Changes to List of Broker Dealer Firms We Regulate

For the period of 12/1/2017 through 12/31/2017

A

AMUNDI DISTRIBUT
AMUNDI DISTRIBUTORS USA, LLC
DURHAM, NC, USA
RESIGNED

B

BIONDO ASSET MAN
BIONDO ASSET MANAGEMENT LLC
MILFORD, PA, USA
RESIGNED

BLOCK ORDERS EXE
BLOCK ORDERS EXECUTION, LLC
NEW YORK, NY, UNITED STATES
RESIGNED

C

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

CLEVELAND HAUSWI
CLEVELAND HAUSWIRTH INVESTMENT MANAGEMENT, INC.
MILWAUKEE, WI, USA
RESIGNED

CRB SECURITIES,
CRB SECURITIES, LLC
400 KELBY STREET, 14TH FLOOR, FORT LEE, NJ 07024
ADMITTED

CURRENT CAPITAL
CURRENT CAPITAL SECURITIES LLC
950 THIRD AVE - 26TH FLOOR, NEW YORK, NY 10022
MAILING ADDRESS: 950 THIRD AVE - 26TH FLOOR, NEW YORK, NY 10022
ADMITTED

D

DELTA ONE, LLC
DELTA ONE, LLC
NAME CHANGED TO: VALOR FIRST, LLC

DELTA ONE, LLC
VALOR FIRST, LLC
NEW NAME OF: DELTA ONE, LLC

F

FAP USA, L.P.
FAP USA, L.P.
NAME CHANGED TO: FIRST AVENUE

FAP USA, L.P.
FIRST AVENUE
NEW NAME OF: FAP USA, L.P.

FBR CAPITAL MARK
FBR CAPITAL MARKETS & CO.
NAME CHANGED TO: B. RILEY FBR, INC.

FBR CAPITAL MARK
B. RILEY FBR, INC.
NEW NAME OF: FBR CAPITAL MARKETS & CO.

FBT INVESTMENTS,
FBT INVESTMENTS, INC.
NEW ORLEANS, LA, USA
RESIGNED

FRIEDMAN, LUZZAT
FRIEDMAN, LUZZATTO & CO.
DALLAS, TX, UNITED STATES
RESIGNED

G

GHS TRADING LLC
GHS TRADING LLC
COSTA MESA, CA, USA
RESIGNED

H

HORIZON FINANCIA
HORIZON FINANCIAL INVESTMENT CORPORATION
WILLINGBORO, NJ, UNITED STATES
RESIGNED

K

KEYBANC CAPITAL
KEYBANC CAPITAL MARKETS INC.
CAIN BROTHERS & COMPANY, LLC
CAIN BROTHERS & COMPANY, INCORPORATED
CAIN BROTHERS, SHATTUCK & COMPANY, INCORPORATED
MERGED CAIN BROTHERS, SHATTUCK & COMPANY
TO FORM KEYBANC CAPITAL MARKETS INC.

M

M. AMARICO, INC.
M. AMARICO, INC.
WEST REDDING, CT, UNITED STATES
CANCELLED FOR FAILURE TO PAY OUTSTANDING FEES

MAINSTREET CAPIT
MAINSTREET CAPITAL PARTNERS
CARMEL, IN
RESIGNED

MARTEL CAPITAL,
MARTEL CAPITAL, LLC
NEW YORK, NY, USA
RESIGNED

MORGAN JOSEPH TR
MORGAN JOSEPH TRIARTISAN LLC
WHITE PLAINS, NY, UNITED STATES
RESIGNED

N

NORTH NASSAU ADV
NORTH NASSAU ADVISORS, LLC
PRINCETON, NJ, USA
CANCELLED FOR FAILURE TO MEET THE ELIGIBILITY OR QUALIFICATION STANDARDS OR PREREQUISITES FOR ACCESS TO SERVICES

P

P.R. GILBOY & AS
P.R. GILBOY & ASSOCIATES, INC.
CHARLOTTE, NC, UNITED STATES
RESIGNED

PROGRESSIVE ASSE
PROGRESSIVE ASSET MANAGEMENT, INC.
NAME CHANGED TO: EQIS SECURITIES, LLC

PROGRESSIVE ASSE
EQIS SECURITIES, LLC
NEW NAME OF: PROGRESSIVE ASSET MANAGEMENT, INC.

PSG EXECUTIONS,
PSG EXECUTIONS, INC.
ENGLEWOOD CLIFFS, NJ, USA
RESIGNED

R

RCG, LLC
RCG, LLC
NAME CHANGED TO: DRAKE STAR SECURITIES LLC

RCG, LLC
DRAKE STAR SECURITIES LLC
NEW NAME OF: RCG, LLC

REDBRIDGE SECURI
REDBRIDGE SECURITIES LLC
2591 DALLAS PARKWAY, SUITE 300, FRISCO, TX 75034
ADMITTED

RLJ CAPITAL MARK
RLJ CAPITAL MARKETS, LLC
BETHESDA, MD
RESIGNED

ROBERTSON STEPHE
ROBERTSON STEPHENS SECURITIES
SAN FRANCISCO, CA
RESIGNED

S

SBERBANK CIB
SBERBANK CIB
NAME CHANGED TO: SBERBANK CIB USA, INC.

SBERBANK CIB
SBERBANK CIB USA, INC.
NEW NAME OF: SBERBANK CIB

SBERBANK CIB USA
SBERBANK CIB USA, INC
NAME CHANGED TO: SBERBANK CIB USA, INC.

SBERBANK CIB USA
SBERBANK CIB USA, INC.
NEW NAME OF: SBERBANK CIB USA, INC

SCOPE ADVISORS L
SCOPE ADVISORS LLC
15020 ALTATA DRIVE, PACIFIC PALISADES, CA 90272
ADMITTED

T

TRAVERSI CAPITAL
TRAVERSI CAPITAL ADVISORS, LLC
HEALDSBURG, CA, UNITED STATES
RESIGNED

W

WINLO MANAGEMENT
WINLO MANAGEMENT GROUP, LLC
3801 PGA BLVD, SUITE 902, PALM BEACH GARDENS, FL 33410-2757
ADMITTED

WINLO MANAGEMENT
WINLO MANAGEMENT GROUP
NAME CHANGED TO: WINLO MANAGEMENT GROUP, LLC

WINLO MANAGEMENT
WINLO MANAGEMENT GROUP, LLC
NEW NAME OF: WINLO MANAGEMENT GROUP