Skip to main content

Broker Dealer Firms We Regulate - S

S. GOLDMAN ADVISORS, LLC
599 LEXINGTON AVENUE, 35TH FLOOR, NEW YORK, NY 10022

S.G. LONG & COMPANY
283 WEST FRONT SUITE 302, SUITE 302, MISSOULA, MT 59802-4328
Mailing Address: 283 WEST FRONT SUITE 302, MISSOULA, MT 59802-4328

S.L. REED & COMPANY
11111 SANTA MONICA BOULEVARD, SUITE 1200, LOS ANGELES, CA 90025-3346

S2K FINANCIAL LLC
5950 HAZELTINE DRIVE, SUITE 305, ORLANDO, FL 32822

SABADELL SECURITIES USA, INC.
1111 BRICKELL AVENUE, 30TH FLOOR, MIAMI, FL 33131

SABLE CAPITAL LLC
6 CARDINAL WAY, SUITE 801, ST. LOUIS, MO 63102

Broker Dealer Firms We Regulate - R

R. F. LAFFERTY & CO., INC.
40 WALL STREET, 29TH FLOOR, NEW YORK, NY 10005

R. SEELAUS & CO., LLC
26 MAIN STREET, SUITE 300, CHATHAM, NJ 07928

R.J. O'BRIEN SECURITIES, LLC
222 SOUTH RIVERSIDE PLAZA, SUITE 1200, CHICAGO, IL 60606
Mailing Address: 222 SOUTH RIVERSIDE PLAZA, SUITE 1200, CHICAGO, IL 60606

R.M. DUNCAN SECURITIES, INC.
10201 W MARKHAM ST, SUITE 219, LITTLE ROCK, AR 72205

R.M. STARK & CO., INC.
730 S FEDERAL HWY, LAKE WORTH BEACH, FL 33460-4955

Broker Dealer Firms We Regulate - Q

Q ADVISORS LLC
999 18TH STREET, SUITE 2015, DENVER, CO 80202

QATALYST PARTNERS LP
3 EMBARCADERO CENTER, SUITE 1500, SAN FRANCISCO, CA 94111

QUADRIGA SECURITIES, LLC
44 COOK STREET, SUITE 255, DENVER, CO 80206

QUANTITATIVE BROKERS, LLC
285 MADISON AVENUE, SUITE 1700, NEW YORK, NY 10017

QUANTLAB BROKERAGE, LLC
3 GREENWAY PLAZA, SUITE 200, HOUSTON, TX 77046

QUANTRIVER FINANCIAL, LLC
6430 PLANTATION PARK COURT, SUITE 310, FORT MYERS, FL 33966

QUASAR DISTRIBUTORS, LLC
THREE CANAL PLAZA, SUITE 100, PORTLAND, ME 04101

Broker Dealer Firms We Regulate - P

P & M CORPORATE FINANCE, LLC
10 SOUTH RIVERSIDE PLAZA, 9TH FLOOR, CHICAGO, IL 60606

P G BOOLE, LLC
18 NORTH MAIN STREET, SUITE 115, SHERBORN, MA 01770
Mailing Address: 30 PEDERZINI DRIVE, MEDFIELD, MA 02052

P. A. N. SECURITIES, LP
45 GLOVER AVENUE, 7TH FLOOR, NORWALK, CT 06850

P.J. ROBB VARIABLE, LLC
6075 POPLAR AVE, SUITE 400, MEMPHIS, TN 38119

P2 CORPORATE FINANCE, LLC
964 EULALIA ROAD NE, SUITE 2, ATLANTA, GA 30319

PACENOTE CAPITAL LLC
1410 EAST 3RD STREET, AUSTIN, TX 78702

Broker Dealer Firms We Regulate - O

O'TOOLE INSURANCE & SECURITIES
14-30 COLLEGE POINT BLVD, COLLEGE POINT, NY 11356

OAK HILLS SECURITIES, INC.
121 NE 50TH, OKLAHOMA CITY, OK 73105

OAK TREE SECURITIES, INC.
4049 FIRST STREET, SUITE 129, LIVERMORE, CA 94551-4949

OAKLINS DP LLC
90 PARK AVENUE, 24TH FLOOR, NEW YORK, NY 10016

OAKPOINT SOLUTIONS, LLC
100 SOUTH ASHLEY DRIVE, SUITE 1130, TAMPA, FL 33602

OAKWOOD CAPITAL SECURITIES, INC.
600 HIGHWAY 169 SOUTH, SUITE 1410, ST. LOUIS PARK, MN 55426

Broker Dealer Firms We Regulate - N

N.A. INVESTCORP LLC
280 PARK AVENUE, 39TH FLOOR, NEW YORK, NY 10017

N.B. ZOULLAS SECURITIES, INC.
ONE PENN PLAZA, SUITE 2005, 20TH FLOOR, NEW YORK, NY 10119

N.E. PRIVATE CLIENT, LTD
790 NORTH MAIN STREET, PROVIDENCE, RI 02904

N.I.S. FINANCIAL SERVICES, INC.
500 EAST 9TH ST., KANSAS CITY, MO 64106
Mailing Address: P. O. BOX 219103, KANSAS CITY, MO 64121-9103

NABSECURITIES, LLC
277 PARK AVENUE, 19TH FLOOR, NEW YORK, NY 10172

NANCY BARRON & ASSOCIATES, INC.
150 GRAND BOULEVARD, LEXINGTON, KY 40507

Broker Dealer Firms We Regulate - M

M FINANCIAL SECURITIES MARKETING, INC.
1125 NW COUCH STREET, SUITE 900, PORTLAND, OR 97209

M HOLDINGS SECURITIES, INC.
1125 N.W. COUCH STREET, SUITE 900, PORTLAND, OR 97209
Mailing Address: P.O. BOX 2207, PORTLAND, OR 97208-2207

M STEVENS SECURITIES, LLC
3753 HOWARD HUGHES PARKWAY, SUITE 200, LAS VEGAS, NV 89169

M&A SECURITIES GROUP, INC.
4151 N. MULBERRY DRIVE, SUITE 252, KANSAS CITY, MO 64116

M&CO. SECURITIES LLC
457 LURGAN ROAD, NEW HOPE, PA 18938

M&T SECURITIES, INC.
1 LIGHT STREET, BALTIMORE, MD 21202

Broker Dealer Firms We Regulate - L

L. B. FISHER & COMPANY
16924 PRESTON BEND DRIVE, DALLAS, TX 75248
Mailing Address: 16924 PRESTON BEND DRIVE, SUITE 3050, DALLAS, TX 75248

L.J. HART AND COMPANY
8000 FORSYTH BLVD, ST. LOUIS, MO 63105
Mailing Address: 8000 FORSYTH BLVD, CLHART, ST. LOUIS, MO 63105

L.M. KOHN & COMPANY
10151 CARVER RD., SUITE 100, CINCINNATI, OH 45242

L.O. THOMAS & CO. INC.
LINWOOD COMMONS-SUITE A-6, 2106 NEW ROAD, LINWOOD, NJ 08221
Mailing Address: LINWOOD COMMMONS-SUITE A-6, 2106 NEW ROAD PO BOX 293, LINWOOD, NJ 08221

Broker Dealer Firms We Regulate - K

K CAPITAL LLC
805 THIRD AVENUE, FLOOR 14, NEW YORK, NY 10022

K2 CAPITAL ASSET MANAGEMENT, LLC
150 MOTOR PARKWAY SUITE 200, HAUPPAUGE, NY 11788

KA ASSOCIATES, LLC
2121 AVENUE OF THE STARS, 9TH FLOOR, LOS ANGELES, CA 90067

KADENWOOD CAPITAL, LLC
250 PARK AVENUE 7TH FLOOR, NEW YORK, NY 10177

KAHN BROTHERS LLC
555 MADISON AVENUE, SUITE 1303, NEW YORK, NY 10022-3301

KAL CAPITAL MARKETS LLC
3738 BAYER AVENUE SUITE 103, LONG BEACH, CA 90808

KALORAMA CAPITAL, LLC
1718 22ND ST NW, WASHINGTON, DC 20008

Broker Dealer Firms We Regulate - J

J K R & COMPANY, INC.
7145 WOODLEY AVE, VAN NUYS, CA 91406

J. ALDEN ASSOCIATES, INC.
37 WEST AVE, SUITE 301, WAYNE, PA 19087
Mailing Address: 37 WEST AVE, SUITE 300, WAYNE, PA 19087

J. D. SEIBERT & COMPANY, INC.
20 WEST 9TH STREET, CINCINNATI, OH 45202-2024

J. STREICHER & CO. L.L.C.
28 LIBERTY STREET 6TH FLOOR, NEW YORK, NY 10005

J. WOOD CAPITAL ADVISORS LLC
1820 CALISTOGA ROAD, SANTA ROSA, CA 95404

J.C. FLOWERS SECURITIES CO. LLC
767 FIFTH AVENUE, 23RD FLOOR, NEW YORK, NY 10153