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

For the period of 1/1/2024 through 1/31/2024

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3WIRE ADVISORY L
3WIRE ADVISORY LLC
1589 ROKEBY ROAD, UPPERVILLE, VA 20184
ADMITTED

A

A.C.R. SECURITIE
A.C.R. SECURITIES, INC.
CEDARHURST, NY, UNITED STATES
RESIGNED

ALPHAMAX DISTRIB
ALPHAMAX DISTRIBUTORS, L.L.C.
LA JOLLA, CA, UNITED STATES
RESIGNED

ALTITUDE CAPITAL
ALTITUDE CAPITAL GROUP LLC
260 NEWPORT CENTER DRIVE, SUITE 100, NEWPORT BEACH, CA 92660
MAILING ADDRESS: 401 ROCKEFELLER, SUITE 1406, IRVINE, CA 92612
ADMITTED

ARQ ADVISORS LLC
ARQ ADVISORS LLC
NAME CHANGED TO: ARQ SECURITIES

ARQ ADVISORS LLC
ARQ SECURITIES
NEW NAME OF: ARQ ADVISORS LLC

B

BAMBOO SECURITIE
BAMBOO SECURITIES, LLC
12655 NORTH CENTRAL EXPRESSWAY, SUITE 325, DALLAS, TX 75243
ADMITTED

BERNSTEIN INSTIT
BERNSTEIN INSTITUTIONAL SERVICES LLC
1345 AVENUE OF THE AMERICAS, NEW YORK, NY 10105
ADMITTED

BRANDON INVESTME
BRANDON INVESTMENTS, INC.
MEMPHIS, TN, UNITED STATES
RESIGNED

BRIDGE CAPITAL A
BRIDGE CAPITAL ASSOCIATES, INC.
NORCROSS, GA, USA
RESIGNED

BSC SECURITIES,
BSC SECURITIES, LLC
NAME CHANGED TO: BAILEY & CO. SECURITIES, LLC

BSC SECURITIES,
BAILEY & CO. SECURITIES, LLC
NEW NAME OF: BSC SECURITIES, LLC

C

C. A. BOTZUM & C
C. A. BOTZUM & CO.
VILLA PARK, CA, UNITED STATES
RESIGNED

CE CAPITAL ADVIS
CE CAPITAL ADVISORS, INC.
MARLBOROUGH, MA, USA
RESIGNED

CERTIGROUP, INC
CERTIGROUP, INC
MARATHON, FL, UNITED STATES
RESIGNED

COASTAL EQUITIES
COASTAL EQUITIES, INC.
NAME CHANGED TO: REALTA EQUITIES, INC.

COASTAL EQUITIES
REALTA EQUITIES, INC.
NEW NAME OF: COASTAL EQUITIES, INC.

COINBASE SECURIT
COINBASE SECURITIES, INC.
NEW YORK, NY, USA
RESIGNED

D

DRW SECURITIES,
DRW SECURITIES, L.L.C.
540 WEST MADISON STREET, SUITE 2500, CHICAGO, IL 60661
MAILING ADDRESS: 540 W MADISON ST, SUITE 2500, CHICAGO, IL 60661
ADMITTED

DV FINANCIAL SER
DV FINANCIAL SERVICES, LLC
PHOENIX, AZ
RESIGNED

E

EA MARKETS SECUR
EA MARKETS SECURITIES LLC
NAME CHANGED TO: CHATHAM FINANCIAL SECURITIES LLC

EA MARKETS SECUR
CHATHAM FINANCIAL SECURITIES LLC
NEW NAME OF: EA MARKETS SECURITIES LLC

EFG-HERMES USA,
EFG-HERMES USA, INC.
NEW YORK, NY, UNITED STATES
RESIGNED

EQX LLC
EQX LLC
NAME CHANGED TO: CRESCENDO MARKETS LLC

EQX LLC
CRESCENDO MARKETS LLC
NEW NAME OF: EQX LLC

F

FENCHURCH PARTNE
FENCHURCH PARTNERS, LP
280 PARK AVENUE, 3RD FLOOR, NEW YORK, NY 10017
ADMITTED

FN REALTY ADVISO
FN REALTY ADVISORS LLC
151 BODMAN PLACE, SUITE 201, RED BANK, NJ 07701
MAILING ADDRESS: 2540 PEBBLE CREEK DRIVE, LISLE, IL 60532
ADMITTED

FSC SECURITIES C
FSC SECURITIES CORPORATION
ATLANTA, GA, UNITED STATES
RESIGNED

G

GAM SERVICES, IN
GAM SERVICES, INC.
NEW YORK, NY, USA
RESIGNED

GORDIAN KNOT INC
GORDIAN KNOT INC.
NEW YORK, NY
RESIGNED

H

HMC INVESTMENTS,
HMC INVESTMENTS, INC.
NAME CHANGED TO: HMC INVESTMENTS, LLC

HMC INVESTMENTS,
HMC INVESTMENTS, LLC
NEW NAME OF: HMC INVESTMENTS, INC.

I

ICAPITAL SECURIT
ICAPITAL SECURITIES, LLC
NEW YORK, NY, UNITED STATES
RESIGNED

J

JB DRAX HONORE'
JB DRAX HONORE' INC.
49 WEST 23RD STREET, 10TH FLOOR, NEW YORK, NY 10010
ADMITTED

JCRA FINANCIAL L
JCRA FINANCIAL LLC
KENNETT SQUARE, PA, USA
RESIGNED

K

KEVIN HART KORNF
KEVIN HART KORNFIELD & COMPANY, INC.
LANCASTER, PA, UNITED STATES
RESIGNED

L

LOMBARD INTERNAT
LOMBARD INTERNATIONAL DISTRIBUTION COMPANY
NAME CHANGED TO: AXCELUS FINANCIAL DISTRIBUTION COMPANY

LOMBARD INTERNAT
AXCELUS FINANCIAL DISTRIBUTION COMPANY
NEW NAME OF: LOMBARD INTERNATIONAL DISTRIBUTION COMPANY

M

MAREX NORTH AMER
MAREX NORTH AMERICA SECURITIES LLC
NEW YORK, NY, UNITED STATES
RESIGNED

MOMENTUM CAPITAL
MOMENTUM CAPITAL MARKETS, LLC
SAN FRANCISCO, CA, UNITED STATES
RESIGNED

MOONFARE SECURIT
MOONFARE SECURITIES USA
27 WEST 24TH STREET, STE 805, NEW YORK, NY 10010
ADMITTED

MULLIGAN INVESTM
MULLIGAN INVESTMENT BANKERS, LLC
NEWPORT BEACH, CA, USA
RESIGNED

O

OMEGA SECURITIES
OMEGA SECURITIES, INC.
FORT WORTH, TX, UNITED STATES
RESIGNED

OSAIC WEALTH, IN
INTEGRATED INVESTMENTS, INC.
WOODBURY FINANCIAL SERVICES, INC.
FORTIS INVESTORS, INC.
AMEV INVESTORS, INC.
MERGED ST. PAUL INVESTORS, INC.
TO FORM OSAIC WEALTH, INC.

OTA LLC
OTA LLC
PURCHASE, NY, UNITED STATES
RESIGNED

P

PHASE ONE FINANC
PHASE ONE FINANCIAL SERVICES, LLC
NEW YORK, NY, UNITED STATES
RESIGNED

PRAXESS SECURITI
PRAXESS SECURITIES, LLC.
3102 WEST END AVENUE SUITE 400, NASHVILLE, TN 37203
ADMITTED

R

RYAN BROKERAGE S
RYAN BROKERAGE SERVICES, LLC
ROCKEFELLER CENTER, 600 FIFTH AVE, 9TH FLOOR, NEW YORK, NY 10020
MAILING ADDRESS: 13155 NOEL ROAD,, SUITE 100, DALLAS, TX 75240-5090
ADMITTED

S

SA STONE WEALTH
SA STONE WEALTH MANAGEMENT INC.
NAME CHANGED TO: STONEX SECURITIES INC.

SA STONE WEALTH
STONEX SECURITIES INC.
NEW NAME OF: SA STONE WEALTH MANAGEMENT INC.

SIMON MARKETS LL
SIMON MARKETS LLC
NEW YORK, NY, UNITED STATES
RESIGNED

SOCIAL INVSTR
SOCIAL INVSTR
SAN ANTONIO, TX, UNITED STATES
RESIGNED

T

THIRD LAKE ASSOC
THIRD LAKE ASSOCIATES, LLC
1600 EAST 8TH AVENUE,, SUITE A-208, TAMPA, FL 33605
ADMITTED

TORTOISEECOFIN S
TORTOISEECOFIN SECURITIES, LLC
OVERLAND PARK, KS, USA
RESIGNED

V

VESTTOO SECURITI
VESTTOO SECURITIES (USA) LLC
REHOBOTH BEACH, DE, UNITED STATES
RESIGNED

VYGR DIGITAL SEC
VYGR DIGITAL SECURITIES, LLC
NEW YORK, NY, USA
RESIGNED

W

WEALTHHOUSE ADVI
WEALTHHOUSE ADVISORS INC
17 CANOE BROOK DRIVE, LIVINGSTON, NJ 07039
MAILING ADDRESS: 17 CANOE BROOK DR, LIVINGSTON, NJ 07039-6121
ADMITTED

WEDBUSH & CO., L
WEDBUSH & CO., LLC
142 WEST 57TH STREET, 12TH FLOOR, NEW YORK, NY 10019
ADMITTED