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Changes to List of Broker Dealer Firms We Regulate

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

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1ST GLOBAL CAPIT
1ST GLOBAL CAPITAL CORP.
DALLAS, TX, UNITED STATES
RESIGNED

A

ABE AMERICAS LLC
ABE AMERICAS LLC
NEW YORK, NY, UNITED STATES
CANCELLED FOR SEC REGISTRATION ABANDONED

ADVENT CAPITAL D
ADVENT CAPITAL DISTRIBUTORS, LLC
888 SEVENTH AVENUE, 31ST FLOOR, NEW YORK, NY 10019
ADMITTED

AMERITAS INVESTM
AMERITAS INVESTMENT CORP.
NAME CHANGED TO: AMERITAS INVESTMENT COMPANY, LLC

AMERITAS INVESTM
AMERITAS INVESTMENT COMPANY, LLC
NEW NAME OF: AMERITAS INVESTMENT CORP.

ASSUREDPARTNERS
ASSUREDPARTNERS FINANCIAL SERVICES
200 COLONIAL CENTER PARKWAY, SUITE 140, LAKE MARY, FL 32746
ADMITTED

B

BURNHAM STERLING
BURNHAM STERLING SECURITIES LLC
NAME CHANGED TO: BABCOCK & BROWN SECURITIES LLC

BURNHAM STERLING
BABCOCK & BROWN SECURITIES LLC
NEW NAME OF: BURNHAM STERLING SECURITIES LLC

C

CLEAR STREET, LL
CLEAR STREET, LLC
NAME CHANGED TO: CLEAR STREET LLC

CLEAR STREET, LL
CLEAR STREET LLC
NEW NAME OF: CLEAR STREET, LLC

CONCORD WEALTH B
CONCORD WEALTH BROKERAGE, INC.
ABINGDON, VA, UNITED STATES
RESIGNED

CROWDVEST SECURI
CROWDVEST SECURITIES, LLC.
NAME CHANGED TO: CROWDVEST SECURITIES LLC

CROWDVEST SECURI
CROWDVEST SECURITIES LLC
NEW NAME OF: CROWDVEST SECURITIES, LLC.

D

DART, PAPESH & C
DART, PAPESH & COMPANY, INCORPORATED
EAST LANSING, MI, UNITED STATES
RESIGNED

DLX FINANCIAL GR
DLX FINANCIAL GROUP, LLC
MEDFORD, OR, USA
RESIGNED

DRIEHAUS SECURIT
DRIEHAUS SECURITIES LLC
CHICAGO, IL, UNITED STATES
RESIGNED

E

EBOND SECURITIES
EBOND SECURITIES, LLC
LARCHMONT, NY
RESIGNED

ETF DISTRIBUTORS
ETF DISTRIBUTORS LLC
NEW YORK, NY
RESIGNED

F

FALCONBRIDGE CAP
FALCONBRIDGE CAPITAL MARKETS, LLC
CHARLOTTE, NC, UNITED STATES
RESIGNED

FIDELITY INVESTM
FIDELITY INVESTMENTS INSTITUTIONAL SERVICES COMPANY, INC.
NAME CHANGED TO: FIDELITY DISTRIBUTORS COMPANY LLC

FIDELITY INVESTM
FIDELITY DISTRIBUTORS COMPANY LLC
NEW NAME OF: FIDELITY INVESTMENTS INSTITUTIONAL SERVICES COMPANY, INC.

FIG PARTNERS, LL
FIG PARTNERS, LLC
ATLANTA, GA, UNITED STATES
RESIGNED

FIRST STANDARD F
FIRST STANDARD FINANCIAL COMPANY LLC
RED BANK, NJ, UNITED STATES
CANCELLED FOR FOR FAILURE TO PAY OUTSTANDING FEES

G

G.L.S. & ASSOCIA
G.L.S. & ASSOCIATES, INC.
NAME CHANGED TO: ZERMATT SECURITIES, INC.

G.L.S. & ASSOCIA
ZERMATT SECURITIES, INC.
NEW NAME OF: G.L.S. & ASSOCIATES, INC.

GENTEM CAPITAL L
GENTEM CAPITAL LLC
NAME CHANGED TO: LEVELX CAPITAL LLC

GEORGE K. BAUM &
GEORGE K. BAUM & COMPANY
KANSAS CITY, MO, UNITED STATES
RESIGNED

GEORGE K. BAUM C
GEORGE K. BAUM CAPITAL ADVISORS, INC.
KANSAS CITY, MO, USA
RESIGNED

GENTEM CAPITAL L
LEVELX CAPITAL LLC
NEW NAME OF: GENTEM CAPITAL LLC

GLOBAL SILICON V
GLOBAL SILICON VALLEY SECURITIES LLC
SAN RAMON, CA, UNITED STATES
RESIGNED

GREEN STREET TRA
GREEN STREET TRADING, LLC
NEWPORT BEACH, CA, UNITED STATES
RESIGNED

GREENWICH ENERGY
GREENWICH ENERGY CAPITAL
21 BENEDICT PLACE, GREENWICH, CT 06830
ADMITTED

H

HIDDEN ROAD PART
HIDDEN ROAD PARTNERS CIV US LLC
589 FIFTH AVENUE, SUITE 814, NEW YORK, NY 10017
ADMITTED

HT CAPITAL SECUR
HT CAPITAL SECURITIES, LLC
NEW YORK, NY
RESIGNED

I

ICV GROUP, INC.
ICV GROUP, INC.
405 LEXINGTON AVE, FLOOR 26, NEW YORK, NY 10174
ADMITTED

J

JUST2TRADE, INC.
JUST2TRADE, INC.
NAME CHANGED TO: SCORE PRIORITY CORP.

JUST2TRADE, INC.
SCORE PRIORITY CORP.
NEW NAME OF: JUST2TRADE, INC.

K

KJM SECURITIES,
KJM SECURITIES, INC.
BRONXVILLE, NY, UNITED STATES
EXPELLED FOR PURSUANT TO FINRA RULE 9552

L

LANGDON P. COOK
LANGDON P. COOK GOVERNMENT SECURITIES, LLC
NEW YORK, NY, UNITED STATES
RESIGNED

LIQUIDLY IAS, LL
LIQUIDLY IAS, LLC
434 WEST 33RD STREET, NEW YORK, NY 10001
ADMITTED

M

MOMENTUM CAPITAL
MOMENTUM CAPITAL MARKETS, LLC
101 SECOND STREET, SUITE 1275, SAN FRANCISCO, CA 94105
ADMITTED

MORTON SEIDEL &
MORTON SEIDEL & COMPANY, INC.
BEVERLY HILLS, CA, UNITED STATES
RESIGNED

N

NEIGHBORLY SECUR
NEIGHBORLY SECURITIES
SAN FRANCISCO, CA, UNITED STATES
RESIGNED

O

ORIENTAL FINANCI
ORIENTAL FINANCIAL SERVICES CORP.
NAME CHANGED TO: ORIENTAL FINANCIAL SERVICES LLC

ORIENTAL FINANCI
ORIENTAL FINANCIAL SERVICES LLC
NEW NAME OF: ORIENTAL FINANCIAL SERVICES CORP.

P

PIPER JAFFRAY &
PIPER JAFFRAY & CO.
NAME CHANGED TO: PIPER SANDLER & CO.

PIPER JAFFRAY &
PIPER SANDLER & CO.
NEW NAME OF: PIPER JAFFRAY & CO.

PIPER SANDLER &
U.S. BANCORP PIPER JAFFRAY INC.
MERGED SANDLER, O'NEILL & PARTNERS, L.P.
TO FORM PIPER SANDLER & CO.

PNC FUNDS DISTRI
PNC FUNDS DISTRIBUTOR, LLC
NAME CHANGED TO: FORESIDE DISTRIBUTION SOLUTIONS, LLC

PNC FUNDS DISTRI
FORESIDE DISTRIBUTION SOLUTIONS, LLC
NEW NAME OF: PNC FUNDS DISTRIBUTOR, LLC

PRESIDENTIAL BRO
PRESIDENTIAL BROKERAGE, INC.
NAME CHANGED TO: FORTA FINANCIAL GROUP, INC.

PRESIDENTIAL BRO
FORTA FINANCIAL GROUP, INC.
NEW NAME OF: PRESIDENTIAL BROKERAGE, INC.

PWP SECURITIES L
PWP SECURITIES LLC
DARIEN, CT
RESIGNED

R

RBC CAPITAL MARK
RBC CAPITAL MARKETS ARBITRAGE, S.A.
NAME CHANGED TO: RBC CMA LLC

RBC CAPITAL MARK
RBC CMA LLC
NEW NAME OF: RBC CAPITAL MARKETS ARBITRAGE, S.A.

S

SECFI SECURITIES
SECFI SECURITIES, LLC
95 3RD STREET, SAN FRANCISCO, CA 94103
ADMITTED

SPC CAPITAL MARK
SPC CAPITAL MARKETS LLC
20 HORSENECK LANE,, FIRST FLOOR, GREENWICH, CT 06830
MAILING ADDRESS: 20 HORSENECK LANE,, SECOND FLOOR, GREENWICH, CT 06830
ADMITTED

SWENEY CARTWRIGH
SWENEY CARTWRIGHT & COMPANY
COLUMBUS, OH, UNITED STATES
RESIGNED

T

THE WILLIAMS CAP
THE WILLIAMS CAPITAL GROUP, L.P.
NEW YORK, NY, UNITED STATES
RESIGNED

TWENTY-FIRST SEC
TWENTY-FIRST SECURITIES CORPORATION
NEW YORK, NY, UNITED STATES
RESIGNED