Previous Month Changes to List of Broker-Dealer Firms We Regulate
For the period of 3/1/2025 through 3/31/2025
A
AMBIT AMERICA IN
AMBIT AMERICA INC.
NEW YORK, NY, USA
RESIGNED
ARCHSTONE CAPITA
ARCHSTONE CAPITAL, LLC
WASHINGTON, DC, UNITED STATES
RESIGNED
ARCVIEW CAPITAL,
ARCVIEW CAPITAL, LLC
NAME CHANGED TO: ARCSTONE SECURITIES LLC
ARCVIEW CAPITAL,
ARCSTONE SECURITIES LLC
NEW NAME OF: ARCVIEW CAPITAL, LLC
ATM EXECUTION LL
ATM EXECUTION LLC
NAME CHANGED TO: TD ARRANGED SERVICES LLC
ATM EXECUTION LL
TD ARRANGED SERVICES LLC
NEW NAME OF: ATM EXECUTION LLC
ATM EXECUTION LL
ATM EXECUTION LLC
NAME CHANGED TO: TD ARRANGED SERVICES LLC
ATM EXECUTION LL
TD ARRANGED SERVICES LLC
NEW NAME OF: ATM EXECUTION LLC
B
BUCK HR SECURITI
BUCK HR SECURITIES LLC
NEW YORK, NY, UNITED STATES
RESIGNED
C
C.R. LLOYD INVES
C.R. LLOYD INVESTMENT SERVICES, LLC
150 E 4TH PLACE, SUITE 600, SIOUX FALLS, SD 57104
MAILING ADDRESS: 150 E. 5TH PLACE, SUITE 600, SIOUX FALLS, SD 57104
ADMITTED
CAHN CAPITAL COR
CAHN CAPITAL CORP.
NEW YORK, NY, UNITED STATES
RESIGNED
CAPITOLIS GLOBAL
CAPITOLIS GLOBAL BROKER DEALER LLC
11 W. 42ND STREET, 15TH FLOOR, NEW YORK, NY 10036
ADMITTED
CAPITAL INSTITUT
CAPITAL INSTITUTIONAL SERVICES, INC.
NAME CHANGED TO: CAPIS
CAPITAL INSTITUT
CAPIS
NEW NAME OF: CAPITAL INSTITUTIONAL SERVICES, INC.
CARR, RIGGS & IN
CARR, RIGGS & INGRAM CAPITAL ADVISORS, L.L.C.
NAME CHANGED TO: CRI M&A ADVISORS, LLC
CARR, RIGGS & IN
CRI M&A ADVISORS, LLC
NEW NAME OF: CARR, RIGGS & INGRAM CAPITAL ADVISORS, L.L.C.
CARREDEN GROUP,
CARREDEN GROUP, INC.
MORAGA, CA, UNITED STATES
RESIGNED
D
DONALD CAPITAL L
DONALD CAPITAL LLC
NEW YORK, NY, UNITED STATES
RESIGNED
E
ENERGY SHARES, L
ENERGY SHARES, LLC.
PASADENA, CA, USA
RESIGNED
ENTEGRA SECURITI
ENTEGRA SECURITIES LLC
130 WEST 30TH STREET, 6A, NEW YORK, NY 10001
ADMITTED
EQTE BROKERAGE L
EQTE BROKERAGE LLC
NAME CHANGED TO: EQT PARTNERS BD, LLC
EQTE BROKERAGE L
EQT PARTNERS BD, LLC
NEW NAME OF: EQTE BROKERAGE LLC
EQTE BROKERAGE L
EQTE BROKERAGE LLC
NAME CHANGED TO: EQT PARTNERS BD, LLC
EQTE BROKERAGE L
EQT PARTNERS BD, LLC
NEW NAME OF: EQTE BROKERAGE LLC
F
FINTRON INVEST
FINTRON INVEST
NAME CHANGED TO: APEX FINTECH BROKERAGE SERVICES
FINTRON INVEST
APEX FINTECH BROKERAGE SERVICES
NEW NAME OF: FINTRON INVEST
FM (USA), LLC
FM (USA), LLC
NEW YORK, NY, UNITED STATES
RESIGNED
J
JW & CO.
JW & CO.
5700 S ASPEN CT, GREENWOOD VILLAGE, CO 80121
ADMITTED
L
LPL FINANCIAL LL
LPL FINANCIAL LLC
LPL FINANCIAL LL
LPL FINANCIAL LLC
THE INVESTMENT CENTER, INC.
M
MARINER GROUP CA
MARINER GROUP CAPITAL MARKETS, LLC
HARRISON, NY, UNITED STATES
RESIGNED
MILLBURN RIDGEFI
MILLBURN RIDGEFIELD CORPORATION
NAME CHANGED TO: MILLBURN RIDGEFIELD LLC
MILLBURN RIDGEFI
MILLBURN RIDGEFIELD LLC
NEW NAME OF: MILLBURN RIDGEFIELD CORPORATION
N
NORTHSTAR FINANC
NORTHSTAR FINANCIAL SERVICES
NAME CHANGED TO: PLURAL BROKERAGE LLC
NORTHSTAR FINANC
PLURAL BROKERAGE LLC
NEW NAME OF: NORTHSTAR FINANCIAL SERVICES
O
OCEAN TOMO INVES
OCEAN TOMO INVESTMENT GROUP, LLC
NEW YORK, NY, USA
RESIGNED
OSAIC FA, INC.
OSAIC FA, INC.
FORT WAYNE, IN, UNITED STATES
RESIGNED
OSAIC FS, INC.
OSAIC FS, INC.
FORT WAYNE, IN, UNITED STATES
RESIGNED
R
REMSENBURG CAPIT
REMSENBURG CAPITAL, LLC
NAME CHANGED TO: REMSENBURG SECURITIES, LLC
REMSENBURG CAPIT
REMSENBURG SECURITIES, LLC
NEW NAME OF: REMSENBURG CAPITAL, LLC
S
SEVENPOINT PARTN
SEVENPOINT PARTNERS, LP
60 RIVER ROAD, SUMMIT, NJ 07901
ADMITTED
SIGNET SECURITIE
SIGNET SECURITIES, LLC
COLUMBUS, OH
RESIGNED
ST. GERMAIN SECU
ST. GERMAIN SECURITIES, INC.
SPRINGFIELD, MA, UNITED STATES
RESIGNED
STANWICH ADVISOR
STANWICH ADVISORS LLC
NAME CHANGED TO: KATAMA SECURITIES LLC
STANWICH ADVISOR
KATAMA SECURITIES LLC
NEW NAME OF: STANWICH ADVISORS LLC
SUPPORT SERVICES
SUPPORT SERVICES FINANCIAL ADVISORS, INC.
NAME CHANGED TO: DBA CHA FINANCIAL ADVISORS
SUPPORT SERVICES
DBA CHA FINANCIAL ADVISORS
NEW NAME OF: SUPPORT SERVICES FINANCIAL ADVISORS, INC.
V
VERITASEUM SECUR
VERITASEUM SECURITIES LLC
NEW YORK, NY, UNITED STATES
CANCELED FOR NO SEC REGISTRATION
VIII CAPITAL COR
VIII CAPITAL CORP.
TORONTO, CANADA
RESIGNED
VORPAHL WING SEC
VORPAHL WING SECURITIES INC.
SPOKANE, WA, UNITED STATES
RESIGNED
VT DISTRIBUTORS
VT DISTRIBUTORS LLC
NAME CHANGED TO: SMEAD FUNDS DISTRIBUTORS, LLC
VT DISTRIBUTORS
SMEAD FUNDS DISTRIBUTORS, LLC
NEW NAME OF: VT DISTRIBUTORS LLC
VT DISTRIBUTORS
VT DISTRIBUTORS LLC
NAME CHANGED TO: SMEAD FUNDS DISTRIBUTORS, LLC
VT DISTRIBUTORS
SMEAD FUNDS DISTRIBUTORS, LLC
NEW NAME OF: VT DISTRIBUTORS LLC
W
WEALTHFORGE DIST
WEALTHFORGE DISTRIBUTORS, LLC
3015 W. MOORE ST., SUITE 102, RICHMOND, VA 23230
ADMITTED
WH CAPITAL LLC
WH CAPITAL LLC
NAME CHANGED TO: E.F. HUTTON & CO. LLC
WH CAPITAL LLC
E.F. HUTTON & CO. LLC
NEW NAME OF: WH CAPITAL LLC