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Previous Month Changes to List of Broker-Dealer Firms We Regulate

For the period of 10/1/2021 through 10/31/2021

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280 SECURITIES L
280 SECURITIES LLC
SAN FRANCISCO, CA, USA
RESIGNED

A

ABD RETIREMENT S
ABD RETIREMENT SERVICES, INC.
SAN FRANCISCO, CA
RESIGNED

ADELPHI STOCK BR
ADELPHI STOCK BROKERS
40 CORNWALL LANE, SANDS POINT, NY 11050
4441 PURVES STREET, SUITE 1808, LIC, NY 11101
ADMITTED

ADMITTEDBLACK CREEK CAPI
ADMITTEDBLACK CREEK CAPITAL MARKETS, LLC
NAME CHANGED TO: ARES WEALTH MANAGEMENT SOLUTIONS, LLC

ADMITTEDBLACK CREEK CAPI
ADMITTEDARES WEALTH MANAGEMENT SOLUTIONS, LLC
NEW NAME OF: BLACK CREEK CAPITAL MARKETS, LLC

ADMITTEDCINCAP INVESTMEN
ADMITTEDCINCAP INVESTMENT GROUP, INC
NAME CHANGED TO: CINCAP INVESTMENT GROUP, LLC

ADMITTEDCINCAP INVESTMEN
ADMITTEDCINCAP INVESTMENT GROUP, LLC
NEW NAME OF: CINCAP INVESTMENT GROUP, INC

ADMITTEDSOLUTA SECURITIE
ADMITTEDSOLUTA SECURITIES INTERNATIONAL LLC
NAME CHANGED TO: EDWARD WOLFE LLC

ADMITTEDSOLUTA SECURITIE
ADMITTEDEDWARD WOLFE LLC
NEW NAME OF: SOLUTA SECURITIES INTERNATIONAL LLC

ADMITTEDM VEST LLC
ADMITTEDM VEST LLC
NAME CHANGED TO: FINPOSTFIN LLC

ADMITTEDM VEST LLC
ADMITTEDFINPOSTFIN LLC
NEW NAME OF: M VEST LLC

ADMITTEDNATIXIS DISTRIBU
ADMITTEDNATIXIS DISTRIBUTION, L.P.
NAME CHANGED TO: NATIXIS DISTRIBUTION, LLC

ADMITTEDNATIXIS DISTRIBU
ADMITTEDNATIXIS DISTRIBUTION, LLC
NEW NAME OF: NATIXIS DISTRIBUTION, L.P.

ADMITTEDTOKENSOFT GLOBAL
ADMITTEDTOKENSOFT GLOBAL MARKETS, LLC
NAME CHANGED TO: PEI GLOBAL PARTNERS LLC

ADMITTEDTOKENSOFT GLOBAL
ADMITTEDPEI GLOBAL PARTNERS LLC
NEW NAME OF: TOKENSOFT GLOBAL MARKETS, LLC

ADMITTEDPROMETHEUM EMBER
ADMITTEDPROMETHEUM EMBER ATS INC.
NAME CHANGED TO: PROMETHEUM ATS

ADMITTEDPROMETHEUM EMBER
ADMITTEDPROMETHEUM ATS
NEW NAME OF: PROMETHEUM EMBER ATS INC.

ADMITTEDPJ SOLOMON SECUR
ADMITTEDPJ SOLOMON SECURITIES, LLC
NAME CHANGED TO: SOLOMON PARTNERS SECURITIES, LLC

ADMITTEDPJ SOLOMON SECUR
ADMITTEDSOLOMON PARTNERS SECURITIES, LLC
NEW NAME OF: PJ SOLOMON SECURITIES, LLC

ADMITTEDPRIMARY CAPITAL,
ADMITTEDPRIMARY CAPITAL, LLC
NAME CHANGED TO: VCS VENTURE SECURITIES

ADMITTEDPRIMARY CAPITAL,
ADMITTEDVCS VENTURE SECURITIES
NEW NAME OF: PRIMARY CAPITAL, LLC

ANCORIS SECURITI
ANCORIS SECURITIES LLC
42 BROADWAY, SUITE 12-129, NEW YORK, NY 10004
ADMITTED

C

CAMMACK LARHETTE
CAMMACK LARHETTE BROKERAGE, INC.
NEW YORK, NY, USA
RESIGNED

D

DECHEQUE SECURIT
DECHEQUE SECURITIES LLC
60 SOUTH 600 EAST, SUITE #150, SALT LAKE CITY, UT 84102
ADMITTED

F

FORGE MARKETS LL
FORGE MARKETS LLC
SAN FRANCISCO, CA, UNITED STATES
RESIGNED

FRANKLIN/TEMPLET
FRANKLIN/TEMPLETON DISTRIBUTORS, LLC
SAN MATEO, CA, UNITED STATES
RESIGNED

G

GREENTREE INVEST
GREENTREE INVESTMENT SERVICES, INC.
BRIDGEVILLE, PA, UNITED STATES
CANCELLED FOR PURSUANT TO FINRA RULE 9522(A)(2)

H

HARLEY CAPITAL L
HARLEY CAPITAL LLC
55 WEST POST ROAD, 3RD FLOOR, WESTPORT, CT 06880
ADMITTED

HEWLETT POINT SE
HEWLETT POINT SECURITIES, LLC
3932 BADEN DRIVE, HOLIDAY, FL 34691
ADMITTED

I

ICM CAPITAL MARK
ICM CAPITAL MARKETS, LLC
530 7TH AVENUE, SUITE 405, NEW YORK, NY 10018
ADMITTED

P

PROVABLE MARKETS
PROVABLE MARKETS LLC
200 VESEY STREET, 24TH FLOOR, NEW YORK, NY 10281
ADMITTED

R

RELEVANT WEALTH
RELEVANT WEALTH ADVISORS, LLC
MILL VALLEY, CA, UNITED STATES
RESIGNED

S

S&L CAPITAL MARK
S&L CAPITAL MARKETS LLC
3333 LEE PARKWAY,, SUITE 600, DALLAS, TX 75219
ADMITTED

T

TRADE INFORMATIC
TRADE INFORMATICS LLC
NEW YORK, NY, USA
RESIGNED

W

WILLIAM K. WOODR
WILLIAM K. WOODRUFF & CO., LLC
6015 STEFANI DRIVE, DALLAS, TX 75225
ADMITTED