Skip to main content

Broker Dealer Firms We Regulate - X

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

XIDAR SECURITIES LLC
353 NORTH CLARK ST, SUITE 1600, CHICAGO, IL 60654

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

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
1950 UNIVERSITY CIRCLE, SUITE 200, PALO ALTO, CA 94303

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

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, SUITE 3602, 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
190 MIDDLE STREET, SUITE 301, 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