GLOBAL CAPITAL LLC
NEW NAME OF: INNOVATION ADVISORS LLC

J

JAG TRADING L.L.
JAG TRADING L.L.C.
7125 ORCHARD LAKE RD., # 300, WEST BLOOMFIELD, MI 48322
ADMITTED

L

LATAM FINANCIAL
LATAM FINANCIAL PARTNERS
NAME CHANGED TO: FUNDAMENTAL SECURITIES

LATAM FINANCIAL
FUNDAMENTAL SECURITIES
NEW NAME OF: LATAM FINANCIAL PARTNERS

N

N.E. PRIVATE CLI
N.E. PRIVATE CLIENT ADVISORS, LTD.
NAME CHANGED TO: N.E. PRIVATE CLIENT, LTD

N.E. PRIVATE CLI
N.E. PRIVATE CLIENT, LTD
NEW NAME OF: N.E. PRIVATE CLIENT ADVISORS, LTD.

O

OMAC BEVERAGE SE
OMAC BEVERAGE SECURITIES LLC
ATLANTA, GA
RESIGNED

ORE CAP ADVISORS
ORE CAP ADVISORS L.L.C.
154 STUYVESANT AVE, RYE, NY 10580
ADMITTED

P

PROMETHEAN CAPIT
PROMETHEAN CAPITAL GROUP LLC
AQUINNAH, MA, UNITED STATES
RESIGNED

R

RCC CAPITAL LLC
RCC CAPITAL LLC
NEW YORK, NY, UNITED STATES
CANCELLED FOR NO SEC REGISTRATION

S

SILVERBOX SECURI
SILVERBOX SECURITIES LLC
511 RIVER STREET E, BOX 2420, KETCHUM, ID 83340
ADMITTED

T

TRADERFIELD SECU
TRADERFIELD SECURITIES INC.
NAME CHANGED TO: MOMENTIX CAPITAL, INC.

TRADERFIELD SECU
MOMENTIX CAPITAL, INC.
NEW NAME OF: TRADERFIELD SECURITIES INC.

U

UCAPAMERICAS
UCAPAMERICAS
NAME CHANGED TO: UCAP AMERICAS

UCAPAMERICAS
UCAP AMERICAS
NEW NAME OF: UCAPAMERICAS

V

VCP APEX (US)
VCP APEX (US)
NEW YORK, NY, USA
RESIGNED

VENTURE.CO BROKE
VENTURE.CO BROKERAGE SERVICES LLC
BURLINGTON, VT, USA
RESIGNED

W

WOODBURY FINANCI
WOODBURY FINANCIAL SERVICES, INC.
OAKDALE, MN, UNITED STATES
RESIGNED