Firms We Regulate - I

I-BANKERS DIRECT, LLC
535 5TH AVE, 4TH FLOOR, NEW YORK, NY 10017

I-BANKERS SECURITIES, INC.
535 5TH AVE., 4TH FLOOR, NEW YORK, NY 10017

IA SECURITIES (USA) INC.
26 WELLINGTON STREET EAST, SUITE 900, TORONTO, ONTARIO, M5E 1S2 CANADA

IAM CAPITAL CORPORATION
276 POST ROAD WEST, WESTPORT, CT 06880-4704

IBERIA CAPITAL PARTNERS L.L.C.
601 POYDRAS STREET, SUITE 2000, NEW ORLEANS, LA 70130

IBN FINANCIAL SERVICES, INC.
8035 OSWEGO RD., LIVERPOOL, NY 13090
Mailing Address: P.O. BOX 2365, LIVERPOOL, NY 13089

ICAP CORPORATES LLC
HARBORSIDE FINANCIAL CENTER, 1100 PLAZA FIVE, 12TH FL., JERSEY CITY, NJ 07311-4996

ICAP SECURITIES USA LLC
HARBORSIDE FINANCIAL CENTER, 1100 PLAZA FIVE, 12TH FL., JERSEY CITY, NJ 07311

ICAPITAL SECURITIES, LLC
441 LEXINGTON AVENUE, 9TH FLOOR, NEW YORK, NY 10017

ICBA SECURITIES
775 RIDGE LAKE BLVD., SUITE 200, MEMPHIS, TN 38120

ICBC STANDARD SECURITIES INC.
520 MADISON AVENUE, 28TH FLOOR, NEW YORK, NY 10022

ICD SECURITIES INC.
7301 SW 57TH COURT, SUITE 420, MIAMI, FL 33143

ICG CAPITAL SECURITIES, LLC
200 SOUTH TRYON ST. SUITE 700, CHARLOTTE, NC 28202

ICICI SECURITIES INC.
415 MADISON AVENUE - SUITE 1427, NEW YORK, NY 10017

ICMA-RC SERVICES, LLC
777 NORTH CAPITOL STREET, NE, SUITE 600, WASHINGTON, DC 20002-4240

ICON DISTRIBUTORS, INC.
5299 DTC BOULEVARD, SUITE 1200, GREENWOOD VILLAGE, CO 80111
Mailing Address: 5299 DTC BLVD., SUITE 1200, GREENWOOD VILLAGE, CO 80111

IDB CAPITAL CORP.
511 FIFTH AVENUE, 4TH FLOOR, NEW YORK, NY 10017

IDFC CAPITAL (USA) INC.
600 3RD AVENUE, SUITE 241, NEW YORK, NY 10116

IEX SERVICES LLC
7 WORLD TRADE CTR, 30TH FLOOR, NEW YORK, NY 10007

IFM (US) SECURITIES, LLC
114 WEST 47TH STREET, 26TH FLOOR, NEW YORK, NY 10036

IFS SECURITIES
3414 PEACHTREE RD NE, SUITE 1020, ATLANTA, GA 30326-1184

IIFL CAPITAL INC.
1114 AVENUE OF THE AMERICAS, 34TH FLOOR, NEW YORK, NY 10036

IIP SECURITIES LLC
39 BROADWAY, SUITE 3300, NEW YORK, NY 10006-3019

ILG SECURITIES CORPORATION
11001 LAKELINE BLVD., CSC, SUITE 300, BUILDING II, AUSTIN, TX 78717-5967
Mailing Address: P O BOX 149339, AUSTIN, TX 78714-9339

ILLUSTRO TRADING, LLC
20 EXCHANGE PLACE, SUITE 4101, NEW YORK, NY 10005

IMC FINANCIAL MARKETS
233 SOUTH WACKER DRIVE, #4300, CHICAGO, IL 60606

IMPERIAL CAPITAL, LLC
2000 AVENUE OF THE STARS, SUITE 900-S, LOS ANGELES, CA 90067

IMS HEALTH CAPITAL, INC.
4225 EXECUTIVE SQUARE, SUITE 1180, LA JOLLA, CA 92037

IMS SECURITIES, INC.
10205 WESTHEIMER, SUITE 500, HOUSTON, TX 77042

IMST DISTRIBUTORS, LLC
THREE CANAL PLAZA, THIRD FLOOR, PORTLAND, ME 04101
Mailing Address: THREE CANAL PLAZA, SUITE 100, PORTLAND, ME 04101

INCAPITAL INSURANCE SERVICES, LLC
200 S. WACKER DRIVE, SUITE 3700, CHICAGO, IL 60606

INCAPITAL LLC
200 SOUTH WACKER DRIVE, SUITE 3700, CHICAGO, IL 60606

INDEPENDENCE CAPITAL CO., INC.
5579 PEARL ROAD, SUITE 100, PARMA, OH 44129

INDEPENDENT BROKERS LLC
55 BROAD STREET, NEW YORK, NY 10004

INDEPENDENT CLIENT ADVISORS LLC
461 FIFTH AVENUE, 17TH FLOOR, NEW YORK, NY 10017

INDEPENDENT FINANCIAL GROUP, LLC
12671 HIGH BLUFF DRIVE, SUITE 200, SAN DIEGO, CA 92130

INDEPENDENT INVESTMENT BANKERS, CORP.
6500 RIVER PLACE BLVD, BUILDING 1, SUITE 200A, AUSTIN, TX 78730
Mailing Address: 2900 NORTH QUINLAN PARK RD., SUITE# 240-235, AUSTIN, TX 78732

INDIAN HARBOR, LLC
ONE RIVER ROAD, COS COB, CT 06807

INDIANA MERCHANT BANKING AND BROKERAGE CO., INC.
55 MONUMENT CIRCLE, SUITE 715, INDIANAPOLIS, IN 46204

INDIANA SECURITIES, LLC
1705 N MERIDIAN STREET, INDIANAPOLIS, IN 46202
Mailing Address: 1705 N MERIDIAN STREET, INDIANAPOLIS, IN 46202

INDUSTRIAL AND COMMERCIAL BANK OF CHINA FINANCIAL SERVICES LLC
1633 BROADWAY, 28TH FLOOR, NEW YORK, NY 10019

INEO CAPITAL, LLC
2127 BRICKELL AVENUE, SUITE 1802, MIAMI, FL 33129

INFINEX INVESTMENTS, INC.
538 PRESTON AVENUE, MERIDEN, CT 06450-4858

INFINITY FINANCIAL SERVICES
1624 FRANKLIN STREET, SUITE 818, OAKLAND, CA 94612

ING FINANCIAL MARKETS LLC
1325 AVENUE OF THE AMERICAS, NEW YORK, NY 10019

INGALLS & SNYDER, LLC
1325 AVENUE OF THE AMERICAS, 18TH FLOOR, NEW YORK, NY 10019-6066

INLAND SECURITIES CORPORATION
2901 BUTTERFIELD ROAD, OAK BROOK, IL 60523

INLET SECURITIES, LLC
233 NORTH CAUSEWAY SUITE B, NEW SMYRNA BEACH, FL 32169

INNER CIRCLE SPORTS LLC
441 LEXINGTON AVENUE, NEW YORK, NY 10017

INNOVA SECURITIES, INC.
3703 WOODSMAN COURT, SUITLAND, MD 20746-1376

INNOVATION ADVISORS LLC
ONE PENN PLAZA, 36TH FLOOR, NEW YORK CITY, NY 10119

INNOVATION CAPITAL, LLC
222 NORTH SEPULVEDA BOULEVARD, SUITE 1300, EL SEGUNDO, CA 90245

INNOVATION PARTNERS LLC
5950 FAIRVIEW ROAD, SUITE 806, CHARLOTTE, NC 28210

INSIGHT SECURITIES, INC.
600 CENTRAL AVE, SUITE 265, HIGHLAND PARK, IL 60035

INSTINET, LLC
1095 AVENUE OF THE AMERICAS, NEW YORK, NY 10036

INSTITUTIONAL CASH DISTRIBUTORS, LLC
580 CALIFORNIA STREET, SUITE 1335, SAN FRANCISCO, CA 94104

INSTITUTIONAL SECURITIES CORPORATION
3500 OAK LAWN AVE, SUITE 400, DALLAS, TX 75219

INSTREAM PARTNERS LLC
545 MIDDLEFIELD RD, SUITE 150, MENLO PARK, CA 94025

INTEGRAL FINANCIAL LLC
1072 SOUTH DE ANZA BLVD. SUITE # A 205, SAN JOSE, CA 95129
Mailing Address: 1072 SOUTH DE ANZA BLVD. SUITE # A 206, SAN JOSE, CA 95129

INTEGRATED FINANCIAL PLANNING SERVICES
KARLSTRASSE 20, HEIDELBERG, 69117 GERMANY
Mailing Address: KARLSTRASSE 20, HEIDELBERG 69117, 69117 GERMANY

INTEGRATED TRADING AND INVESTMENTS, INC.
209 21ST ST., HUNTINGTON BEACH, CA 92648
Mailing Address: 209 21ST ST, HUNTINGTON BEACH, CA 92648

INTEGRIS SECURITIES, LLC
2720 COUNCIL TREE AVE., SUITE 224, FT. COLLINS, CO 80525

INTEGRITY BROKERAGE SERVICES, INC.
1945 STEWART STREET, OCEANSIDE, CA 92054

INTEGRITY FUNDS DISTRIBUTOR, LLC
1 NORTH MAIN STREET, MINOT, ND 58703-3189
Mailing Address: PO BOX 500, MINOT, ND 58702-0500

INTEGRITY INVESTMENTS, INC.
221 PENSACOLA ROAD, VENICE, FL 34285

INTELLIGENT EDGE SECURITIES, LLC
274 MADISON AVENUE, 10TH FLOOR, SUITE 1001, NEW YORK, NY 10016

INTELLIVEST SECURITIES, INC.
1540 CHASE COURT, RIVERDALE, GA 30296-2610

INTERACTIVE BROKERS CORP.
8 GREENWICH OFFICE PARK, GREENWICH, CT 06831

INTERACTIVE BROKERS LLC
ONE PICKWICK PLAZA-2ND FL., GREENWICH, CT 06830

INTERCAM SECURITIES, INC.
1221 BRICKELL AVENUE, SUITE 1070, MIAMI, FL 33131

INTERCAROLINA FINANCIAL SERVICES, INC.
3300 BATTLEGROUND AVENUE SUITE 400, GREENSBORO, NC 27410-2447

INTERCOASTAL CAPITAL MARKETS, INC.
5550 GLADES ROAD, SUITE 308, BOCA RATON, FL 33431-7277

INTERCONTINENTAL ASSET MANAGEMENT GROUP, LTD.
300 CONVENT STREET - SUITE 1350, SAN ANTONIO, TX 78205

INTERNATIONAL ASSETS ADVISORY, LLC
390 NORTH ORANGE AVENUE, STE 750, ORLANDO, FL 32801
Mailing Address: 390 NORTH ORANGE AVENUE, SUITE 750, ORLANDO, FL 32801

INTERNATIONAL CORRESPONDENT TRADING, INC.
ONE UNIVERSITY PLAZA - SUITE 301, ONE UNFERSITY PLAZA DRIVE, HACKENSACK, NJ 07601
Mailing Address: ONE UNIVERSITY PLAZA- SUITE 301, HACKENSACK, NJ 07601

INTERNATIONAL EQUITY SERVICES, INC.
120 BLOOMINGDALE ROAD SUITE 3400, WHITE PLAINS, NY 10605

INTERNATIONAL KBR FINANCE LLC
712 FIFTH AVENUE, 28TH FLOOR, NEW YORK, NY 10019

INTERNATIONAL MONEY MANAGEMENT GROUP, INC.
110 CHANNEL MARKER WAY SUITE #101, GRASONVILLE, MD 21638

INTERNATIONAL RESEARCH SECURITIES, INC.
2301 CEDAR SPRINGS - STE. 150, DALLAS, TX 75201-7801

INTERNATIONAL STRATEGY & INVESTMENT GROUP LLC
666 FIFTH AVENUE, 11TH FLOOR, NEW YORK, NY 10103

INTERPACIFIC INVESTORS SERVICES, INC.
119 CEDAR ST, SEATTLE, WA 98121

INTERTRADING SECURITIES
1395 BRICKELL AVENUE, SUITE 960, MIAMI, FL 33131

INTERVEST INTERNATIONAL EQUITIES CORPORATION
1980 DOMINION WAY - SUITE 202, COLORADO SPRINGS, CO 80918

INTL FCSTONE PARTNERS L.P.
10 EXCHANGE PLACE - SUITE 1005, JERSEY CITY, NJ 07302
Mailing Address: 10 EXCHANGE PLACE, JERSEY CITY, NJ 07302

INTL FCSTONE SECURITIES INC.
329 PARK AVENUE NORTH, SUITE 350, WINTER PARK, FL 32789
Mailing Address: 329 PARK AVENUE NORTH, SUITE 350, WINTER PARK, FL 32789

INTREPID INVESTMENT BANKERS LLC
11755 WILSHIRE BLVD., SUITE 2200, LOS ANGELES, CA 90025

INVEMED ASSOCIATES LLC
375 PARK AVENUE, SUITE 2205, NEW YORK, NY 10152-0189

INVERNESS SECURITIES, LLC
2000 AUBURN DRIVE, SUITE 440, BEACHWOOD, OH 44122

INVESCO CAPITAL MARKETS, INC.
11 GREENWAY PLAZA, SUITE 1000, HOUSTON, TX 77046

INVESCO DISTRIBUTORS, INC.
11 GREENWAY PLAZA, SUITE 1000, HOUSTON, TX 77046-1173

INVEST FINANCIAL CORPORATION
12750 CITRUS PARK LANE, SUITE 300, TAMPA, FL 33625
Mailing Address: 12750 CITRUS PARK LANE, SUITE 300, TAMPA, FL 33625

INVESTACORP, INC.
4400 BISCAYNE BLVD, 11TH FLOOR, MIAMI, FL 33137

INVESTEC SECURITIES (US) LLC
1270 AVENUE OF THE AMERICAS, 29TH FLOOR, NEW YORK, NY 10020

INVESTMENT ARCHITECTS, INC.
34 PETALUMA BLVD NORTH, PETALUMA, CA 94952-3079

INVESTMENT BANK SERVICES, INC.
6200 DUTCHMAN'S LANE-STE 305, LOUISVILLE, KY 40205

INVESTMENT CENTERS OF AMERICA, INC.
5555 GRANDE MARKET DRIVE, APPLETON, WI 54913-8403
Mailing Address: P.O. BOX 5097, APPLETON, WI 54912-5097

INVESTMENT DISTRIBUTORS, INC.
2801 HIGHWAY 280 SOUTH, BIRMINGHAM, AL 35223

INVESTMENT NETWORK, INC.
484 S. MILLER RD., SUITE 101, FAIRLAWN, OH 44333-4176

INVESTMENT PLACEMENT GROUP
350 10TH AVENUE, SUITE 1150, SAN DIEGO, CA 92101
Mailing Address: 350 10TH AVENUE, SUITE 1150, SAN DIEGO, CA 92101

INVESTMENT PLANNERS, INC.
226 W. ELDORADO STREET, DECATUR, IL 62522
Mailing Address: P.O. BOX 170, DECATUR, IL 62525-0170

INVESTMENT PROFESSIONALS, INC.
16414 SAN PEDRO AVE STE. 150, SAN ANTONIO, TX 78232-2245

INVESTMENT SECURITY CORPORATION
24009 VENTURA BLVD., SUITE 101, CALABASAS, CA 91302

INVESTMENT VISA CONSULTANTS, LLC
5139 GEARY BLVD., SAN FRANCISCO, CA 94118

INVESTMENTS BY PLANNERS, INC.
2500 N. MILITARY TRAIL, SUITE 201, BOCA RATON, FL 33431
Mailing Address: P.O. BOX 812259, BOCA RATON, FL 33481

INVESTMENTS FOR YOU, INC.
1040 N. MAPLE STREET, MARYSVILLE, OH 43040

INVESTORS BROKERAGE OF TEXAS, LTD.
225 S. 5TH ST., WACO, TX 76701
Mailing Address: P.O. BOX 2683, WACO, TX 76702

INVESTORS CAPITAL CORP.
6 KIMBALL LANE, LYNNFIELD, MA 01940-2320

INVESTORS PLANNING SERVICES, CORP.
641 6TH AVE. WEST, EAST NORTHPORT, NY 11731
Mailing Address: 641 6TH AVE. WEST, EAST NORTHPORT, NY 11731

INVESTORS PROPERTIES, INC.
3724 THOMAS POINT RD., ANNAPOLIS, MD 21403
Mailing Address: PO BOX 4220, ANNAPOLIS, MD 21403

INVESTSHARES
101 WEST BIG BEAVER ROAD, SUITE 1400, TROY, MI 48084
Mailing Address: P.O. BOX 99457, TROY, MI 48099-9457

INVEX, INC.
601 BRICKELL KEY DRIVE, SUITE 400, MIAMI, FL 33131

ION PARTNERS LLC
521 FIFTH AVENUE, (27TH FLOOR), NEW YORK, NY 10175

IRC SECURITIES LLC
420 LEXINGTON AVENUE, SUITE 300, NEW YORK, NY 10170

IROQUOIS CAPITAL ADVISORS, LLC
401 COMMERCE STREET, SUITE 740, NASHVILLE, TN 37219

ISAAK BOND INVESTMENTS, INC.
3900 S WADSWORTH BLVD, STE 590, LAKEWOOD, CO 80235-2224

ISRAEL A. ENGLANDER & CO., LLC
666 FIFTH AVENUE, 14TH FLOOR, NEW YORK, NY 10103

ITAU BBA USA SECURITIES, INC.
767 FIFTH AVE 50TH FLOOR, NEW YORK, NY 10153

ITAU INTERNATIONAL SECURITIES INC.
200 S.BISCAYNE BLVD., SUITE 2200, MIAMI, FL 33131

ITB SECURITIES, LLC
240 W. 37TH STREET, SUITE 310, NEW YORK, NY 10018

ITG DERIVATIVES LLC.
601 S. LASALLE STREET, SUITE 300, CHICAGO, IL 60605
Mailing Address: 601 S. LASALLE STREET, SUITE 300, CHICAGO, IL 60605

ITG INC.
ONE LIBERTY PLAZA, 165 BROADWAY, 4TH FL., NEW YORK, NY 10006

IVA FUNDS DISTRIBUTORS, LLC
THREE CANAL PLAZA, 3RD FLOOR, PORTLAND, ME 04101
Mailing Address: THREE CANAL PLAZA, SUITE 100, PORTLAND, ME 04101

IVP CAPITAL, LLC
337 NOYAC PATH, WATER MILL, NY 11976

IVY FUNDS DISTRIBUTOR, INC.
6300 LAMAR AVENUE, OVERLAND PARK, KS 66202-4200
Mailing Address: P.O. BOX 29217, SHAWNEE MISSION, KS 66201-9217

IVY SECURITIES, INC.
320 NORTHERN BLVD, SUITE 21, GREAT NECK, NY 11021

Last updated: 5/5/15