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Previous Month Changes to List of Broker Dealer Firms We Regulate

For the period of 5/1/2020 through 5/31/2020 

A

ADVANTAGE FINANC
ADVANTAGE FINANCIAL PRIVATE & CORPORATE LLC
NEW YORK, NY, UNITED STATES
RESIGNED

ANCHIN CAPITAL A
ANCHIN CAPITAL ADVISORS LLC
NAME CHANGED TO: ANCHIN CAPITAL LLC

ANCHIN CAPITAL A
ANCHIN CAPITAL LLC
NEW NAME OF: ANCHIN CAPITAL ADVISORS LLC

ASHTON YOUNG, IN
ASHTON YOUNG, INC.
BLOOMFIELD HILLS, MI, UNITED STATES
RESIGNED

B

BD COMPLIANCE SO
BD COMPLIANCE SOLUTIONS, LLC
PORTLAND, ME, UNITED STATES
RESIGNED

BRIGHTON 5TH PAR
BRIGHTON 5TH PARTNERS LLC
NAME CHANGED TO: CSNR SERVICES, LLC

BRIGHTON 5TH PAR
CSNR SERVICES, LLC
NEW NAME OF: BRIGHTON 5TH PARTNERS LLC

BWK TRINITY CAPI
BWK TRINITY CAPITAL SECURITIES LLC
LOS ANGELES, CA
RESIGNED

C

CFWP SECURITIES,
CFWP SECURITIES, LLC
NEW YORK, NY, UNITED STATES
RESIGNED

CLEAR CAPITAL SE
CLEAR CAPITAL SECURITIES LP
1801 CENTURY PARK EAST, SUITE 450, LOS ANGELES, CA 90067
ADMITTED

CONNAUGHT (U.S.)
CONNAUGHT (U.S.) LLC
152-156 GREAT PORTLAND STREET, LONDON W1W6AJ UNITED KINGDOM
MAILING ADDRESS: 152-156 GREAT PORTLAND STREET, LONDON W1W 6AJ UNITED KINGDOM
ADMITTED

CREDITEX SECURIT
CREDITEX SECURITIES CORPORATION
NAME CHANGED TO: ICE BONDS SECURITIES CORPORATION

CREDITEX SECURIT
ICE BONDS SECURITIES CORPORATION
NEW NAME OF: CREDITEX SECURITIES CORPORATION

CREST CAPITAL LL
CREST CAPITAL LLC
WALDO, WI, USA
CANCELLED FOR FAILURE TO PAY OUTSTANDING FEES.

D

DEALSYTE SECURIT
DEALSYTE SECURITIES LLC
NAME CHANGED TO: FINALIS SECURITIES LLC

DEALSYTE SECURIT
FINALIS SECURITIES LLC
NEW NAME OF: DEALSYTE SECURITIES LLC

E

EBISU SECURITIES
EBISU SECURITIES
NAME CHANGED TO: EBISU SECURITIES INC.

EBISU SECURITIES
EBISU SECURITIES INC.
NEW NAME OF: EBISU SECURITIES

EBISU SECURITIES
EBISU SECURITIES INC.
21860 BURBANK BLVD., SUITE 150, WOODLAND HILLS, CA 91367
ADMITTED

F

FIRST COMMAND FI
FIRST COMMAND FINANCIAL PLANNING, INC.
NAME CHANGED TO: FIRST COMMAND BROKERAGE SERVICES, INC.

FIRST COMMAND FI
FIRST COMMAND BROKERAGE SERVICES, INC.
NEW NAME OF: FIRST COMMAND FINANCIAL PLANNING, INC.

G

GATSBY SECURITIE
GATSBY SECURITIES
44 SOUTH BROADWAY, SUITE 100, WHITE PLAINS, NY 10603
ADMITTED

GLASSRATNER SECU
GLASSRATNER SECURITIES, LLC
NAME CHANGED TO: CONFIGURE PARTNERS SECURITIES, LLC

GLASSRATNER SECU
CONFIGURE PARTNERS SECURITIES, LLC
NEW NAME OF: GLASSRATNER SECURITIES, LLC

GRAFINE CAPITAL
GRAFINE CAPITAL PARTNERS LLC
667 MADISON AVENUE, 11TH FLOOR, NEW YORK, NY 10065
ADMITTED

GRAND FINANCIAL,
GRAND FINANCIAL, INC.
ADDISON, TX, UNITED STATES
RESIGNED

H

HAGEN SECURITIES
HAGEN SECURITIES, INC.
LOS ANGELES, CA, UNITED STATES
RESIGNED

HUNTER, KEITH, M
HUNTER, KEITH, MARSHALL & CO., INCORPORATED
NEW YORK, NY, UNITED STATES
RESIGNED

K

KLR GROUP, LLC
KLR GROUP, LLC
HOUSTON, TX, USA
RESIGNED

L

LARA, MAY & ASSO
LARA, MAY & ASSOCIATES, LLC
NAME CHANGED TO: XML SECURITIES

LARA, MAY & ASSO
XML SECURITIES
NEW NAME OF: LARA, MAY & ASSOCIATES, LLC

M

MACQUARIE CAPITA
MACQUARIE CAPITAL MARKETS NORTH AMERICA LTD.
TORONTO, ONTARIO, CANADA
RESIGNED

MAPLEWOOD INVEST
MAPLEWOOD INVESTMENT ADVISORS, INC.
NAME CHANGED TO: MAPLEWOOD INVESTMENTS, INC.

MAPLEWOOD INVEST
MAPLEWOOD INVESTMENTS, INC.
NEW NAME OF: MAPLEWOOD INVESTMENT ADVISORS, INC.

MARKETAXESS RATE
MARKETAXESS RATES
NAME CHANGED TO: LIQUIDITYEDGE, LLC

MARKETAXESS RATE
LIQUIDITYEDGE, LLC
NEW NAME OF: MARKETAXESS RATES

MCCOURTNEY-BRECK
MCCOURTNEY-BRECKENRIDGE & COMPANY
ST. LOUIS, MO, UNITED STATES
RESIGNED

MEEDER INVESTMEN
MEEDER INVESTMENT MANAGEMENT, INC.
NAME CHANGED TO: MEEDER DISTRIBUTION SERVICES, INC.

MEEDER INVESTMEN
MEEDER DISTRIBUTION SERVICES, INC.
NEW NAME OF: MEEDER INVESTMENT MANAGEMENT, INC.

MEESCHAERT CAPIT
MEESCHAERT CAPITAL MARKETS, INC.
NEW YORK, NY, UNITED STATES
RESIGNED

MENKE CAPITAL CO
MENKE CAPITAL CORPORATION
ONE KAISER PLAZA, SUITE 505, OAKLAND, CA 94612
ADMITTED

P

PALLADIUM CAPITA
PALLADIUM CAPITAL ADVISORS, LLC
NAME CHANGED TO: PALLADIUM CAPITAL GROUP, LLC

PALLADIUM CAPITA
PALLADIUM CAPITAL GROUP, LLC
NEW NAME OF: PALLADIUM CAPITAL ADVISORS, LLC

PBMARES CAPITAL
PBMARES CAPITAL MARKETS, LLC
3957 WESTERRE PARKWAY, SUITE 220, RICHMOND, VA 23233
ADMITTED

PEACHTREE PC ADV
PEACHTREE PC ADVISORS, LLC
NAME CHANGED TO: PEACHTREE PC INVESTORS, LLC

PEACHTREE PC ADV
PEACHTREE PC INVESTORS, LLC
NEW NAME OF: PEACHTREE PC ADVISORS, LLC

PERICULUM ADVISO
PERICULUM ADVISORS, LLC
NAME CHANGED TO: PERICULUM CAPITAL MARKETS, LLC

PERICULUM ADVISO
PERICULUM CAPITAL MARKETS, LLC
NEW NAME OF: PERICULUM ADVISORS, LLC

PGB SECURITIES L
PGB SECURITIES LLC
500 HILLS DRIVE, BEDMINSTER, NJ 07921
ADMITTED

POTOMAC CAPITAL
POTOMAC CAPITAL MARKETS, LLC
FREDERICK, MD, UNITED STATES
CANCELLED FOR FAILURE TO PAY OUTSTANDING FEES

Q

QUALIS CAPITAL,
QUALIS CAPITAL, LLC
ONE ROCKEFELLER PLAZA, SUITE 1640, NEW YORK, NY 10020
MAILING ADDRESS: 1 ROCKEFELLER PLAZA, SUITE 1640, NEW YORK, NY 10020
ADMITTED

S

SANDLER, O'NEILL
SANDLER, O'NEILL & PARTNERS, L.P.
NEW YORK, NY, UNITED STATES
RESIGNED

T

TONTINE INVESTME
TONTINE INVESTMENT GROUP, LLC
SELDEN, NY
RESIGNED

S

STRATHMORE GROUP
STRATHMORE GROUP LLC
92 HORATIO STREET, SUITE 4L, NEW YORK, NY 10014-1663
ADMITTED

T

TRANCEKA CAPITAL
TRANCEKA CAPITAL, LLC
SEATTLE, WA, USA
RESIGNED

TRANSITIONAL ADV
TRANSITIONAL ADVISOR
11650 S. STATE STREET, SUITE 200, DRAPER, UT 84020
ADMITTED

TRIPOINT GLOBAL
TRIPOINT GLOBAL EQUITIES/BANQ(R)
NEW YORK, NY, USA
RESIGNED

V

VESTOR CAPITAL S
VESTOR CAPITAL SECURITIES, LLC
CHICAGO, IL, UNITED STATES
RESIGNED

VICENTE & PARTNE
VICENTE & PARTNERS LLC
20 EASTBOURNE TERRACE, LONDON W2 6LG UNITED KINGDOM
MAILING ADDRESS: 17 NORTH CAPE LANE, EAST HAMPTON, NY 11937 USA
ADMITTED

Z

ZENITH CAPITAL A
ZENITH CAPITAL ADVISORS LLC
NAME CHANGED TO: ZENITH SECURITIES LLC

ZENITH CAPITAL A
ZENITH SECURITIES LLC
NEW NAME OF: ZENITH CAPITAL ADVISORS LLC