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

For the period of 4/1/2022 through 4/30/2022

A

ARCADIA CAPITAL
ARCADIA CAPITAL PARTNERS LLC
PHOENIX, AZ
RESIGNED

ARES INVESTOR SE
ARES INVESTOR SERVICES LLC
NAME CHANGED TO: ARES MANAGEMENT CAPITAL MARKETS LLC

ARES INVESTOR SE
ARES MANAGEMENT CAPITAL MARKETS LLC
NEW NAME OF: ARES INVESTOR SERVICES LLC

ATREYU GROUP LLC
ATREYU GROUP LLC
NAME CHANGED TO: ATREYU TRADING

ATREYU GROUP LLC
ATREYU TRADING
NEW NAME OF: ATREYU GROUP LLC

C

CALLAWAY FINANCI
CALLAWAY FINANCIAL SERVICES, INC.
NAME CHANGED TO: BOURNEHILL INVESTMENT SERVICES, INC.

CALLAWAY FINANCI
BOURNEHILL INVESTMENT SERVICES, INC.
NEW NAME OF: CALLAWAY FINANCIAL SERVICES, INC.

CETERA ADVISOR N
CETERA ADVISOR NETWORKS LLC
FIRST FINANCIAL EQUITY CORPORATION

CLIENT ONE SECUR
CLIENT ONE SECURITIES LLC
NAME CHANGED TO: CREATIVEONE SECURITIES, LLC

CLIENT ONE SECUR
CREATIVEONE SECURITIES, LLC
NEW NAME OF: CLIENT ONE SECURITIES LLC

CULVERT CAPITAL
CULVERT CAPITAL LLC
500 NORTH WESTERN AVE, SUITE 214B, LAKE FOREST, IL 60045
MAILING ADDRESS: 850 NEW BURTON ROAD, DOVER, DE 19904 ADMITTED

D

DRIVELOYALTY
DRIVELOYALTY
15 EXCHANGE PLACE, JERSEY CITY, NJ 07302
MAILING ADDRESS: 97 MAIN STREET, CHATHAM, NJ 07928
ADMITTED

E

ENTRUSTODY FINAN
ENTRUSTODY FINANCIAL, LLC
75 ARLINGTON STREET, 10-111, BOSTON, MA 02116
MAILING ADDRESS: RIVERSIDE CENTER, 275 GROVE STREET, SUITE 2-400, NEWTON, MA 02466
ADMITTED

F

FENNEL
FENNEL
215 C STREET, SUITES 201, DAVIS, CA 95616
ADMITTED

G

GREAT AMERICAN A
GREAT AMERICAN ADVISORS LLC
NAME CHANGED TO: MM ASCEND LIFE INVESTOR SERVICES, LLC

GREAT AMERICAN A
MM ASCEND LIFE INVESTOR SERVICES, LLC
NEW NAME OF: GREAT AMERICAN ADVISORS LLC

GWFS EQUITIES, I
GWFS EQUITIES, INC.
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
PRUDENTIAL ASSET MANAGEMENT COMPANY SECURITIES CORPORATION
PAMCO SECURITIES CORPORATION

H

HAMPTONROCK PART
HAMPTONROCK PARTNERS
2021 MCKINNEY AVENUE, DALLAS, TX 75201
ADMITTED

HIGHWATER FINANC
HIGHWATER FINANCIAL, LLC
CHICAGO, IL, UNITED STATES
RESIGNED

HIIVE MARKETS LI
HIIVE MARKETS LIMITED
96 SUMMERHILL AVENUE, TORONTO, ONTARIO M4T 1B2 CANADA
ADMITTED

I

IGM BROKERAGE
IGM BROKERAGE
300 E. MAIN ST., STE A, CARMEL, IN 46032
ADMITTED

K

KINECTA WEALTH M
KINECTA WEALTH MANAGEMENT
NAME CHANGED TO: KINECTA FINANCIAL & INSURANCE SERVICES

KINECTA WEALTH M
KINECTA FINANCIAL & INSURANCE SERVICES
NEW NAME OF: KINECTA WEALTH MANAGEMENT

M

MONEYLION SECURI
MONEYLION SECURITIES, LLC
NAME CHANGED TO: MONEYLION SECURITIES LLC

MONEYLION SECURI
MONEYLION SECURITIES LLC
NEW NAME OF: MONEYLION SECURITIES, LLC

MONEYLION SECURI
MONEYLION SECURITIES, LLC
NAME CHANGED TO: MONEYLION SECURITIES LLC

MONEYLION SECURI
MONEYLION SECURITIES LLC
NEW NAME OF: MONEYLION SECURITIES, LLC

O

ORE ADVISORY
ORE ADVISORY
10B PINEBROOK ROAD, PARK CITY, UT 84098
ADMITTED

P

PM SECURITIES, L
PM SECURITIES, LLC DBA PHOENIX CAPITAL RESOURCES
NAME CHANGED TO: PHOENIX IB

PM SECURITIES, L
PHOENIX IB
NEW NAME OF: PM SECURITIES, LLC DBA PHOENIX CAPITAL RESOURCES

Q

QUAESTOR GLOBAL
QUAESTOR GLOBAL SECURITIES, LLC
NAME CHANGED TO: QWIKT GLOBAL SECURITIES LLC

QUAESTOR GLOBAL
QWIKT GLOBAL SECURITIES LLC
NEW NAME OF: QUAESTOR GLOBAL SECURITIES, LLC

R

RAISIN SECURITIE
RAISIN SECURITIES LLC
NEW YORK, NY, UNITED STATES RESIGNED

REALTYX, LLC
REALTYX, LLC
62 POST ROAD WEST, WESTPORT, CT 06880
ADMITTED

RICHARDS, MERRIL
RICHARDS, MERRILL & PETERSON, INC.
NAME CHANGED TO: RICHARDS MERRILL WEALTH MANAGEMENT

RICHARDS, MERRIL
RICHARDS MERRILL WEALTH MANAGEMENT
NEW NAME OF: RICHARDS, MERRILL & PETERSON, INC.

S

SC DISTRIBUTORS,
SC DISTRIBUTORS, LLC
NAME CHANGED TO: STRATCAP SECURITIES, LLC

SC DISTRIBUTORS,
STRATCAP SECURITIES, LLC
NEW NAME OF: SC DISTRIBUTORS, LLC

STIFEL, NICOLAUS
TO FORM STIFEL, NICOLAUS & COMPANY, INCORPORATED
ACQUIRED VINING-SPARKS IBG, LLC

STIFEL, NICOLAUS
TO FORM STIFEL, NICOLAUS & COMPANY, INCORPORATED
ACQUIRED VINING SPARKS

STIFEL, NICOLAUS
TO FORM STIFEL, NICOLAUS & COMPANY, INCORPORATED
ACQUIRED VINING-SPARKS IBG, LIMITED PARTNERSHIP

STIFEL, NICOLAUS
TO FORM STIFEL, NICOLAUS & COMPANY, INCORPORATED
ACQUIRED VINING-SPARKS INVESTMENT BANKERS GROUP, L. P.

T

TESSERA CAPITAL
TESSERA CAPITAL PARTNERS, LLC
NAME CHANGED TO: XTON FINANCIAL

TESSERA CAPITAL
XTON FINANCIAL
NEW NAME OF: TESSERA CAPITAL PARTNERS, LLC

TIFIN DISTRIBUTI
TIFIN DISTRIBUTION PARTNERS
2440 JUNCTION PL, BOULDER, CO 80301
ADMITTED

TRADINGSCREEN BR
TRADINGSCREEN BROKERAGE SERVICES LLC
NAME CHANGED TO: TS IMAGINE BROKERAGE SERVICES, LLC

TRADINGSCREEN BR
TS IMAGINE BROKERAGE SERVICES, LLC
NEW NAME OF: TRADINGSCREEN BROKERAGE SERVICES LLC