Changes to List of Firms We Regulate

For the period of 4/1/2015 through 4/30/2015

A

ADVANCED EQUITIE
ADVANCED EQUITIES SERVICES CORP.
NEW YORK, NY, USA
RESIGNED

APT HEALTHCARE C
APT HEALTHCARE CAPITAL
NAME CHANGED TO: CROSSROADS CAPITAL DISTRIBUTORS, LLC

APT HEALTHCARE C
CROSSROADS CAPITAL DISTRIBUTORS, LLC
NEW NAME OF: APT HEALTHCARE CAPITAL

ASSETPOINT FINAN
ASSETPOINT FINANCIAL, LLC
1515 NORTH COURTHOUSE ROAD, SUITE 1200, ARLINGTON, VA 22201-2909
ADMITTED

ASSOCIATED BOND
ASSOCIATED BOND BROKERS, INC.
DALLAS, TX, UNITED STATES
RESIGNED

ASTON CAPITAL AD
ASTON CAPITAL ADVISORS, LLC
13015 WASHINGTON BLVD., LOS ANGELES, CA 90066
MAILING ADDRESS: PO BOX 1914, SANTA MONICA, CA 90406
ADMITTED

ATRIUM TRADING,
ATRIUM TRADING, INC
NAME CHANGED TO: MONERE INVESTMENTS, INC.

ATRIUM TRADING,
MONERE INVESTMENTS, INC.
NEW NAME OF: ATRIUM TRADING, INC

C

CAPITAL ONE INVE
CAPITAL ONE INVESTMENT SERVICES LLC
MELVILLE, NY, UNITED STATES
RESIGNED

CITADEL CLEARING
CITADEL CLEARING LLC
131 SOUTH DEARBORN STREET 32ND FLOOR, CHICAGO, IL 60603
ADMITTED

CITATION FINANCI
CITATION FINANCIAL GROUP, L.P.
NEW YORK, NY, UNITED STATES
RESIGNED

CP COGENT SECURI
CP COGENT SECURITIES LP
NAME CHANGED TO: GREENHILL COGENT, LP

CP COGENT SECURI
GREENHILL COGENT, LP
NEW NAME OF: CP COGENT SECURITIES LP

CRT CAPITAL GROU
TO FORM CRT CAPITAL GROUP LLC
ACQUIRED STERNE, AGEE & LEACH, INC.

CRT CAPITAL GROU
TO FORM CRT CAPITAL GROUP LLC
ACQUIRED STERNE, AGEE AND LEACH, INC.

CRT CAPITAL GROU
TO FORM CRT CAPITAL GROUP LLC
ACQUIRED STERNE, AGEE & LEACH, INC.

CRT CAPITAL GROU
TO FORM CRT CAPITAL GROUP LLC
ACQUIRED STERNE, AGEE AND LEACH, INC.

CRUCIBLE CAPITAL
CRUCIBLE CAPITAL GROUP, INC.
NAME CHANGED TO: ACHILLES SECURITIES, LLC

CRUCIBLE CAPITAL
ACHILLES SECURITIES, LLC
NEW NAME OF: CRUCIBLE CAPITAL GROUP, INC.

E

EDWIN C. BLITZ I
EDWIN C. BLITZ INVESTMENTS, INC.
NAME CHANGED TO: KINGSBURY CAPITAL, INC.

EDWIN C. BLITZ I
KINGSBURY CAPITAL, INC.
NEW NAME OF: EDWIN C. BLITZ INVESTMENTS, INC.

G

GLOBAL LIQUIDITY
GLOBAL LIQUIDITY EXECUTION SERVICES, LLC
311 S. WACKER DRIVE, SUITE 2280A, CHICAGO, IL 60606
MAILING ADDRESS: 311 S. WACKER DRIVE, SUITE 2280, CHICAGO, IL 60606
ADMITTED

GOOGINS & ANTON,
GOOGINS & ANTON, INC.
NAME CHANGED TO: GOOGINS ADVISORS, INC

GOOGINS & ANTON,
GOOGINS ADVISORS, INC
NEW NAME OF: GOOGINS & ANTON, INC.

GRANT STREET SEC
GRANT STREET SECURITIES, INC.
PITTSBURGH, PA, UNITED STATES
RESIGNED

H

HEFFERNAN SECURI
HEFFERNAN SECURITIES, LLC
NAME CHANGED TO: GOGAN & WILLIAMS

HEFFERNAN SECURI
GOGAN & WILLIAMS
NEW NAME OF: HEFFERNAN SECURITIES, LLC

HOLLISTER ASSOCI
HOLLISTER ASSOCIATES, LLC
713 NEW MARKET DRIVE, MT. PLEASANT, SC 29464
ADMITTED

I

ICAP ELECTRONIC
ICAP ELECTRONIC BROKING LLC
NAME CHANGED TO: BROKERTEC AMERICAS LLC

ICAP ELECTRONIC
BROKERTEC AMERICAS LLC
NEW NAME OF: ICAP ELECTRONIC BROKING LLC

ICON SECURITIES,
ICON SECURITIES, LLC
NAME CHANGED TO: CION SECURITIES, LLC

ICON SECURITIES,
CION SECURITIES, LLC
NEW NAME OF: ICON SECURITIES, LLC

K

KEYBANC CAPITAL
KEYBANC CAPITAL MARKETS INC.
MERGED WITH PACIFIC CREST SECURITIES LLC
PACIFIC CREST SECURITIES INC.
GALLAGHER CAPITAL CORP.
TO FORM KEYBANC CAPITAL MARKETS INC.

KILDARE CAPITAL,
KILDARE CAPITAL, INC.
BERWYN, PA, UNITED STATES
CANCELLED FOR FAILURE TO PAY OUTSTANDING FEES.

M

MERGER & ACQUISI
MERGER & ACQUISITION CAPITAL SERVICES, INC.
NAME CHANGED TO: MERGER & ACQUISITION CAPITAL SERVICES, LLC

MERGER & ACQUISI
MERGER & ACQUISITION CAPITAL SERVICES, LLC
NEW NAME OF: MERGER & ACQUISITION CAPITAL SERVICES, INC.

MERITUS FINANCIA
MERITUS FINANCIAL GROUP, INC.
ELGIN, IL, USA
EXPELLED FOR FAILURE TO REQUEST TERMINATION OF ITS SUSPENSION WITHIN NOTICE

MONDIALE SECURIT
MONDIALE SECURITIES, LLC
NEW YORK, NY, USA
RESIGNED

N

NBF SECURITIES (
NBF SECURITIES (USA) CORP.
MONTREAL, CANADA
RESIGNED

NEW ENGLAND SECU
NEW ENGLAND SECURITIES
NEW YORK, NY, UNITED STATES
RESIGNED

P

PRIVEX SECURITIE
PRIVEX SECURITIES, INC.
LAKE FOREST, CA, USA
RESIGNED

R

REALFUND CAPITAL
REALFUND CAPITAL LLC
NAME CHANGED TO: EDGEMOOR PARTNERS LLC

REALFUND CAPITAL
EDGEMOOR PARTNERS LLC
NEW NAME OF: REALFUND CAPITAL LLC

RS PLATOU MARKET
RS PLATOU MARKETS, INC.
NAME CHANGED TO: CLARKSONS PLATOU SECURITIES, INC.

RS PLATOU MARKET
CLARKSONS PLATOU SECURITIES, INC.
NEW NAME OF: RS PLATOU MARKETS, INC.

S

SEA STREET CAPIT
SEA STREET CAPITAL ADVISORS LLC
825 THIRD AVENUE, 2ND FLOOR, NEW YORK, NY 10022
ADMITTED

SH INVESTMENT &
SH INVESTMENT & SECURITIES
LOS ANGELES, CA, USA
EXPELLED FOR FAILURE TO PAY FINES AND/OR COSTS

SLATED SECURITIE
SLATED SECURITIES, LLC
LOS ANGELES, CA, USA
RESIGNED

SOUTHPORT PARTNE
SOUTHPORT PARTNERS L.P.
SOUTHPORT, CT, UNITED STATES
RESIGNED

STANDARD CREDIT
STANDARD CREDIT SECURITIES INC.
NEW YORK, NY, UNITED STATES
RESIGNED

STANDARD NEW YOR
STANDARD NEW YORK SECURITIES, INC.
NAME CHANGED TO: ICBC STANDARD SECURITIES INC.

STANDARD NEW YOR
ICBC STANDARD SECURITIES INC.
NEW NAME OF: STANDARD NEW YORK SECURITIES, INC.

T

TAG SECURITIES,
TAG SECURITIES, INC.
NAME CHANGED TO: CG CAPITAL MARKETS, LLC

TAG SECURITIES,
CG CAPITAL MARKETS, LLC
NEW NAME OF: TAG SECURITIES, INC.

TRILOMA SECURITI
TRILOMA SECURITIES, LLC
228 NORTH PARK AVENUE, SUITE A, WINTER PARK, FL 32789
ADMITTED