Previous Month Changes to List of Broker-Dealer Firms We Regulate
For the period of 7/1/2020 through 7/31/2020
A
ASGARD SECURITIE
ASGARD SECURITIES, LLC
NEW YORK, NY, UNITED STATES
RESIGNED
B
BANCA IMI SECURI
BANCA IMI SECURITIES CORP.
NAME CHANGED TO: INTESA SANPAOLO IMI SECURITIES CORP.
BANCA IMI SECURI
INTESA SANPAOLO IMI SECURITIES CORP.
NEW NAME OF: BANCA IMI SECURITIES CORP.
BLACKSTONE ADVIS
BLACKSTONE ADVISORY PARTNERS L.P.
NAME CHANGED TO: BLACKSTONE SECURITIES PARTNERS L.P.
BLACKSTONE ADVIS
BLACKSTONE SECURITIES PARTNERS L.P.
NEW NAME OF: BLACKSTONE ADVISORY PARTNERS L.P.
BROCKETT TAMNY &
BROCKETT TAMNY & CO. INCORPORATED
LOS ANGELES, CA, UNITED STATES
RESIGNED
BUCK HR SECURITI
BUCK HR SECURITIES LLC
420 LEXINGTON AVENUE, SUITE 2220, NEW YORK, NY 10170-2220
ADMITTED
C
CARTA CAPITAL MA
CARTA CAPITAL MARKETS, LLC
1 WORLD TRADE CENTER, 285 FULTON STREET, 81ST FLOOR, NEW YORK, NY 10007
MAILING ADDRESS: 515 GREENWICH STREET, SUITE 201, NEW YORK, NY 10013
ADMITTED
CHERRY TRADING
CHERRY TRADING
8335 SUNSET BLVD., SUITE #351, WEST HOLLYWOOD, CA 90069
MAILING ADDRESS: 8335 SUNSET BLVD., STE# 351, WEST HOLLYWOOD, CA 90069
ADMITTED
CLASSIC, LLC D/B
CLASSIC, LLC D/B/A FINANCIAL STRATEGIES GROUP
NAME CHANGED TO: CLASSIC, LLC
CLASSIC, LLC D/B
CLASSIC, LLC
NEW NAME OF: CLASSIC, LLC D/B/A FINANCIAL STRATEGIES GROUP
COWEN EXECUTION
COWEN EXECUTION SERVICES LLC
NEW YORK, NY, UNITED STATES
RESIGNED
CREDITEASE FINAN
CREDITEASE FINANCIAL SERVICES (USA) CORP.
5 PARK PLAZA, SUITE 550, IRVINE, CA 92614
ADMITTED
CURRAN ADVISORY
CURRAN ADVISORY SERVICES
NAME CHANGED TO: CIMAS, LLC
CURRAN ADVISORY
CIMAS, LLC
NEW NAME OF: CURRAN ADVISORY SERVICES
D
DST MARKET SERVI
DST MARKET SERVICES, LLC
NAME CHANGED TO: SS&C MARKET SERVICES, LLC
DST MARKET SERVI
SS&C MARKET SERVICES, LLC
NEW NAME OF: DST MARKET SERVICES, LLC
G
GALAXY DIGITAL A
GALAXY DIGITAL ADVISORS LLC
NAME CHANGED TO: GALAXY DIGITAL PARTNERS LLC
GALAXY DIGITAL A
GALAXY DIGITAL PARTNERS LLC
NEW NAME OF: GALAXY DIGITAL ADVISORS LLC
GOLDIN CAPITAL A
GOLDIN CAPITAL ADVISORS LLC
NAME CHANGED TO: GOLDIN CAPITAL LLC
GOLDIN CAPITAL A
GOLDIN CAPITAL LLC
NEW NAME OF: GOLDIN CAPITAL ADVISORS LLC
GOTHAM CAPITAL A
GOTHAM CAPITAL ADVISORS
NAME CHANGED TO: MCINTYRE CAPITAL PARTNERS, LLC
GOTHAM CAPITAL A
MCINTYRE CAPITAL PARTNERS, LLC
NEW NAME OF: GOTHAM CAPITAL ADVISORS
I
IDFC CAPITAL (US
IDFC CAPITAL (USA) INC.
NAME CHANGED TO: DAM CAPITAL (USA) INC.
IDFC CAPITAL (US
DAM CAPITAL (USA) INC.
NEW NAME OF: IDFC CAPITAL (USA) INC.
J
JCC ADVISORS, LL
JCC ADVISORS, LLC
NAME CHANGED TO: JCC CAPITAL MARKETS, LLC
JCC ADVISORS, LL
JCC CAPITAL MARKETS, LLC
NEW NAME OF: JCC ADVISORS, LLC
JOHN W. LOOFBOUR
JOHN W. LOOFBOURROW ASSOCIATES, INC.
NAME CHANGED TO: DEMOPOLIS CAPITAL INC.
JOHN W. LOOFBOUR
DEMOPOLIS CAPITAL INC.
NEW NAME OF: JOHN W. LOOFBOURROW ASSOCIATES, INC.
K
KIDRON CAPITAL A
KIDRON CAPITAL ADVISORS LLC
NAME CHANGED TO: KIDRON CAPITAL SECURITIES LLC
KIDRON CAPITAL A
KIDRON CAPITAL SECURITIES LLC
NEW NAME OF: KIDRON CAPITAL ADVISORS LLC
L
LADDER CAPITAL S
LADDER CAPITAL SECURITIES LLC
NEW YORK, NY, USA
RESIGNED
M
MVP FINANCIAL, L
MVP FINANCIAL, LLC
NAME CHANGED TO: SYNAPSE BROKERAGE LLC
MVP FINANCIAL, L
SYNAPSE BROKERAGE LLC
NEW NAME OF: MVP FINANCIAL, LLC
P
PETRO CAPITAL SE
PETRO CAPITAL SECURITIES, LLC
NAME CHANGED TO: SKYSTONE SECURITIES, LLC
PETRO CAPITAL SE
SKYSTONE SECURITIES, LLC
NEW NAME OF: PETRO CAPITAL SECURITIES, LLC
PJT PARTNERS LP
PJT PARTNERS LP
MERGED PARK HILL GROUP LLC
TO FORM PJT PARTNERS LP
POTOMAC CAPITAL
POTOMAC CAPITAL MARKETS, LLC
MIDDLETOWN, MD, UNITED STATES
EXPELLED FOR THE FIRM FAILED TO REQUEST TERMINATION OF ITS SUSPENSION WITHIN THREE MONTHS OF THE DATE OF THE NOTICE OF SUSPENSION
PROOF SERVICES L
PROOF SERVICES LLC
246 5TH AVENUE, # 519, NEW YORK, NY 10001
ADMITTED
PTX SECURITIES,
PTX SECURITIES, LLC
PLANO, TX, UNITED STATES
EXPELLED FOR THE FIRM FAILED TO REQUEST TERMINATION OF ITS SUSPENSION WITHIN THREE MONTHS OF THE DATE OF THE NOTICE OF SUSPENSION
R
REALBLOCKS PRIVA
REALBLOCKS PRIVATE SECURITIES, INC.
43 W 23RD STREET, FOURTH FLOOR, NEW YORK, NY 10010
ADMITTED
REGULUS ADVISORS
REGULUS ADVISORS, LLC
NAME CHANGED TO: REGULUS, LLC
REGULUS ADVISORS
REGULUS, LLC
NEW NAME OF: REGULUS ADVISORS, LLC
S
SDDCO BROKERAGE
SDDCO BROKERAGE ADVISORS LLC
NAME CHANGED TO: INDEPENDENT BROKERAGE SOLUTIONS LLC
SDDCO BROKERAGE
INDEPENDENT BROKERAGE SOLUTIONS LLC
NEW NAME OF: SDDCO BROKERAGE ADVISORS LLC
SECURITIES AMERI
TYMAN SECURITIES, INC.
INVESTACORP, INC.
ARCHER, ZWIGARD & ASSOCIATES-THE INVESTACORP GROUP, INC.
MERGED INVESTACORP, INC.
TO FORM SECURITIES AMERICA, INC.
SHOREBRIDGE CAPI
SHOREBRIDGE CAPITAL ADVISORS, LLC
NAME CHANGED TO: SHOREBRIDGE CAPITAL SECURITIES, LLC
SHOREBRIDGE CAPI
SHOREBRIDGE CAPITAL SECURITIES, LLC
NEW NAME OF: SHOREBRIDGE CAPITAL ADVISORS, LLC
SVB WEALTH ADVIS
SVB WEALTH ADVISORY, INC.
505 HOWARD STREET, SAN FRANCISCO, CA 94105
ADMITTED
T
THE VALENCE GROU
THE VALENCE GROUP, LLC
NEW YORK, NY, USA
RESIGNED
TITUS ROCKEFELLE
TITUS ROCKEFELLER, LLC
WESTPORT, CT, UNITED STATES
EXPELLED FOR THE FIRM FAILED TO REQUEST TERMINATION OF ITS SUSPENSION WITHIN THREE MONTHS OF THE DATE OF THE NOTICE OF SUSPENSION
W
WESTERN FINANCIA
WESTERN FINANCIAL CORPORATION
SAN DIEGO, CA, UNITED STATES
RESIGNED