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Changes to List of Broker-Dealer Firms We Regulate

For the period of 5/1/2022 through 5/31/2022

B

BOC INTERNATIONA
BOC INTERNATIONAL (USA) INC.
NEW YORK, NY, USA
RESIGNED

C

CAROLINA SECURIT
CAROLINA SECURITIES, INC.
NAME CHANGED TO: VELERITY GROUP

CAROLINA SECURIT
VELERITY GROUP
NEW NAME OF: CAROLINA SECURITIES, INC.

CLARKSONS PLATOU
CLARKSONS PLATOU SECURITIES, INC.
NAME CHANGED TO: CLARKSONS SECURITIES, INC

CLARKSONS PLATOU
CLARKSONS SECURITIES, INC
NEW NAME OF: CLARKSONS PLATOU SECURITIES, INC.

COLLAGE VENTURE
COLLAGE VENTURE PARTNERS, LLC
333 SE 2ND AVENUE, 20TH FLOOR, MIAMI, FL 33131
ADMITTED

COUNTRY CLUB FIN
COUNTRY CLUB FINANCIAL SERVICES, INC.
NAME CHANGED TO: CC CAPITAL ADVISORS, INC.

COUNTRY CLUB FIN
CC CAPITAL ADVISORS, INC.
NEW NAME OF: COUNTRY CLUB FINANCIAL SERVICES, INC.

CROWDSTREET CAPI
CROWDSTREET CAPITAL LLC
98 SAN JACINTO BLVD., FLOOR 4, AUSTIN, TX 78701
MAILING ADDRESS: 811 SW 6TH AVE, SUITE 1000, PORTLAND, OR 97204
ADMITTED

E

EBX LLC
EBX LLC
BOSTON, MA, USA
RESIGNED

EDGE ADVISORS LL
EDGE ADVISORS LLC
PHILADELPHIA, PA, USA
RESIGNED

EIGHT PINES SECU
EIGHT PINES SECURITIES LLC
HOUSTON, TX, USA
RESIGNED

F

FREC SECURITIES
FREC SECURITIES LLC
3033 N. CLARK ST., CHICAGO, IL 60657
MAILING ADDRESS: 3033 N CLARK ST, CHICAGO, IL 60657
ADMITTED

G

GARDNER FINANCIA
GARDNER FINANCIAL SERVICES, INC.
NAME CHANGED TO: OAKWOOD CAPITAL SECURITIES, INC.

GARDNER FINANCIA
OAKWOOD CAPITAL SECURITIES, INC.
NEW NAME OF: GARDNER FINANCIAL SERVICES, INC.

GILMARTIN FINANC
GILMARTIN FINANCIAL
60 E SIR FRANCIS DRAKE BLVD., SUITE 208, LARKSPUR, CA 94939
ADMITTED

I

INDEPENDENCE POI
INDEPENDENCE POINT SECURITIES LLC
600 5TH AVENUE, 8TH FLOOR, NEW YORK, NY 10020
ADMITTED

INDIANA SECURITI
INDIANA SECURITIES, LLC
INDIANAPOLIS, IN, UNITED STATES
RESIGNED

J

JAMES RIVER SECU
JAMES RIVER SECURITIES CORP.
MANAKIN-SABOT, VA, UNITED STATES
RESIGNED

JLA SECURITIES,
JLA SECURITIES, LLC
500 WOODWARD AVE, 14TH FLOOR, DETROIT, MI 48226
ADMITTED

L

LPL FINANCIAL LL
LPL FINANCIAL LLC
CUNA BROKERAGE SERVICES, INC.

M

METRIC FINANCIAL
METRIC FINANCIAL INC.
NAME CHANGED TO: METRIC FINANCIAL, LLC

METRIC FINANCIAL
METRIC FINANCIAL, LLC
NEW NAME OF: METRIC FINANCIAL INC.

MHT SECURITIES,
MHT SECURITIES, LP
NAME CHANGED TO: BEN SECURITIES COMPANY, L.P.

MHT SECURITIES,
BEN SECURITIES COMPANY, L.P.
NEW NAME OF: MHT SECURITIES, LP

P

PARALEL DISTRIBU
PARALEL DISTRIBUTORS
1700 BROADWAY, SUITE 1230, DENVER, CO 80290
MAILING ADDRESS: 1222 PEARL STREET, SUITE 200, BOULDER, CO 80302
ADMITTED

PFLUEGER & BAERW
PFLUEGER & BAERWALD INC.
SAN FRANCISCO, CA, UNITED STATES
RESIGNED

Q

QUANTEDGE CAPITA
QUANTEDGE CAPITAL USA INC.
NEW YORK, NY, USA
RESIGNED

R

RE INVESTMENT CO
RE INVESTMENT CORPORATION
NAME CHANGED TO: HOMESTEAD FINANCIAL SERVICES CORP.

RE INVESTMENT CO
HOMESTEAD FINANCIAL SERVICES CORP.
NEW NAME OF: RE INVESTMENT CORPORATION

S

SELALU PARTNERS,
SELALU PARTNERS, LLC
APOLLO BEACH, FL, USA
RESIGNED

STEWARD PARTNERS
STEWARD PARTNERS INVESTMENT SOLUTIONS, LLC
RAYMOND JAMES FINANCIAL SERVICES, INC.
INVESTMENT MANAGEMENT & RESEARCH, INC

SUNTHAY GRX LLC
SUNTHAY GRX LLC
60 EAST 42ND STREET, #1700, NEW YORK, NY 10165
MAILING ADDRESS: 51 WEST 81ST STREET, #6J, NEW YORK, NY 10024
ADMITTED

SVB WEALTH ADVIS
SVB WEALTH ADVISORY, INC.
NAME CHANGED TO: SVB INVESTMENT SERVICES INC.

SVB WEALTH ADVIS
SVB INVESTMENT SERVICES INC.
NEW NAME OF: SVB WEALTH ADVISORY, INC.

T

TRANSITIONAL BRO
TRANSITIONAL BROKER
NAME CHANGED TO: TRANSITIONAL BROKER LLC

TRANSITIONAL BRO
TRANSITIONAL BROKER LLC
NEW NAME OF: TRANSITIONAL BROKER

V

VISCOGLIOSI & CO
VISCOGLIOSI & COMPANY, LLC
NAME CHANGED TO: VALIDATE CAPITAL MARKETS, LLC

VISCOGLIOSI & CO
VALIDATE CAPITAL MARKETS, LLC
NEW NAME OF: VISCOGLIOSI & COMPANY, LLC

VCEXPRESS FINANC
VCEXPRESS FINANCIAL LTD
507 N. BICYCLE PATH, SUITE 102, PORT JEFFERSON STA, NY 11776
MAILING ADDRESS: 181 BAY STREET, 2ND FLOOR, TORONTO ON M5J 2T3 ADMITTED

VEST SECURITIES,
VEST SECURITIES, LLC
1129 BALLS HILL ROAD, MCLEAN, VA 22101
ADMITTED