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

For the period of 4/1/2025 through 4/30/2025

A

ALIRA HEALTH TRA
ALIRA HEALTH TRANSACTION SERVICES, LLC
NAME CHANGED TO: KADENWOOD CAPITAL, LLC

ALIRA HEALTH TRA
KADENWOOD CAPITAL, LLC
NEW NAME OF: ALIRA HEALTH TRANSACTION SERVICES, LLC

AMERICAN ENTERPR
AMERICAN ENTERPRISE INVESTMENT SERVICES INC.
AMERIPRISE FINANCIAL SERVICES, LLC
AMERIPRISE FINANCIAL SERVICES, INC.
AMERICAN EXPRESS FINANCIAL ADVISORS INC.
IDS MARKETING CORPORATION

AMVEST CAPITAL S
AMVEST CAPITAL SECURITIES LLC
570 LEXINGTON AVENUE, 37TH FLOOR, NEW YORK, NY 10022
MAILING ADDRESS: 675 THIRD AVENUE, FLOOR 22, NEW YORK, NY 10017
ADMITTED

B

BRIGHTON HOUSE A
BRIGHTON HOUSE ASSOCIATES
NAME CHANGED TO: BHA SELECT NETWORK, LLC

BRIGHTON HOUSE A
BHA SELECT NETWORK, LLC
NEW NAME OF: BRIGHTON HOUSE ASSOCIATES

C

CLEARFP SECURITI
CLEARFP SECURITIES, LLC
LAKE OSWEGO, OR, UNITED STATES
RESIGNED

D

DBA CHA FINANCIA
DBA CHA FINANCIAL ADVISORS
NAME CHANGED TO: CHA FINANCIAL ADVISORS

DBA CHA FINANCIA
CHA FINANCIAL ADVISORS
NEW NAME OF: DBA CHA FINANCIAL ADVISORS

DBA CHA FINANCIA
DBA CHA FINANCIAL ADVISORS
NAME CHANGED TO: CHA FINANCIAL ADVISORS

DBA CHA FINANCIA
CHA FINANCIAL ADVISORS
NEW NAME OF: DBA CHA FINANCIAL ADVISORS

F

FIRST PALLADIUM,
FIRST PALLADIUM, LLC
FORT WAYNE, IN
RESIGNED

G

GIGASTAR SECURIT
GIGASTAR SECURITIES, LLC
159 N. SANGAMON STREET SUITE 272, CHICAGO, IL 60607
ADMITTED

GLOBAL CARRY LLC
GLOBAL CARRY LLC
10 GRAND STREET, STE 1800-B, BROOKLYN, NY 11211
MAILING ADDRESS: 10 GRAND STREET, STE 1800, BROOKLYN, NY 11211
ADMITTED

H

HIDDEN ROAD PART
HIDDEN ROAD PARTNERS CIV US LLC
10 EAST 40TH STREET, 26TH FLOOR, NEW YORK, NY 10016
MAILING ADDRESS: 10 E 40TH STREET, 26TH FLOOR, NEW YORK, NY 10016
ADMITTED

HORAN SECURITIES
HORAN SECURITIES, INC.
CINCINNATI, OH, UNITED STATES
RESIGNED

I

IMPROVED CORPORA
IMPROVED CORPORATE FINANCE LLC
NEW YORK, NY, UNITED STATES
RESIGNED

J

JEGI LLC
JEGI LLC
NEW YORK, NY, USA
RESIGNED

JNK SECURITIES C
JNK SECURITIES CORP.
NAME CHANGED TO: UPHOLD SECURITIES INC.

JNK SECURITIES C
UPHOLD SECURITIES INC.
NEW NAME OF: JNK SECURITIES CORP.

K

KEZAR TRADING, L
KEZAR TRADING, LLC
NAME CHANGED TO: LEVEL MARKETS, LLC

KEZAR TRADING, L
LEVEL MARKETS, LLC
NEW NAME OF: KEZAR TRADING, LLC

M

MADISON CAPITAL
MADISON CAPITAL MARKETS LLC
450 NEWPORT CENTER DRIVE, SUITE 250, NEWPORT BEACH, CA 92660
MAILING ADDRESS: 6805 MORRISON BLVD, STE 120, CHARLOTTE, NC 28211
ADMITTED

MAINLINE SECURIT
MAINLINE SECURITIES LLC
NAME CHANGED TO: 3ICO SECURITIES LLC

MAINLINE SECURIT
3ICO SECURITIES LLC
NEW NAME OF: MAINLINE SECURITIES LLC

MARK J. MULLER E
MARK J. MULLER EQUITIES, INC.
NAME CHANGED TO: BEACONS STRATEGIC CAPITAL, INC.

MARK J. MULLER E
BEACONS STRATEGIC CAPITAL, INC.
NEW NAME OF: MARK J. MULLER EQUITIES, INC.

N

NOMAD INVESTMENT
NOMAD INVESTMENT SERVICES
1111 LINCOLN ROAD, SUITE 660, MIAMI BEACH, FL 33139
ADMITTED

P

PHILLIPS & COMPA
PHILLIPS & COMPANY
PORTLAND, OR, UNITED STATES
RESIGNED

PILOT HILL CAPIT
PILOT HILL CAPITAL LLC
SUMMIT, NJ, UNITED STATES
RESIGNED

R

REALCADRE LLC
REALCADRE LLC
NAME CHANGED TO: YIELDSTREET MARKETS LLC

REALCADRE LLC
YIELDSTREET MARKETS LLC
NEW NAME OF: REALCADRE LLC

S

SCOTT-MACON SECU
SCOTT-MACON SECURITIES, INC.
NAME CHANGED TO: SMG SECURITIES, INC.

SCOTT-MACON SECU
SMG SECURITIES, INC.
NEW NAME OF: SCOTT-MACON SECURITIES, INC.

SENTINEL SECURIT
SENTINEL SECURITIES, INC.
NAME CHANGED TO: SENTINEL SECURITIES, LLC.

SENTINEL SECURIT
SENTINEL SECURITIES, LLC.
NEW NAME OF: SENTINEL SECURITIES, INC.

SEVENPOINT PARTN
SEVENPOINT PARTNERS, LP
NAME CHANGED TO: SEVENPOINT PARTNERS LLC

SEVENPOINT PARTN
SEVENPOINT PARTNERS LLC
NEW NAME OF: SEVENPOINT PARTNERS, LP

SOJOURNER SECURI
SOJOURNER SECURITIES, LLC
NAME CHANGED TO: KLEON FINANCIAL, LLC

SOJOURNER SECURI
KLEON FINANCIAL, LLC
NEW NAME OF: SOJOURNER SECURITIES, LLC

SOJOURNER SECURI
SOJOURNER SECURITIES, LLC
NAME CHANGED TO: KLEON FINANCIAL, LLC

SOJOURNER SECURI
KLEON FINANCIAL, LLC
NEW NAME OF: SOJOURNER SECURITIES, LLC

SPEYSIDE ADVISOR
SPEYSIDE ADVISORS, LLC
NAME CHANGED TO: 3PE ADVISORS

SPEYSIDE ADVISOR
3PE ADVISORS
NEW NAME OF: SPEYSIDE ADVISORS, LLC

STIFEL, NICOLAUS
STIFEL, NICOLAUS & COMPANY, INCORPORATED
B. RILEY WEALTH MANAGEMENT
WUNDERLICH SECURITIES, INC.

STOEVER, GLASS &
STOEVER, GLASS & COMPANY INC.
NEW YORK, NY, UNITED STATES
RESIGNED

SUSTAINABLE DEVE
SUSTAINABLE DEVELOPMENT CAPITAL, LLC
NEW YORK, NY, USA
RESIGNED

T

TRIAGO
TRIAGO
NEW YORK, NY, USA
RESIGNED

V

VICTORY CAPITAL
VICTORY CAPITAL SERVICES, INC.
AMUNDI DISTRIBUTOR US, INC.
AMUNDI PIONEER DISTRIBUTOR, INC.
AMUNDI PIONEER DISTRIBUTOR, INC.
PIONEER FUNDS DISTRIBUTOR, INC.
PIONEER DISTRIBUTORS, INC.

W

WATERMARK SECURI
WATERMARK SECURITIES, INC.
NEW YORK, NY, UNITED STATES
RESIGNED

WISE US ASSETS I
WISE US ASSETS INC
30 W. 26TH ST, SIXTH FLOOR, NEW YORK, NY 10010
ADMITTED

Y

YORKVILLE SECURI
YORKVILLE SECURITIES, LLC
1012 SPRINGFIELD AVE, MOUNTAINSIDE, NJ 07092
MAILING ADDRESS: 175 PINELAWN ROAD, MELVILLE, NY 11795
ADMITTED