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Changes to List of Broker-Dealer Firms We Regulate

For the period of 12/1/2020 through 12/31/2020

A

ALARIC DISTRIBUT
ALARIC DISTRIBUTORS, LLC
150 BROADWAY SUITE 302, NEW YORK, NY 10038
ADMITTED

ALBERT SECURITIE
ALBERT SECURITIES, LLC
3534 HAYDEN AVENUE, CULVER CITY, CA 90232
MAILING ADDRESS: 799 SANDPIPER LANE, PONTE VEDRA BEACH, FL 32082
ADMITTED

AUCTUS SECURITIE
AUCTUS SECURITIES, LLC
NAME CHANGED TO: INVESTX MARKETS LLC

AUCTUS SECURITIE
INVESTX MARKETS LLC
NEW NAME OF: AUCTUS SECURITIES, LLC

B

BONDHOUSE SECURI
BONDHOUSE SECURITIES
NAME CHANGED TO: YIELDX SECURITIES

BONDHOUSE SECURI
YIELDX SECURITIES
NEW NAME OF: BONDHOUSE SECURITIES

BSP SECURITIES,
BSP SECURITIES, LLC
ATLANTA, GA, US
RESIGNED

C

CALIBRE GROUP SE
CALIBRE GROUP SECURITIES, LLC
PITTSBURGH, PA, USA
RESIGNED

CHARTWELL BROKER
CHARTWELL BROKERS, LLC
NEW YORK, NY, USA
RESIGNED

CLEARLIST LLC
CLEARLIST LLC
545 MADISON AVE, 15TH FLOOR, NEW YORK, NY 10022
ADMITTED

D

DALKEITH GROUP,
DALKEITH GROUP, LLC
NAME CHANGED TO: RONDOUT PARTNERS, LLC

DALKEITH GROUP,
RONDOUT PARTNERS, LLC
NEW NAME OF: DALKEITH GROUP, LLC

DETALUS SECURITI
DETALUS SECURITIES, LLC
ST. LOUIS, MO, USA
RESIGNED

F

FCG ADVISORS, LL
FCG ADVISORS, LLC
CHATHAM, NJ, UNITED STATES
RESIGNED

FINTRON INVEST
FINTRON INVEST
SUITE C FRANKLIN STREET, WESTPORT, CT 06880
MAILING ADDRESS: 101 FRANKLIN STREET, SUITE C, WESTPORT, CT 06880
ADMITTED

FSIC
FSIC
BOCA RATON, FL, UNITED STATES
RESIGNED

G

GEORGE MCKELVEY
GEORGE MCKELVEY CO., INC.
MANASQUAN, NJ, UNITED STATES
RESIGNED

I

IIFL INC.
IIFL INC.
NEW YORK, NY, UNITED STATES
RESIGNED

J

JK SECURITIES, I
JK SECURITIES, INC.
NAME CHANGED TO: CINCAP INVESTMENT GROUP, INC

JK SECURITIES, I
CINCAP INVESTMENT GROUP, INC
NEW NAME OF: JK SECURITIES, INC.

K

KOVITZ SECURITIE
KOVITZ SECURITIES, LLC
CHICAGO, IL, USA
RESIGNED

M

M.Y. SAFRA SECUR
M.Y. SAFRA SECURITIES, INC.
NEW YORK, NY, UNITED STATES
RESIGNED

MICHIGAN SECURIT
MICHIGAN SECURITIES, INC.
NAME CHANGED TO: BROADSTONE SECURITIES

MICHIGAN SECURIT
BROADSTONE SECURITIES
NEW NAME OF: MICHIGAN SECURITIES, INC.

MID-CONTINENT SE
MID-CONTINENT SECURITIES ADVISORS, LTD.
NAME CHANGED TO: MID-CONTINENT SECURITIES, LTD.

MID-CONTINENT SE
MID-CONTINENT SECURITIES, LTD.
NEW NAME OF: MID-CONTINENT SECURITIES ADVISORS, LTD.

MOSS ADAMS SECUR
MOSS ADAMS SECURITIES & INSURANCE LLC
SEATTLE, WA, USA
RESIGNED

MPI SECURITIES,
MPI SECURITIES, INC.
LAWRENCE TOWNSHIP, NJ, UNITED STATES
RESIGNED

O

OREC SECURITIES,
OREC SECURITIES, LLC
NAME CHANGED TO: LUMENT SECURITIES

OREC SECURITIES,
LUMENT SECURITIES
NEW NAME OF: OREC SECURITIES, LLC

P

PACIFIC OAK CAPI
PACIFIC OAK CAPITAL MARKETS, LLC
3200 PARK CENTER DRIVE, SUITE 600, COSTA MESA, CA 92626
ADMITTED

S

SHERIDAN CAPITAL
SHERIDAN CAPITAL SECURITIES, LLC
IRVINE, CA, USA
CANCELLED FOR FAILURE TO PAY OUTSTANDING FEES.

SKYPOINT CAPITAL
SKYPOINT CAPITAL PARTNERS, LLC
1380 WEST PACES FERRY ROAD, SUITE 2180, ATLANTA, GA 30327
ADMITTED

SOLIUM FINANCIAL
SOLIUM FINANCIAL SERVICES LLC
WOODCLIFF LAKE, NJ, USA
RESIGNED

STIRA CAPITAL MA
STIRA CAPITAL MARKETS GROUP, LLC
IRVINE, CA
RESIGNED

STONNINGTON GROU
STONNINGTON GROUP, LLC
PASADENA, CA, UNITED STATES
RESIGNED

SUNTRUST INVESTM
SUNTRUST INVESTMENT SERVICES, INC.
NAME CHANGED TO: TRUIST INVESTMENT SERVICES, INC.

SUNTRUST INVESTM
TRUIST INVESTMENT SERVICES, INC.
NEW NAME OF: SUNTRUST INVESTMENT SERVICES, INC.

SWEDBANK SECURIT
SWEDBANK SECURITIES US, LLC
NEW YORK, NY
RESIGNED

T

TERRA CAPITAL MA
TERRA CAPITAL MARKETS LLC
NEW YORK, NY, USA
RESIGNED

THE GROWTH STAGE
THE GROWTH STAGE INC.
2911 TURTLE CREEK BOULEVARD, SUITE 300, DALLAS, TX 75219
MAILING ADDRESS: 5720 LYNDON B. JOHNSON, FREEWAY, SUITE 456, DALLAS, TX 75240
ADMITTED

TRESTLE POINT, L
TRESTLE POINT, LLC
BIRMINGHAM, MI, USA
RESIGNED

V

VENTUREAIDE
VENTUREAIDE
32018 N. 20TH LANE, PHOENIX, AZ 85085
MAILING ADDRESS: 32018 N. 20TH LANE, PHOENIX, AZ 85085
ADMITTED

VPE WERTPAPIERHA
VPE WERTPAPIERHANDELSBANK AG
MUENCHEN, GERMANY
CANCELLED FOR FAILURE TO MEET THE ELIGIBILITY OR QUALIFICATION STANDARDS OR PREREQUISITES FOR ACCESS TO SERVICES.

X

XTX EXECUTION SE
XTX EXECUTION SERVICES LLC
10 HUDSON YARDS, 40TH FLOOR, NEW YORK, NY 10001
ADMITTED