Previous Month Changes to List of Broker-Dealer Firms We Regulate
For the period of 1/1/2026 through 1/31/2026
ACQUEST SECURITI
ACQUEST SECURITIES LLC
HOUSTON, TX, UNITED STATES
RESIGNED
APPIA FINANCIAL
APPIA FINANCIAL SERVICES
200 VESEY STREET, 24TH FLOOR, NEW YORK, NY 10281
ADMITTED
ARES MANAGEMENT
ARES INVESTOR SERVICES LLC
ARES WEALTH MANAGEMENT SOLUTIONS, LLC
MERGED BLACK CREEK CAPITAL MARKETS, LLC
DIVIDEND CAPITAL SECURITIES, LLC
REAL ESTATE INCOME SECURITIES, LLC
TO FORM ARES MANAGEMENT CAPITAL MARKETS LLC
BLACKARCH SECURI
BLACKARCH SECURITIES LLC
NAME CHANGED TO: RF M&A SERVICES LLC
BLACKARCH SECURI
RF M&A SERVICES LLC
NEW NAME OF: BLACKARCH SECURITIES LLC
BLACKARCH SECURI
BLACKARCH SECURITIES LLC
NAME CHANGED TO: RF M&A SERVICES LLC
BLACKARCH SECURI
RF M&A SERVICES LLC
NEW NAME OF: BLACKARCH SECURITIES LLC
BNA WEALTH, INC.
BNA WEALTH, INC.
ROCK HILL, SC, UNITED STATES
RESIGNED
BROOKFIELD OAKTR
BROOKFIELD OAKTREE WEALTH SOLUTIONS LLC
NAME CHANGED TO: BROOKFIELD PRIVATE WEALTH LLC
BROOKFIELD OAKTR
BROOKFIELD PRIVATE WEALTH LLC
NEW NAME OF: BROOKFIELD OAKTREE WEALTH SOLUTIONS LLC
BROOKS, HOUGHTON
BROOKS, HOUGHTON SECURITIES, INC.
NAME CHANGED TO: BHS FINANCIAL, LLC
BROOKS, HOUGHTON
BHS FINANCIAL, LLC
NEW NAME OF: BROOKS, HOUGHTON SECURITIES, INC.
CABRILLO BROKER,
CABRILLO BROKER, L.L.C
ENCINO, CA
RESIGNED
CESTA CAPITAL
CESTA CAPITAL
8350 N CENTRAL EXPRESSWAY STE 1900, DALLAS, TX 75206
ADMITTED
CF GLOBAL TRADIN
CF GLOBAL TRADING, LLC
NEW YORK, NY, UNITED STATES
RESIGNED
COPLEY ALTERNATI
COPLEY ALTERNATIVE INVESTMENTS INC.
2650 CAMINO DEL RIO N. S-350, SAN DIEGO, CA 92108
ADMITTED
CRONUS PARTNERS
CRONUS PARTNERS LLC
SOUTHPORT, CT, USA
RESIGNED
DEALER SOLUTIONS
DEALER SOLUTIONS NORTH AMERICA LLC
NEW YORK, NY, USA
RESIGNED
DIGITAL CAPITAL
DIGITAL CAPITAL MARKETS LLC
NAME CHANGED TO: OPOC BROKER-DEALER, LLC
DIGITAL CAPITAL
OPOC BROKER-DEALER, LLC
NEW NAME OF: DIGITAL CAPITAL MARKETS LLC
EHCP CORPORATE F
EHCP CORPORATE FINANCE, LLC
ATLANTA, GA, UNITED STATES
RESIGNED
ENERGYNET.COM, L
ENERGYNET.COM, LLC.
NAME CHANGED TO: EFFICIENT MARKETS LLC
ENERGYNET.COM, L
EFFICIENT MARKETS LLC
NEW NAME OF: ENERGYNET.COM, LLC.
EQUITY HILL CAPI
EQUITY HILL CAPITAL, LLC
44 FOUR WINDS LN, NEW CANAAN, CT 06840
ADMITTED
EXCELSIOR EQUITI
EXCELSIOR EQUITIES
DENVER, MN, UNITED STATES
RESIGNED
ERNST & YOUNG CO
ERNST & YOUNG CORPORATE FINANCE (CANADA) INC.
NAME CHANGED TO: EY-PARTHENON BD INC.
ERNST & YOUNG CO
EY-PARTHENON BD INC.
NEW NAME OF: ERNST & YOUNG CORPORATE FINANCE (CANADA) INC.
FREEDOM INVESTME
FREEDOM INVESTMENTS, INC.
EDISON, NJ, UNITED STATES
RESIGNED
GLASFUNDS SECURI
GLASFUNDS SECURITIES, LLC
600 SUPERIOR AVE. EAST, SUITE 1510, CLEVELAND, OH 44114
ADMITTED
ITINERANT-GPS US
ITINERANT-GPS US, LLC
NAME CHANGED TO: STONEBRIDGE CAPITAL PARTNERS LLC
ITINERANT-GPS US
STONEBRIDGE CAPITAL PARTNERS LLC
NEW NAME OF: ITINERANT-GPS US, LLC
LIDO SECURITIES,
LIDO SECURITIES, LLC
8111 ASHLANE WAY, SUITE 207, THE WOODLANDS, TX 77382
ADMITTED
LIGHTPATH CAPITA
LIGHTPATH CAPITAL, INC
SOUTHLAKE, TX, UNITED STATES
RESIGNED
LION STREET FINA
LION STREET FINANCIAL, LLC
AUSTIN, TX, USA
RESIGNED
MASON SECURITIES
MASON SECURITIES, INC.
RESTON, VA, UNITED STATES
RESIGNED
MONITOR CAPITAL
MONITOR CAPITAL LLC
RESEDA, CA, USA
RESIGNED
O'HAVER SECURITI
O'HAVER SECURITIES LLC
NACOGDOCHES, TX, UNITED STATES
CANCELLED FOR NO SEC REGISTRATION
OPTIMAL EXECUTIO
OPTIMAL EXECUTIONS, LLC
ONE WORLD TRADE CENTER, SUITE 47M, NEW YORK, NY 10007
ADMITTED
PENSIONMARK SECU
PENSIONMARK SECURITIES, LLC
SANTA BARBARA, CA, USA
RESIGNED
PRICEWATERHOUSEC
PRICEWATERHOUSECOOOPERS CORPORATE FINANCE LLC
NAME CHANGED TO: PRICEWATERHOUSECOOPERS CORPORATE FINANCE LLC
PRICEWATERHOUSEC
PRICEWATERHOUSECOOPERS CORPORATE FINANCE LLC
NEW NAME OF: PRICEWATERHOUSECOOOPERS CORPORATE FINANCE LLC
SOUND INCOME WEA
SOUND INCOME WEALTH, LLC
500 W. CYPRESS CREEK ROAD, STE. 240, FORT LAUDERDALE, FL 33309-6137
ADMITTED
SOUTHSTATE|DUNCA
SOUTHSTATE|DUNCANWILLIAMS SECURITIES CORP.
NAME CHANGED TO: SOUTHSTATE SECURITIES CORP.
SOUTHSTATE|DUNCA
SOUTHSTATE SECURITIES CORP.
NEW NAME OF: SOUTHSTATE|DUNCANWILLIAMS SECURITIES CORP.
STEWARD SECURITI
STEWARD SECURITIES GROUP LLC
NAME CHANGED TO: BLUESTONE GROWTH PARTNERS LLC
STEWARD SECURITI
BLUESTONE GROWTH PARTNERS LLC
NEW NAME OF: STEWARD SECURITIES GROUP LLC
STEWARD SECURITI
STEWARD SECURITIES GROUP LLC
NAME CHANGED TO: BLUESTONE GROWTH PARTNERS LLC
STEWARD SECURITI
BLUESTONE GROWTH PARTNERS LLC
NEW NAME OF: STEWARD SECURITIES GROUP LLC
TOUCHSTONE SECUR
TOUCHSTONE SECURITIES, INC.
NAME CHANGED TO: TOUCHSTONE SECURITIES, LLC
TOUCHSTONE SECUR
TOUCHSTONE SECURITIES, LLC
NEW NAME OF: TOUCHSTONE SECURITIES, INC.
TRG FINANCIAL, I
TRG FINANCIAL, INC.
LAKEWOOD RANCH, FL, UNITED STATES
RESIGNED
USMART (USA)
USMART (USA)
NAME CHANGED TO: USMART CAPITAL, LLC
USMART (USA)
USMART CAPITAL, LLC
NEW NAME OF: USMART (USA)
VERTICAL RESEARC
VERTICAL RESEARCH SECURITIES, INC.
6 LANDMARK SQUARE, SUITE 720, STAMFORD, CT 06901
MAILING ADDRESS: SIX LANDMARK SQUARE, SUITE 720, STAMFORD, CT 06901
ADMITTED
VISTINA ADVISORY
VISTINA ADVISORY LLC
81 HOLLY HILL LANE, GREENWICH, CT 06830
ADMITTED
WAUBANK SECURITI
WAUBANK SECURITIES LLC
NAME CHANGED TO: FNB AMERICA SECURITIES LLC
WAUBANK SECURITI
FNB AMERICA SECURITIES LLC
NEW NAME OF: WAUBANK SECURITIES LLC
WEALTHHOUSE ADVI
WEALTHHOUSE ADVISORS INC
NAME CHANGED TO: WEALTH HOUSE CAPITAL INC.
WEALTHHOUSE ADVI
WEALTH HOUSE CAPITAL INC.
NEW NAME OF: WEALTHHOUSE ADVISORS INC