Changes to List of Broker-Dealer Firms We Regulate
For the period of 7/1/2023 through 7/31/2023
A
AIA SECURITIES L
AIA SECURITIES LLC
2 VENTURE, SUITE 430, IRVINE, CA 92618
MAILING ADDRESS: 26661 AVENIDA VERONICA, MISSION VIEJO, CA 92691
ADMITTED
ALVARIUM MB (US)
ALVARIUM MB (US) BD, LLC
NAME CHANGED TO: ALTI STRATEGIC ADVISORY (US) BD, LLC
ALVARIUM MB (US)
ALTI STRATEGIC ADVISORY (US) BD, LLC
NEW NAME OF: ALVARIUM MB (US) BD, LLC
AUDACITY CAPITAL
AUDACITY CAPITAL PARTNERS LLC
26455 RIVERROCK WAY, SANTA CLARITA, CA 91350
MAILING ADDRESS: 10866 WILSHIRE BLVD, 4TH FLOOR, LOS ANGELES, CA 90024
ADMITTED
AUGMENT CAPITAL,
AUGMENT CAPITAL, LLC
5302 WOODROW AVENUE, AUSTIN, TX 78756
ADMITTED
B
BLUEPRINT CAPITA
BLUEPRINT CAPITAL MARKETS
NEWARK, NJ, UNITED STATES
RESIGNED
BONDS.COM, INC.
BONDS.COM, INC.
NAME CHANGED TO: BONDS.COM LLC
BONDS.COM, INC.
BONDS.COM LLC
NEW NAME OF: BONDS.COM, INC.
BOREALIS CAPITAL
BOREALIS CAPITAL LLC
2018 156TH AVE NE, UNIT 100, BELLEVUE, WA 98007
ADMITTED
D
DELPHOS MMJ LP
DELPHOS MMJ LP
NAME CHANGED TO: DELPHOS MMJ L.P.
DELPHOS MMJ LP
DELPHOS MMJ L.P.
NEW NAME OF: DELPHOS MMJ LP
E
EKATS SECURITIES
EKATS SECURITIES, INC.
NAME CHANGED TO: SBC PARTNERS
EKATS SECURITIES
SBC PARTNERS
NEW NAME OF: EKATS SECURITIES, INC.
F
FIDX MARKETS LLC
FIDX MARKETS LLC
1000 CHESTERBROOK BLVD, STE 135, BERWYN, PA 19312
ADMITTED
FIRST SOVEREIGN
FIRST SOVEREIGN SECURITIES
NORTHBROOK, IL, UNITED STATES
RESIGNED
H
HULL PARTNERS LL
HULL PARTNERS LLC
141 WEST JACKSON BLVD, SUITE 1650, CHICAGO, IL 60604-2992
ADMITTED
J
JMP SECURITIES L
JOLSON MERCHANT PARTNERS
CITIZENS CAPITAL MARKETS
MERGEDCITIZENS CAPITAL MARKETS, INC.
TO FORM JMP SECURITIES LLC
JRL CAPITAL CORP
JRL CAPITAL CORPORATION
IRVINE, CA, UNITED STATES
RESIGNED
L
LEERINK PARTNERS
LEERINK PARTNERS
NAME CHANGED TO: LEERINK PARTNERS LLC
LEERINK PARTNERS
LEERINK PARTNERS LLC
NEW NAME OF: LEERINK PARTNERS
LEERINK PARTNERS
LEERINK PARTNERS, LLC
NAME CHANGED TO: LEERINK PARTNERS LLC
LEERINK PARTNERS
LEERINK PARTNERS LLC
NEW NAME OF: LEERINK PARTNERS, LLC
LEWIS YOUNG ROBE
LEWIS YOUNG ROBERTSON & BURNINGHAM, INC.
NAME CHANGED TO: LRB PUBLIC FINANCE ADVISORS, INC.
LEWIS YOUNG ROBE
LRB PUBLIC FINANCE ADVISORS, INC.
NEW NAME OF: LEWIS YOUNG ROBERTSON & BURNINGHAM, INC.
LOCKTON RE CAPIT
LOCKTON RE CAPITAL MARKETS, LLC
48 WEST 25TH STREET, 7TH FLOOR, NEW YORK, NY 10010
ADMITTED
LUCRUM CAPITAL S
LUCRUM CAPITAL SECURITIES
1750 TYSONS BLVD, SUITE 1500, MCLEAN, VA 22102
ADMITTED
LPL FINANCIAL LL
LPL FINANCIAL LLC
BANCWEST INVESTMENT SERVICES, INC.
BWC INVESTMENT SERVICES, INC.
CENTRAL FIDELITY SECURITIES, INC.
CENTRAL FIDELITY INVESTMENT SERVICES, INC.
M
MERCURY INVESTME
MERCURY INVESTMENT SERVICES LLC
660 MISSION ST, FLOOR 4, SAN FRANCISCO, CA 94105
ADMITTED
MONMOUTH CAPITAL
MONMOUTH CAPITAL MANAGEMENT LLC
POINT PLEASANT BEACH, NJ, UNITED STATES
EXPELLED FOR WILLFULLY VIOLATED THE CARE OBLIGATION OF REGULATION BEST INTEREST, SECTION 10(B) OF THE SECURITIES EXCHANGE ACT OF 1934, AND RULE 10B-5; SECTION 17(A)(1) OF THE SECURITIES EXCHANGE ACT OF 1934; EXCHANGE ACT RULE 17A-14; AND EXCHANGE ACT RULE 15L-1(A)
O
OTR GLOBAL TRADI
OTR GLOBAL TRADING LLC
PURCHASE, NY, USA
RESIGNED
P
PALMIERI, ANGNAR
PALMIERI, ANGNARDO & CO., INC.
NAME CHANGED TO: JBH FINANCIAL INC.
PALMIERI, ANGNAR
JBH FINANCIAL INC.
NEW NAME OF: PALMIERI, ANGNARDO & CO., INC.
PENSION FUND EVA
PENSION FUND EVALUATIONS, INC.
CENTEREACH, NY, UNITED STATES
EXPELLED FOR FAILED TO REQUEST TERMINATION OF ITS SUSPENSION WITHIN THREE MONTHS OF THE DATE OF THE NOTICE OF SUSPENSION
PROMETHEUM CAPIT
PROMETHEUM CAPITAL
NAME CHANGED TO: PROMETHEUM EMBER CAPITAL
PROMETHEUM CAPIT
PROMETHEUM EMBER CAPITAL
NEW NAME OF: PROMETHEUM CAPITAL
R
REMSENBURG CAPIT
REMSENBURG CAPITAL, LLC
5 GODFREY LANE, BX 52, REMSENBURG, NY 11960
ADMITTED
S
SINGPOLI WEALTH
SINGPOLI WEALTH MANAGEMENT LLC
ARCADIA, CA, UNITED STATES
RESIGNED
ST GLOBAL MARKET
ST GLOBAL MARKETS USA LLC
215-15 NORTHERN BLVD, SUITE 304, BAYSIDE, NY 11361
ADMITTED
STORMHARBOUR SEC
STORMHARBOUR SECURITIES LP
NEW YORK, NY, UNITED STATES
EXPELLED FOR FAILED TO REQUEST TERMINATION OF ITS SUSPENSION WITHIN THREE MONTHS OF THE DATE OF THE NOTICE OF SUSPENSION
SVB SECURITIES L
SVB SECURITIES LLC
NAME CHANGED TO: LEERINK PARTNERS LLC
SVB SECURITIES L
LEERINK PARTNERS LLC
NEW NAME OF: SVB SECURITIES LLC
SYMBRIDGE CAPITA
SYMBRIDGE CAPITAL LLC
GREENWICH, CT, UNITED STATES
RESIGNED
T
TIDAL PARTNERS
TIDAL PARTNERS
260 HOMER AVENUE, SUITE 101, PALO ALTO, CA 94301
ADMITTED
TORREYA CAPITAL,
TORREYA CAPITAL, LLC
NEW YORK, NY, USA
RESIGNED
U
UNITED SECURITIE
UNITED SECURITIES
SALT LAKE CITY, UT, UNITED STATES
CANCELED FOR FAILURE TO PAY OUTSTANDING FEES.
W
WITHUM CAPITAL,
WITHUM CAPITAL, LLC
200 JEFFERSON PARK, SUITE 400, WHIPPANY, NJ 07981
ADMITTED