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Broker Dealer Firms We Regulate - #

&PARTNERS
40 BURTON HILLS BLVD., SUITE 350, NASHVILLE, TN 37215

1031 SECURITIES INC.
25300 WEST 13 MILE RD, FRANKLIN, MI 48025

16 POINTS LLC
10101 COND ROYAL PALM, VEGA ALTA, PR 00692

1851 SECURITIES, INC
ONE AMERICAN ROW, HARTFORD, CT 06102

1964 GLOBAL
71 MURRAY STREET, NO. 8, NEW YORK, NY 10007

1ST DISCOUNT BROKERAGE, INC.
8927 HYPOLUXO ROAD, SUITE A5, LAKE WORTH, FL 33467

2021 CAPITAL
20 S CLARK STREET, STE 700, CHICAGO, IL 60603

22V SECURITIES LLC
15 ROCKAWAY AVENUE, GARDEN CITY, NY 11530

Broker Dealer Firms We Regulate - Y

YELLOW CARDINAL CORPORATE FINANCE, LLC
9120 UNION CENTRE BLVD, SUITE 200, WEST CHESTER, OH 45069

YIELDSTREET MARKETS LLC
300 PARK AVENUE, 15TH FLOOR, NEW YORK, NY 10022

YORK SECURITIES, INC.
160 BROADWAY, NEW YORK, NY 10038

YORK STOCKBROKERS, INC.
477 MADISON AVENUE, SUITE 643, NEW YORK, NY 10022

YORKVILLE SECURITIES, LLC
1012 SPRINGFIELD AVE, MOUNTAINSIDE, NJ 07092

YOSEMITE EXECUTION PARTNERS INC.
409 READ DR., LAFAYETTE, CA 94549

YOUNG & PARTNERS LLC
535 FIFTH AVENUE, 4TH FLOOR, NEW YORK, NY 10017

Broker Dealer Firms We Regulate - X

X-CHANGE FINANCIAL ACCESS, LLC
222 W ADAMS STREET SUITE 450, CHICAGO, IL 60606

XLII FINANCIAL SERVICES LLC
10023 APPLE CREEK DRIVE, DALLAS, TX 75243

XML SECURITIES
6901 ROCKLEDGE DRIVE, SUITE 730, BETHESDA, MD 20817

XMS CAPITAL PARTNERS, LLC
321 N CLARK STREET, SUITE 2440, CHICAGO, IL 60654

XNERGY FINANCIAL LLC
1801 CENTURY PARK EAST, 25TH FLOOR, LOS ANGELES, CA 90067

XP INVESTMENTS US, LLC
55 WEST 46TH STREET, 30TH FLOOR, NEW YORK, NY 10036
Mailing Address: 701 BRICKELL AVENUE, #2120, MIAMI, FL 33131

Broker Dealer Firms We Regulate - W

W CAMPION CAPITAL LLC
3401 N MIAMI AVENUE, SUITE 230, MIAMI, FL 33127

W G SECURITIES, LLC
1764 LITCHFIELD TURNPIKE, SUITE 250, WOODBRIDGE, CT 06525

W&S BROKERAGE SERVICES, INC.
400 BROADWAY, CINCINNATI, OH 45202
Mailing Address: 400 BROADWAY, MS-03, CINCINNATI, OH 45202

W.G. NIELSEN & CO.
3200 CHERRY CREEK DRIVE SOUTH, SUITE 470, DENVER, CO 80209

WACHTEL & CO., INC.
1701  K  STREET, NW     SUITE 615, WASHINGTON, DC 20006

WALL STREET ACCESS
100 WALL STREET, SUITE 804, NEW YORK, NY 10005

Broker Dealer Firms We Regulate - V

VALDES & MORENO, INC.
819 MAIN STREET, ROOM 304, PARKVILLE, MO 64152

VALIC FINANCIAL ADVISORS, INC.
2919 ALLEN PARKWAY, L3-20, HOUSTON, TX 77019-2158

VALIDATE CAPITAL MARKETS, LLC
505 PARK AVENUE, 14TH FLOOR, NEW YORK, NY 10022

VALKYRIE EQUITIES CORPORATION
14455 WEBB CHAPEL ROAD, SUITE 201, DALLAS, TX 75234

VALLEY FINANCIAL MANAGEMENT, INC.
350 MADISON AVE., 4TH FLOOR, COMPLIANCE DEPARTMENT, NEW YORK, NY 10017

VALLEY NATIONAL INVESTMENTS, INC.
1655 VALLEY CENTER PARKWAY, SUITE 100, BETHLEHEM, PA 18017

Broker Dealer Firms We Regulate - U

U. S. BOSTON CAPITAL CORPORATION
LINCOLN NORTH, LINCOLN, MA 01773
Mailing Address: 55 OLD BEDFORD ROAD, SUITE 202, LINCOLN, MA 01773

U.S. BANCORP ADVISORS, LLC
800 N BRAND BLVD., 16TH FLOOR, GLENDALE, CA 91203

U.S. BANCORP INVESTMENTS, INC.
60 LIVINGSTON AVENUE, EP-MN-N2WC, SAINT PAUL, MN 55107
Mailing Address: 60 LIVINGSTON AVENUE, EP-MN-N2WC, SAINT PAUL, MN 55107

U.S. BROKERAGE, INC.
17 E KOSSUTH ST, COLUMBUS, OH 43206

Broker Dealer Firms We Regulate - T

T CAPITAL FUNDING, LLC
600 NORTHLAKE BOULEVARD, SUITE 175, ALTAMONTE SPRINGS, FL 32701

T&G PRIVATE CAPITAL LLC
44 WALL STREET, SUITE 602, NEW YORK, NY 10005

T. E. LAIRD SECURITIES, LLC
79 OTIS AVENUE, ST. PAUL, MN 55104

T. ROWE PRICE INVESTMENT SERVICES, INC.
1307 POINT STREET, BALTIMORE, MD 21231

T.R. WINSTON & COMPANY, LLC
376 MAIN STREET, BEDMINSTER, NJ 07921-2613
Mailing Address: P.O. BOX 74, 376 MAIN STREET, BEDMINSTER, NJ 07921

T3 TRADING GROUP, LLC
88 PINE STREET, 23RD FLOOR, NEW YORK, NY 10005