Changes to List of Firms We Regulate

For the period of 6/1/2015 through 6/30/2015

A

ABRAMENKO & COMP
ABRAMENKO & COMPANY, INC.
PARAMUS, NJ, UNITED STATES
RESIGNED

ACALYX ADVISORS
ACALYX ADVISORS INC.
330 MADISON AVENUE, 6TH FLOOR, NEW YORK, NY 10017
MAILING ADDRESS: 330 MADISON AVE., 6TH FLOOR; SUITE 612, NEW YORK, NY 10017
ADMITTED

AON BENFIELD SEC
AON BENFIELD SECURITIES, INC.
NAME CHANGED TO: AON SECURITIES INC.

AON BENFIELD SEC
AON SECURITIES INC.
NEW NAME OF: AON BENFIELD SECURITIES, INC.

ASG SECURITIES,
ASG SECURITIES, INC.
FT. LAUDERDALE, FL, UNITED STATES
EXPELLED FOR PURSUANT TO FINRA RULE 9552.

B

BLUE TIGER WEALT
BLUE TIGER WEALTH MANAGEMENT
NAME CHANGED TO: THIRD PARTY TRADE LLC

BLUE TIGER WEALT
THIRD PARTY TRADE LLC
NEW NAME OF: BLUE TIGER WEALTH MANAGEMENT

BROOKVILLE CAPIT
BROOKVILLE CAPITAL PARTNERS
MELVILLE, NY, USA
EXPELLED FOR FAILURE TO PAY FINES AND/OR COSTS

C

CAPNET SECURITIE
CAPNET SECURITIES CORPORATION
HOUSTON, TX, UNITED STATES
RESIGNED

CHAMPION CAPITAL
CHAMPION CAPITAL CORPORATION
NAME CHANGED TO: QUINT CAPITAL CORPORATION

CHAMPION CAPITAL
QUINT CAPITAL CORPORATION
NEW NAME OF: CHAMPION CAPITAL CORPORATION

CLARK DODGE & CO
CLARK DODGE & CO., INC.
WHITE PLAINS, NY, UNITED STATES
CANCELLED FOR FAILURE TO PAY OUTSTANDING FEES

CLEARWATER SECUR
CLEARWATER SECURITIES, LLC
101 S. CAPITOL BLVD., SUITE 600, BOISE, ID 83702
MAILING ADDRESS: 950 W.BANNOCK, SUITE 1050, BOISE, ID 83702
ADMITTED

COGNIENT SECURIT
COGNIENT SECURITIES, LLC
NAME CHANGED TO: MCP SECURITIES, LLC

COGNIENT SECURIT
MCP SECURITIES, LLC
NEW NAME OF: COGNIENT SECURITIES, LLC

D

DE GUARDIOLA ADV
DE GUARDIOLA ADVISORS, INC.
NAME CHANGED TO: DE GUARDIOLA ADVISORS, LLC

DE GUARDIOLA ADV
DE GUARDIOLA ADVISORS, LLC
NEW NAME OF: DE GUARDIOLA ADVISORS, INC.

DIRECT ACCESS PA
DIRECT ACCESS PARTNERS LLC
NEW YORK, NY, USA
RESIGNED

E

EAGLE EQUITIES,
EAGLE EQUITIES, INC.
GLEN BURNIE, MD, UNITED STATES
RESIGNED

ENSEMBLE FINANCI
ENSEMBLE FINANCIAL SERVICES, INC.
PITTSFORD, NY, UNITED STATES
RESIGNED

F

FORESIDE SECURIT
FORESIDE SECURITIES, LLC
THREE CANAL PLAZA 3RD FLOOR, PORTLAND, ME 04101
MAILING ADDRESS: 899 CASSATT ROAD, 400 BERWYN PARK, BERWYN, PA 19312
ADMITTED

G

GLADOWSKY CAPITA
GLADOWSKY CAPITAL MANAGEMENT CORP.
NAME CHANGED TO: THE GLADOWSKY GROUP

GLADOWSKY CAPITA
THE GLADOWSKY GROUP
NEW NAME OF: GLADOWSKY CAPITAL MANAGEMENT CORP.

GREEN MANNING &
GREEN MANNING & BUNCH, LTD.
DENVER, CO, UNITED STATES
RESIGNED

G-TRADE SERVICES
G-TRADE SERVICES LLC
NEW YORK, NY
RESIGNED

GUARDIAN INVESTO
GUARDIAN INVESTOR SERVICES LLC
NEW YORK, NY, UNITED STATES
RESIGNED

GUGGENHEIM ENERG
GUGGENHEIM ENERGY ADVISORS, LLC
NEW YORK, NY
RESIGNED

H

H.C.WAINWRIGHT &
H.C.WAINWRIGHT & CO., LLC
NAME CHANGED TO: H.C.WAINWRIGHT & CO., LLC

H.C.WAINWRIGHT &
H.C.WAINWRIGHT & CO., LLC
NEW NAME OF: H.C.WAINWRIGHT & CO., LLC

I

IDX MARKETS, LLC
IDX MARKETS, LLC
79 MADISON AVENUE, 2ND FL, NEW YORK, NY 10016
MAILING ADDRESS: PO BOX 4668 # 44764, NEW YORK, NY 10163-4668
ADMITTED

INTEGRITY SECURI
INTEGRITY SECURITIES, INC.
OAKLAND, CA, UNITED STATES
RESIGNED

J

JAMIESON CORPORA
JAMIESON CORPORATE FINANCE US LLC
600 MADISON AVENUE, NEW YORK, NY 10022
MAILING ADDRESS: 37-43 SACKVILLE ST., LONDON W1S3 EH
ADMITTED

JAPANINVEST INC.
JAPANINVEST INC.
NAME CHANGED TO: HAITONG INTERNATIONAL SECURITIES (USA) INC.

JAPANINVEST INC.
HAITONG INTERNATIONAL SECURITIES (USA) INC.
NEW NAME OF: JAPANINVEST INC.

JM FINANCIAL SEC
JM FINANCIAL SECURITIES, INC.
HARBORSIDE FINANCIAL CENTER, 2500 PLAZA 5, 25TH FLOOR, OFFICE NO. 2558
JERSEY CITY, NJ 07311
MAILING ADDRESS: PO BOX 217, 170 MONTAUK HIGHWAY, SPEONK, NY 11972
ADMITTED

JOHNSTON, LEMON
JOHNSTON, LEMON & CO. INCORPORATED
WASHINGTON, DC, UNITED STATES
RESIGNED

K

KAISER AND COMPA
KAISER AND COMPANY
CHEYENNE, WY, UNITED STATES
RESIGNED

KASHNER DAVIDSON
KASHNER DAVIDSON SECURITIES CORPORATION
SARASOTA, FL, UNITED STATES
RESIGNED

L

LEVY CAPITAL PAR
LEVY CAPITAL PARTNERS, LLC
21 WOODFIELD DRIVE, SHORT HILLS, NJ 07078-1609
MAILING ADDRESS: 21 WOODFIELD DRIVE, SHORT HILLS, NJ 07078-1609
ADMITTED

LIQUIDITYEDGE, L
LIQUIDITYEDGE, LLC.
450 PARK AVE SOUTH, 3RD FLOOR, NEW YORK, NY 10016
MAILING ADDRESS: 1230 AVENUE OF AMERICAS, NEW YORK, NY 10020
ADMITTED

M

MARBLE TWO CAPIT
MARBLE TWO CAPITAL, LLC
11766 WILSHIRE BLVD. STE 1230, LOS ANGELES, CA 90025
ADMITTED

MARTIN CURRIE IN
MARTIN CURRIE INVESTOR SERVICES, INC.
NEW YORK, NY, UNITED STATES
RESIGNED

MARTINEZ-AYME SE
MARTINEZ-AYME SECURITIES
MIAMI, FL, USA
EXPELLED FOR FAILURE TO PAY FINES AND/OR COSTS

MCMANUS & MILES
MCMANUS & MILES INCORPORATED
NEW YORK, NY, UNITED STATES
RESIGNED

MERRIMAC CORPORA
MERRIMAC CORPORATE SECURITIES, INC.
ALTAMONTE SPRINGS, FL, UNITED STATES
CANCELLED FOR FAILURE TO PAY OUTSTANDING FEES

MOSAIC CAPITAL S
MOSAIC CAPITAL SECURITIES, LLC
SHERMAN OAKS, CA, USA
EXPELLED FOR PURSUANT TO FINRA RULE 9552

N

N3 FINANCIAL, IN
N3 FINANCIAL, INC.
NAME CHANGED TO: N4 FINANCIAL, INC.

N3 FINANCIAL, IN
N4 FINANCIAL, INC.
NEW NAME OF: N3 FINANCIAL, INC.

NIA SECURITIES,
NIA SECURITIES, L.L.C.
NAME CHANGED TO: MMA SECURITIES LLC

NIA SECURITIES,
MMA SECURITIES LLC
NEW NAME OF: NIA SECURITIES, L.L.C.

NORTHSTAR REALTY
NORTHSTAR REALTY SECURITIES, LLC
NAME CHANGED TO: NORTHSTAR SECURITIES, LLC

NORTHSTAR REALTY
NORTHSTAR SECURITIES, LLC
NEW NAME OF: NORTHSTAR REALTY SECURITIES, LLC

O

OLDEN LANE SECUR
OLDEN LANE SECURITIES, LLC
200 FORRESTAL RD, SUITE 3B, PRINCETON, NJ 08540
MAILING ADDRESS: ONE MAIN ST., SUITE 202, CHATHAM, NJ 07928-2426
ADMITTED

P

PERKINS, SMART &
PERKINS, SMART & BOYD, INC.
SHAWNEE MISSION, KS, UNITED STATES
RESIGNED

PACIFIC CREST SE
PACIFIC CREST SECURITIES LLC
PORTLAND, OR, UNITED STATES
RESIGNED

R

RAMAT SECURITIES
RAMAT SECURITIES LTD.
BEACHWOOD, OH, UNITED STATES
RESIGNED

REDRIDGE SECURIT
REDRIDGE SECURITIES, INC.
CHICAGO, IL, UNITED STATES
RESIGNED

RODMAN & RENSHAW
RODMAN & RENSHAW
NAME CHANGED TO: H.C.WAINWRIGHT & CO., LLC

RODMAN & RENSHAW
H.C.WAINWRIGHT & CO., LLC
NEW NAME OF: RODMAN & RENSHAW

S

STANDARD NEW YOR
STANDARD NEW YORK, INC.
520 MADISON AVENUE, 28TH FLOOR, NEW YORK, NY 10022
ADMITTED

STIFEL, NICOLAUS
TO FORM STIFEL, NICOLAUS & COMPANY, INCORPORATED
ACQUIRED STERNE, AGEE & LEACH, INC.

STIFEL, NICOLAUS
TO FORM STIFEL, NICOLAUS & COMPANY, INCORPORATED
ACQUIRED STERNE, AGEE AND LEACH, INC.

SUMMER STREET RE
SUMMER STREET RESEARCH PARTNERS
BOSTON, MA, USA
RESIGNED

SURKIS INCORPORA
SURKIS INCORPORATED
NAME CHANGED TO: AMERICAS EXECUTIONS, INC.

SURKIS INCORPORA
AMERICAS EXECUTIONS, INC.
NEW NAME OF: SURKIS INCORPORATED

T

THE KELT GROUP,
THE KELT GROUP, LLC
NAME CHANGED TO: TKG FINANCIAL, LLC

THE KELT GROUP,
TKG FINANCIAL, LLC
NEW NAME OF: THE KELT GROUP, LLC

THE REID GROUP L
THE REID GROUP LLC
NEW YORK, NY
EXPELLED FOR PURSUANT TO FINRA RULE 9552.

U

UCAP SECURITIES
UCAP SECURITIES LLC
130 WEST 42ND STREET, 15TH FL., NEW YORK, NY 10036
MAILING ADDRESS: 130 WEST 42ND STREET, 15TH FL, NEW YORK, NY 10036
ADMITTED

W

WARNER FINANCIAL
WARNER FINANCIAL INTERNATIONAL INCORPORATED
ROCKFORD, IL, UNITED STATES
RESIGNED

WELBORN CAPITAL
WELBORN CAPITAL LLC
HUDSON, NY
RESIGNED

WISEBANYAN SECUR
WISEBANYAN SECURITIES LLC
57 WEST 57 STREET, SUITE 319, NEW YORK, NY 10019
MAILING ADDRESS: 57 WEST 57TH STREET, SUITE 319, NEW YORK, NY 10019
ADMITTED