Previous Month Changes to List of Broker-Dealer Firms We Regulate
For the period of 6/01/2023 through 6/30/2023
A
AHANA MARKETS LL
AHANA MARKETS LLC
205 HUDSON STREET, NEW YORK, NY 10013
ADMITTED
ARENS SECURITIES
ARENS SECURITIES
199 WATER STREET, 17TH FLOOR, NEW YORK, NY 10038
ADMITTED
AVALON WEALTH MA
AVALON WEALTH MANAGEMENT LLC
HOUSTON, TX, USA
RESIGNED
B
BELZBERG CAPITAL
BELZBERG CAPITAL
589 FIFTH AVENUE, SUITE 1602, NEW YORK, NY 10017
ADMITTED
BRADY WARE CORPO
BRADY WARE CORPORATE FINANCE, LLC
NAME CHANGED TO: YELLOW CARDINAL CORPORATE FINANCE, LLC
BRADY WARE CORPO
YELLOW CARDINAL CORPORATE FINANCE, LLC
NEW NAME OF: BRADY WARE CORPORATE FINANCE, LLC
C
CARVER CROSS SEC
CARVER CROSS SECURITIES CORP.
CANAAN, NY, UNITED STATES
CANCELED FOR FAILURE TO PAY FEES
COINFLIP SECURIT
COINFLIP SECURITIES LLC
CHICAGO, IL, UNITED STATES
CANCELED FOR NO SEC REGISTRATION
COMMONWEALTH FIN
COMMONWEALTH FINANCIAL GROUP, INC.
VOORHEES, NJ, UNITED STATES
RESIGNED
F
FORWARD SECURITI
FORWARD SECURITIES, LLC
HOUSTON, TX, USA
RESIGNED
G
GOODFILL USA, LL
GOODFILL USA, LLC
NEW YORK, NY, UNITED STATES
RESIGNED
H
H. RIVKIN & CO.,
H. RIVKIN & CO., INC.
PRINCETON, NJ, USA
RESIGNED
I
IMPROVED CORPORA
IMPROVED CORPORATE FINANCE LLC
42 BROADWAY, SUITE 12-129, NEW YORK, NY 10004
ADMITTED
M
M3 CAPITAL PARTN
M3 CAPITAL PARTNERS LLC
NAME CHANGED TO: M3 INVESTMENT GROUP LLC
M3 CAPITAL PARTN
M3 INVESTMENT GROUP LLC
NEW NAME OF: M3 CAPITAL PARTNERS LLC
MANN MANN JENSEN
MANN MANN JENSEN PARTNERS LP
NAME CHANGED TO: DELPHOS MMJ LP
MANN MANN JENSEN
DELPHOS MMJ LP
NEW NAME OF: MANN MANN JENSEN PARTNERS LP
MAZZONE & ASSOCI
MAZZONE & ASSOCIATES, INC.
NAME CHANGED TO: MAZZONE & ASSOCIATES, LLC
MAZZONE & ASSOCI
MAZZONE & ASSOCIATES, LLC
NEW NAME OF: MAZZONE & ASSOCIATES, INC.
N
NEWPOINT REAL ES
NEWPOINT REAL ESTATE CAPITAL SECURITIES LLC
ONE BATTERY PARK PLAZA, SUITE 600, NEW YORK, NY 10004
ADMITTED
P
PLANNERS FINANCI
PLANNERS FINANCIAL SERVICES, INC.
MENDOTA HEIGHTS, MN, UNITED STATES
RESIGNED
PROMETHEUM EMBER
PROMETHEUM EMBER CAPITAL, LLC
NAME CHANGED TO: PROMETHEUM CAPITAL
PROMETHEUM EMBER
PROMETHEUM CAPITAL
NEW NAME OF: PROMETHEUM EMBER CAPITAL, LLC
R
RFQ-HUB AMERICAS
RFQ-HUB AMERICAS LLC
1633 BROADWAY, 41ST FL, NEW YORK, NY 10019
ADMITTED
ROYAL ALLIANCE A
ROYAL ALLIANCE ASSOCIATES, INC.
NAME CHANGED TO: OSAIC WEALTH, INC.
ROYAL ALLIANCE A
OSAIC WEALTH, INC.
NEW NAME OF: ROYAL ALLIANCE ASSOCIATES, INC.
S
SECURRENCY SECUR
SECURRENCY SECURITIES INC.
BEDFORD HILLS, NY, UNITED STATES
RESIGNED
STORMHARBOUR SEC
STORMHARBOUR SECURITIES LP
NEW YORK, NY, UNITED STATES
CANCELED FOR FAILURE TO PAY FEES
STRUCTURA GROUP,
STRUCTURA GROUP, LTD.
BIRMINGHAM, MI, USA
RESIGNED
T
THE TRANSPORTATI
THE TRANSPORTATION GROUP (SECURITIES) LIMITED
NEW YORK,, NY, USA
EXPELLED FOR FAILED TO REQUEST TERMINATION OF ITS SUSPENSION WITHIN THREE MONTHS OF THE DATE OF THE NOTICE OF SUSPENSION
TP ICAP GLOBAL M
MKI SECURITIES CORP.
ICAP SECURITIES USA LLC
GARBAN LLC
MERGEDGARBAN LIMITED
TO FORM TP ICAP GLOBAL MARKETS AMERICAS LLC
TP ICAP GLOBAL M
MKI SECURITIES CORP.
TULLETT PREBON FINANCIAL SERVICES LLC
TULLETT LIBERTY SECURITIES LLC
MERGEDTULLETT LIBERTY SECURITIES INC.
TULLETT & TOKYO LIBERTY SECURITIES INC.
LIBERTY BROKERAGE SECURITIES INC.
LIBERTY PATRIOT SECURITIES INC.
PATRIOT SECURITIES, INC.
PATRIOT SECURITIES, INC.
PATRIOT SECURITIES, L.P.
COWEN GOVERNMENT BROKERS, L.P.
TO FORM TP ICAP GLOBAL MARKETS AMERICAS LLC
TRADESK SECURITI
TRADESK SECURITIES, INC.
830 MORRIS TURNPIKE, SUITE 401, SHORT HILLS, NJ 07078
ADMITTED
TRIPLE P SECURIT
TRIPLE P SECURITIES, LLC
300 N LA SALLE ST., STE. 1420, CHICAGO, IL 60654
ADMITTED
U
UPSIDE MARKETPLA
UPSIDE MARKETPLACE, LLC
10 JAY STREET, BROOKLYN, NY 11201
ADMITTED