Firms We Regulate - H

H & L EQUITIES, LLC
1175 PEACHTREE ST., N.E., SUITE 2200, ATLANTA, GA 30361-6206

H. BECK, INC.
6600 ROCKLEDGE DRIVE, 6TH FLOOR, BETHESDA, MD 20817

H. C. DENISON CO.
11/18/2014618 NORTH 7TH STREET, SHEBOYGAN, WI 53081
Mailing Address: P.O. BOX 28, SHEBOYGAN, WI 53082-0028

H. KAWANO & CO., INC.
1149 BETHEL STREET #503, HONOLULU, HI 96813-2212
Mailing Address: P.O. BOX 4406, HONOLULU, HI 96812-4406

H. RIVKIN & CO., INC.
12 WEST DELAWARE AVENUE, PENNINGTON, NJ 08534

H.C.WAINWRIGHT & CO., LLC
430 PARK AVENUE, 4TH FLOOR, NEW YORK, NY 10022

H2C SECURITIES INC.
11682 EL CAMINO REAL, SUITE 320, SAN DIEGO, CA 92130

HA&W STRATEGIC PARTNERS, LLC
FIVE CONCOURSE PARKWAY, SUITE 600, ATLANTA, GA 30328

HAGEN SECURITIES, INC.
2112 CENTURY PARK LANE, #415, LOS ANGELES, CA 90067

HAITONG INTERNATIONAL SECURITIES (USA) INC.
800 THIRD AVENUE, SUITE 1703, NEW YORK, NY 10022

HALCYON CABOT PARTNERS, LTD.
767 THIRD AVENUE, 17TH FLOOR, NEW YORK, NY 10017

HALEN CAPITAL
301 SOUTH MISSOURI AVENUE, 2ND FLOOR, CLEARWATER, FL 33756

HALES SECURITIES, LLC
521 FIFTH AVENUE, SUITE 610, NEW YORK, NY 10175

HALEY SECURITIES, INC.
10703 J STREET, SUITE 102, OMAHA, NE 68127

HALIFAX AMERICA LLC
15233 VENTURA BLVD., SUITE 605, SHERMAN OAKS, CA 91403

HALL & ROMKEMA FINANCIAL SERVICES, LLC
3495 COOLIDGE, EAST LANSING, MI 48823

HALLIDAY FINANCIAL, LLC
725 GLEN COVE AVENUE, GLEN HEAD, NY 11545
Mailing Address: 725 GLEN COVE ANUENE, GLEN HEAD, NY 11545

HALLMARK INVESTMENTS, INC.
260 MADISON AVENUE, 8TH FLOOR, NEW YORK, NY 10016

HAMERSHLAG SULZBERGER BORG CAPITAL MARKETS, INC.
1230 AVENUE OF THE AMERICAS ROCKEFELLER CENTER, 7TH FLOOR, NEW YORK CITY, NY 10020
Mailing Address: C/O ACCOUNTING & COMPLIANCE INTERNATIONAL, 40 WALL STREET SUITE 1704, NEW YORK, NY 10005

HAMERSLEY PARTNERS LLC
1 HOLLIS STREET, SUITE 350, WELLESLEY, MA 02482

HAMILTON CAVANAUGH & ASSOCIATES, INC.
661 NORTH BROADWAY, WHITE PLAINS, NY 10603

HAMILTON CLARK SUSTAINABLE CAPITAL, INC.
1701 PENNSYLVANIA AVENUE NW, SUITE 300, WASHINGTON, DC 20006

HAMILTON GRANT LLC
70 SOUTH LAKE AVENUE, PASADENA, CA 91101-4709

HAMILTON MILLER INVESTMENTS, LLC
5350 S. ROSLYN ST. SUITE 350, GREENWOOD VILLAGE, CO 80111

HAMPTON HEDGE FUND MARKETING, LLC
2605 GENEVA HILL COURT, OAKTON, VA 22124

HANCOCK FINANCIAL, INC.
1563 VIRGINIA WAY, LA JOLLA, CA 92037-3836

HANCOCK INVESTMENT SERVICES, INC.
2600 CITIPLACE DR., SUITE 100, BATON ROUGE, LA 70808

HANCOCK SECURITIES GROUP, LLC
383 MARSHALL AVENUE, ST. LOUIS, MO 63119

HAND SECURITIES, INC
820 GESSNER, STE 1250, HOUSTON, TX 77024

HANDELSBANKEN MARKETS SECURITIES, INC.
875 THIRD AVENUE, 4TH FLOOR, NEW YORK, NY 10022-4678

HANKERSON FINANCIAL, INC.
2929 NORTH 44TH STREET #200, PHOENIX, AZ 85018
Mailing Address: 2929 N. 44TH ST. STE. 200, PHOENIX, AZ 85018

HANNON ARMSTRONG SECURITIES, LLC
1906 TOWNE CENTRE BLVD, SUITE 370, ANNAPOLIS, MD 21401

HANOVER SECURITIES
411 S. SANGAMON STREET, SUITE 5-B, CHICAGO, IL 60607

HANSON MCCLAIN SECURITIES
8775 FOLSOM BOULEVARD, SUITE 100, SACRAMENTO, CA 95826

HANTZ FINANCIAL SERVICES, INC.
26200 AMERICAN DRIVE, FIFTH FLOOR, SOUTHFIELD, MI 48034
Mailing Address: 26200 AMERICAN DRIVE, FIFTH FLOOR, SOUTHFIELD, MI 48034

HAPOALIM SECURITIES USA, INC.
ONE BATTERY PARK PLAZA - 2ND FLOOR, NEW YORK, NY 10004-1405

HARBOR FINANCIAL SERVICES, LLC
RSA BATTLEHOUSE TOWER, 11 NORTH WATER STREET, STE 21290, MOBILE, AL 36602

HARBOR FUNDS DISTRIBUTORS, INC.
111 SOUTH WACKER DRIVE, 34TH FLOOR, CHICAGO, IL 60606

HARBOR INVESTMENT ADVISORY, LLC
100 LIGHT STREET, SUITE 1300, BALTIMORE, MD 21202

HARBOR LIGHT SECURITIES, LLC
9325 BAY PLAZA BLVD, SUITE 205, TAMPA, FL 33619
Mailing Address: 5504 KEELER OAK STREET, LITHIA, FL 33547

HARBOR VIEW ADVISORS, LLC
822 A1A NORTH, SUITE 200, PONTE VEDRA, FL 32082

HARBOUR INVESTMENTS, INC.
575 D'ONOFRIO DRIVE, SUITE 300, MADISON, WI 53719

HARDCASTLE TRADING USA L.L.C.
755 SECAUCUS ROAD, SUITE F1110, SECAUCUS, NJ 07094

HARGER AND COMPANY, INC.
8048 ONE CALAIS AVE SUITE D, BATON ROUGE, LA 70809

HARKEN CAPITAL SECURITIES, LLC
16 ANN VINAL ROAD, SCITUATE, MA 02066

HAROLD DANCE INVESTMENTS
360 NORTH MAIN, LOGAN, UT 84321

HARPETH SECURITIES, LLC
ONE AMERICAN CENTER, 3100 WEST END AVENUE - SUITE 710, NASHVILLE, TN 37203

HARRIS ASSOCIATES SECURITIES L.P.
111 S. WACKER DRIVE, SUITE 4600, CHICAGO, IL 60606

HARRIS WILLIAMS & CO.
1001 HAXALL POINT, 9TH FLOOR, RICHMOND, VA 23219

HARTFIELD, TITUS & DONNELLY, LLC
111 TOWN SQUARE PLACE, JERSEY CITY, NJ 07310

HARTFORD FUNDS DISTRIBUTORS, LLC
100 MATSONFORD RD, 5 RADNOR CORP CENTER - SUITE 300, RADNOR, PA 19087
Mailing Address: 100 MATSONFORD RD, 5 RADNOR CORP CENTER- SUITE 300, RADNOR, PA 19087

HARTFORD SECURITIES DISTRIBUTION COMPANY, INC.
200 HOPMEADOW STREET, SIMSBURY, CT 06089
Mailing Address: 200 HOPMEADOW STREET, B1E-2 COMPLIANCE DEPARTMENT, SIMSBURY, CT 06089

HARVEST FINANCIAL CORPORATION
1600 BENEDUM-TREES BUILDING, 223 FOURTH AVENUE, PITTSBURGH, PA 15222

HARVEST KRANE INVESTMENTS LLC
708 THIRD AVENUE, 6TH FLOOR, NEW YORK, NY 10170

HARVESTONS SECURITIES, INC.
8301 E. PRENTICE AVE., SUITE 305, GREENWOOD VILLAGE, CO 80111

HASTINGS CAPITAL GROUP, LLC
527 MADISON AVENUE, 16TH FLOOR, NEW YORK, NY 10022

HATTERAS CAPITAL
6601 SIX FORKS ROAD, SUITE 340, RALEIGH, NC 27615

HAVERFORD TRUST SECURITIES, INC.
THREE RADNOR CORPORATE CENTER STE. 450, RADNOR, PA 19087

HAYWOOD SECURITIES (USA) INC.
200 BURRARD ST, SUITE 700, VANCOUVER, BC, V6C 3L6 CANADA

HAZARD & SIEGEL, INC.
5790 WIDEWATERS PARKWAY, DEWITT, NY 13214
Mailing Address: PO BOX 157, SYRACUSE, NY 13214

HAZLETT, BURT & WATSON, INC.
1300 CHAPLINE STREET, WHEELING, WV 26003

HBK GLOBAL SECURITIES L.P.
2101 CEDAR SPRINGS ROAD, SUITE 700, DALLAS, TX 75201

HBK SORCE BROKERAGE LLC
6603 SUMMIT DRIVE, CANFIELD, OH 44406

HBW SECURITIES LLC
3355 COCHRAN STREET, SUITE 100, SIMI VALLEY, CA 93063

HD VEST INVESTMENT SERVICES
6333 NORTH STATE HIGHWAY 161, 4TH FLOOR, IRVING, TX 75038-2200

HEADLANDS GLOBAL MARKETS, LLC
155 N. WACKER DRIVE, SUITE 1980, CHICAGO, IL 60606

HEADWATERS BD, LLC
1225 17TH STREET, SUITE 1725, DENVER, CO 80202

HEALTHCARE COMMUNITY SECURITIES CORPORATION
ONE EMPIRE DRIVE, RENSSELAER, NY 12144

HEALTHIOS CAPITAL MARKETS, LLC
1101 SKOKIE BLVD, SUITE 240, NORTHBROOK, IL 60062
Mailing Address: 1101 SKOKIE BLVD,SUITE 240, NORTHBROOK, IL 60062

HEDGE HARBOR INC.
800 THIRD AVENUE, 22ND FLOOR, NEW YORK, NY 10022

HEDGEBAY SECURITIES LLC
191 POST ROAD WEST, WESTPORT, CT 06880

HEDGECO SECURITIES, LLC
400 CLEMATIS STREET, SUITE 205, WEST PALM BEACH, FL 33401

HEDGEMARK SECURITIES LLC
780 THIRD AVENUE, 44TH FLOOR, NEW YORK, NY 10017

HEDGESERV INVESTMENT SERVICES LLC
1271 AVENUE OF THE AMERICAS, 38TH FLOOR, NEW YORK, NY 10020

HEED PARTNERS, LLC
3715 NORTHSIDE PARKWAY NW, BLDG 400, STE 475, ATLANTA, GA 30327

HEFREN-TILLOTSON, INC.
308 SEVENTH AVENUE, PITTSBURGH, PA 15222-3909

HEIGHT SECURITIES, LLC
1775 PENNSYLVANIA AVENUE, NW, 11TH FLOOR, WASHINGTON, DC 20006

HEIKKINEN ENERGY SECURITIES, LLC
2601 WESTHEIMER RD, SUITE C 240, HOUSTON, TX 77098

HEIM, YOUNG & ASSOCIATES, INC.
1256 E. KINGSLEY ST, SPRINGFIELD, MO 65804-7211

HEITMAN SECURITIES LLC
191 N. WACKER DRIVE, SUITE 2500, CHICAGO, IL 60606
Mailing Address: 191 N. WACKER DRIVE, SUITE 2500, CHICAGO, IL 60606

HELVEA INC.
600 LEXINGTON AVENUE, SUITE 2501, NEW YORK, NY 10022

HENDERSON GLOBAL INVESTORS EQUITY PLANNING, INC.
737 N. MICHIGAN AVE., SUITE 1700, CHICAGO, IL 60611

HENLEY & COMPANY LLC
1290 RXR PLAZA, UNIONDALE, NY 11556

HENNION & WALSH, INC.
2001 ROUTE 46, WATERVIEW PLAZA, PARSIPPANY, NJ 07054-1018

HERBERT J. SIMS & CO. INC.
2150 POST ROAD, SUITE 301, FAIRFIELD, CT 06824

HERITAGE BENEFITS FINANCIAL SERVICES, INC.
2950 NORTHUP WAY STE 105, BELLEVUE, WA 98004-1406

HERITAGE CAPITAL GROUP, INC.
4417 BEACH BOULEVARD, SUITE 302, JACKSONVILLE, FL 32207

HERITAGE FINANCIAL SYSTEMS, INC.
5 GREAT VALLEY PARKWAY, SUITE 334, MALVERN, PA 19355

HERNDON PLANT OAKLEY, LTD.
800 NORTH SHORELINE BLVD., SUITE 2200 SOUTH, CORPUS CHRISTI, TX 78401

HEWITT FINANCIAL SERVICES LLC
4 OVERLOOK POINT, LINCOLNSHIRE, IL 60069

HFF SECURITIES L.P.
1999 AVENUE OF THE STARS, STE. 1200, LOS ANGELES, CA 90067

HGP SECURITIES, LLC
105 S. YORK ST., SUITE 230, ELMHURST, IL 60126

HIGGINS CAPITAL MANAGEMENT, INC.
2223 AVENIDA DE LA PLAYA STE. 210, LA JOLLA, CA 92037-3218

HIGH POINT CAPITAL GROUP, INC.
125 SOUTH SWOOPE AVE., SUITE 206, MAITLAND, FL 32751

HIGHBANK SECURITIES LLC
1 SOUTH STREET, SUITE 1260, BALTIMORE, MD 21202

HIGHLAND CAPITAL FUNDS DISTRIBUTOR, INC.
200 CRESCENT COURT, SUITE 700, DALLAS, TX 75201

HIGHLANDER CAPITAL GROUP, INC.
535 MILLBURN AVENUE, SHORT HILLS, NJ 07078

HIGHTOWER SECURITIES, LLC
200 WEST MADISON STREET, SUITE 2500, CHICAGO, IL 60606-3414

HILBY WILSON INC.
4531 N. 16TH ST #110, PHOENIX, AZ 85016

HIMCO DISTRIBUTION SERVICES COMPANY
ONE HARTFORD PLAZA, HARTFORD, CT 06155
Mailing Address: ONE HARTFORD PLAZA, HO-1-9 LAW DEPARTMENT, HARTFORD, CT 06155

HINES SECURITIES, INC.
2800 POST OAK BOULEVARD, SUITE 4700, HOUSTON, TX 77056

HITHERLANE PARTNERS, LLC
900 3RD AVENUE, SUITE 1401, NEW YORK, NY 10022

HLH SECURITIES, INC.
2755 ALBATROSS DRIVE, COSTA MESA, CA 92626

HMC INVESTMENTS, INC.
2100 3RD AVENUE NORTH, SUITE 600, BIRMINGHAM, AL 35203

HOCKING CAPITAL, LLC
201 SPEAR STREET, SUITE 1200, SAN FRANCISCO, CA 94105

HODES WEILL SECURITIES, LLC
850 THIRD AVE, 15TH FLOOR, NEW YORK, NY 10022

HOLLENCREST CAPITAL MANAGEMENT
100 BAYVIEW CIRCLE, SUITE 500, NEWPORT BEACH, CA 92660

HOLLISTER ASSOCIATES, LLC
713 NEW MARKET DRIVE, MT. PLEASANT, SC 29464

HOLLOWAY & ASSOCIATES, INC.
ONE MILL PLACE, STE 101, EASTON, MD 21601
Mailing Address: P.O. BOX 1559, EASTON, MD 21601

HOME FINANCIAL SERVICES, INC.
507 MARKET STREET, KNOXVILLE, TN 37902

HORACE MANN INVESTORS, INC.
ONE HORACE MANN PLAZA, SPRINGFIELD, IL 62715-0001

HORAN SECURITIES, INC.
4990 EAST GALBRAITH ROAD, CINCINNATI, OH 45236

HORIZON FINANCIAL INVESTMENT CORPORATION
151 HARRINGTON CIRCLE, WILLINGBORO, NJ 08046

HORNOR, TOWNSEND & KENT, INC.
600 DRESHER RD, STE C1C, HORSHAM, PA 19044

HOULIHAN CAPITAL, LLC
500 W. MADISON STREET, SUITE 2600, CHICAGO, IL 60661

HOULIHAN LOKEY CAPITAL, INC.
10250 CONSTELLATION BOULEVARD, 5TH FLOOR, LOS ANGELES, CA 90067

HOVDE GROUP, LLC
1629 COLONIAL PARKWAY, INVERNESS, IL 60067

HP SECURITIES, INC.
1500 SW FIRST #910, PORTLAND, OR 97201

HRC FUND ASSOCIATES, LLC
14 WALL STREET, SUITE 3A, NEW YORK, NY 10005

HSBC SECURITIES (USA) INC.
452 FIFTH AVENUE, NEW YORK CITY, NY 10018
Mailing Address: 452 FIFTH AVENUE 7TH FLOOR, NEW YORK CITY, NY 10018

HSH N FINANCIAL SECURITIES LLC
230 PARK AVENUE, 32ND FLOOR, NEW YORK, NY 10169
Mailing Address: 230 PARK AVENUE, 31ST FLOOR, NEW YORK, NY 10169

HT CAPITAL SECURITIES, LLC
437 MADISON AVE. 39TH FLOOR, NEW YORK, NY 10022

HUB INTERNATIONAL INVESTMENT SERVICES INC.
2393 TOWNSGATE ROAD, SUITE 101, WESTLAKE VILLAGE, CA 91361-2513

HUCKIN FINANCIAL GROUP, INC.
3700 BUFFALO SPEEDWAY, SUITE 950, HOUSTON, TX 77098

HUDSON CAPITAL ADVISORS BD LLC
100 WILSHIRE BOULEVARD, SUITE 250, SANTA MONICA, CA 90401

HUDSON HERITAGE CAPITAL MANAGEMENT, INC.
20 BALTIC PLACE SUITE 2, CROTON-ON-HUDSON, NY 10520

HUDSON HOUSING SECURITIES LLC
630 FIFTH AVENUE, 28TH FLOOR, NEW YORK, NY 10111

HUDSON PARTNERS SECURITIES LLC
SIX LANDMARK SQUARE, 3RD FLOOR, STAMFORD, CT 06901

HUFFMAN PRAIRIE CAPITAL, LLC
10510 SPRINGBORO PIKE, MIAMISBURG, OH 45342

HUNNICUTT & CO. LLC
110 E. 59TH STREET, 32ND FLOOR, NEW YORK, NY 10022

HUNT FINANCIAL SECURITIES, LLC
230 PARK AVENUE, 19TH FLOOR, NEW YORK, NY 10169

HUNTER ASSOCIATES, INC.
436 SEVENTH AVENUE, KOPPERS BUILDING, FIFTH FLOOR, PITTSBURGH, PA 15219-1818
Mailing Address: 436 SEVENTH AVENUE-5TH FLOOR, PITTSBURGH, PA 15219

HUNTER, KEITH, MARSHALL & CO., INCORPORATED
1430 BROADWAY, 14TH FLOOR NE, NEW YORK, NY 10018

HUNTLEIGH SECURITIES CORPORATION
7800 FORSYTH BLVD., 5TH FLOOR, ST. LOUIS, MO 63105

HURON TRANSACTION ADVISORY LLC
550 WEST VAN BUREN STREET, SUITE 1700, CHICAGO, IL 60607

HUTCHINSON, SHOCKEY, ERLEY & CO.
222 WEST ADAMS-STE 1700, CHICAGO, IL 60606-5308

HWJ CAPITAL PARTNERS II, LLC
7400 NORTH FEDERAL HIGHWAY, SUITE A5, BOCA RATON, FL 33487

HYDE PARK CAPITAL ADVISORS, LLC
701 N. FRANKLIN STREET, TAMPA, FL 33602

HYPATIA CAPITAL ADVISORS LLC
750 LEXINGTON AVENUE, 6TH FLOOR, NEW YORK, NY 10022

HYUNDAI SECURITIES (AMERICA) INC.
1370 AVENUE OF THE AMERICAS, SUITE 1900, NEW YORK, NY 10019

Last updated: 7/15/15