Changes to List of Broker-Dealer Firms We Regulate

For the period of 9/1/2025 through 9/30/2025

A

ANTHEM SECURITIE
ANTHEM SECURITIES, LLC
258 FULTON STREET, FLOOR 85, NEW YORK, NY 10007
ADMITTED

AQUEDUCT CAPITAL
AQUEDUCT CAPITAL GROUP, LLC
NAME CHANGED TO: HARRIS WILLIAMS PRIMARY FUND PLACEMENT LLC

AQUEDUCT CAPITAL
HARRIS WILLIAMS PRIMARY FUND PLACEMENT LLC
NEW NAME OF: AQUEDUCT CAPITAL GROUP, LLC

B

BAIN CAPITAL DIS
BAIN CAPITAL DISTRIBUTORS, LLC
NAME CHANGED TO: BAIN CAPITAL MARKETS, LLC

BAIN CAPITAL DIS
BAIN CAPITAL MARKETS, LLC
NEW NAME OF: BAIN CAPITAL DISTRIBUTORS, LLC

BPK INTERNATIONA
BPK INTERNATIONAL LLC
515 NORTH FLAGLER DRIVE, SUITE 350, WEST PALM BEACH, FL 33401
ADMITTED

C

CETERA WEALTH SE
FIRST ASSET MANAGEMENT CORPORATION
AVANTAX INVESTMENT SERVICES, INC.
HD VEST INVESTMENT SERVICES
MERGED H.D. VEST INVESTMENT SERVICES
H.D. VEST INVESTMENT SECURITIES, INC.
TO FORM CETERA WEALTH SERVICES, LLC

E

EXPONENT PARTNER
EXPONENT PARTNERS, LLC
NEW YORK, NY, UNITED STATES
CANCELLED FOR NO SEC REGISTRATION

I

INDUSTRIAL AND C
INDUSTRIAL AND COMMERCIAL BANK OF CHINA FINANCIAL SERVICES LLC
NEW YORK, NY, USA
RESIGNED

J

JUNIPER SQUARE C
JUNIPER SQUARE CAPITAL
RANCHO SANTA FE, CA, UNITED STATES
RESIGNED

M

MARINER INVESTME
MARINER INVESTMENT GROUP
HOUSTON, TX, UNITED STATES
RESIGNED

MBS SOURCE ETRAD
MBS SOURCE ETRADING, INC.
MERCER ISLAND, WA, USA
RESIGNED

MENALTO ADVISORS
MENALTO ADVISORS, LLC
MENLO PARK, CA, USA
RESIGNED

MIDAMERICA SECUR
MIDAMERICA SECURITIES, LLC
NAME CHANGED TO: DAYBRIGHT SECURITIES, LLC

MIDAMERICA SECUR
DAYBRIGHT SECURITIES, LLC
NEW NAME OF: MIDAMERICA SECURITIES, LLC

MMX GLOBAL PARTN
MMX GLOBAL PARTNERS, LLC
BOCA RATON, FL, USA
RESIGNED

MOSAIC ATS, LLC
MOSAIC ATS, LLC
875 WASHINGTON STREET, 4TH FLOOR, NEW YORK, NY 10014
ADMITTED

R

RM SECURITIES, L
RM SECURITIES, LLC
ROCHESTER, NY, UNITED STATES
RESIGNED

S

SPAREBANK 1 CAPI
SPAREBANK 1 CAPITAL MARKETS INC.
NAME CHANGED TO: SB1 CAPITAL MARKETS INC

SPAREBANK 1 CAPI
SB1 CAPITAL MARKETS INC
NEW NAME OF: SPAREBANK 1 CAPITAL MARKETS INC.

STARK MUNICIPAL
STARK MUNICIPAL BROKERS
NAME CHANGED TO: STARK FINANCIAL INDUSTRIES LLC

STARK MUNICIPAL
STARK FINANCIAL INDUSTRIES LLC
NEW NAME OF: STARK MUNICIPAL BROKERS

T

TD SECURITIES AU
TD SECURITIES AUTOMATED TRADING LLC
NAME CHANGED TO: TD FINANCIAL PRODUCTS LLC

TD SECURITIES AU
TD FINANCIAL PRODUCTS LLC
NEW NAME OF: TD SECURITIES AUTOMATED TRADING LLC

TIFIN PRIVATE MA
TIFIN PRIVATE MARKETS LLC
BOULDER, CO, UNITED STATES
RESIGNED

TULIPSHARE SECUR
TULIPSHARE SECURITIES, LLC
NAME CHANGED TO: MONEY.NET SECURITIES LLC

TULIPSHARE SECUR
MONEY.NET SECURITIES LLC
NEW NAME OF: TULIPSHARE SECURITIES, LLC

U

USRP EQUITIES, L
USRP EQUITIES, LLC
ISELIN, NJ, USA
RESIGNED

W

WREN CAPITAL, LL
WREN CAPITAL, LLC
SAN FRANCISCO, CA
RESIGNED