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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 228, HAUPPAUGE, NY 11788

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

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

KAPITALL GENERATION, LLC
301 CONGRESS AVE., SUITE 2200, AUSTIN, TX 78701

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
1301 AVENUE OF THE AMERICAS, 16TH FLOOR, NEW YORK, NY 10019

Broker Dealer Firms We Regulate - I

I-BANKERS SECURITIES, INC.
1200 N FEDERAL HWY, SUITE 215, BOCA RATON, FL 33432

I5EQUITY
1700 MONTGOMERY STREET, SUITE 108, SAN FRANCISCO, CA 94111
Mailing Address: 1700 MONTGOMERY ST, SUITE 108, SAN FRANCISCO, CA 94111

IA GLOBAL CAPITAL LLC
101 PARK AVENUE, 38TH FLOOR, NEW YORK CITY, NY 10178
Mailing Address: 244 MADISON AVENUE, #385, NEW YORK CITY, NY 10016

IAFF-FC INVESTMENTS LLC
1750 NEW YORK AVENUE NW, SUITE 300, WASHINGTON, DC 20006

IASG ALTERNATIVES, LLC
141 WEST JACKSON BLVD, SUITE 1940, CHICAGO, IL 60604

Broker Dealer Firms We Regulate - H

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

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

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

HAITONG INTERNATIONAL SECURITIES (USA) INC.
130 WEST 42ND STREET, FL 18, NEW YORK, NY 10036

HALEY SECURITIES, INC.
8712 WEST DODGE ROAD STE. 402, OMAHA, NE 68114

HALIFAX AMERICA LLC
5900 SEPULVEDA BLVD #304, SHERMAN OAKS, CA 91411

Broker Dealer Firms We Regulate - G

G. A. REPPLE & COMPANY
101 NORMANDY RD, CASSELBERRY, FL 32707

G.DISTRIBUTORS, LLC
ONE CORPORATE CENTER, RYE, NY 10580-1435

G.RESEARCH, LLC
ONE CORPORATE CENTER, RYE, NY 10580-1435

G.W. SHERWOLD ASSOCIATES, INC
22994 EL TORO ROAD, LAKE FOREST, CA 92630

G1 EXECUTION SERVICES, LLC
175 W. JACKSON BLVD., SUITE 1700, CHICAGO, IL 60604

GA CAPITAL MARKETS BD, LLC
2646 NW CORNELL ROAD, PORTLAND, OR 97210

GA PCCV BD, LLC
239 JASMINE ST, TAVERNIER, FL 33070

Broker Dealer Firms We Regulate - F

FAIRMOUNT PARTNERS LP
555 EAST LANCASTER AVENUE, SUITE 640, RADNOR, PA 19087

FAIRPORT CAPITAL, INC.
9141 E. HIDDEN SPUR TRAIL, SCOTTSDALE, AZ 85255

FAIRVIEW SECURITIES, INC.
154 LONG LOTS ROAD, WESTPORT, CT 06880

FALCON SQUARE CAPITAL, LLC
3701 LAKE BOONE TRAIL, SUITE 100, RALEIGH, NC 27607

FALLBROOK CAPITAL SECURITIES CORP.
26610 AGOURA ROAD, SUITE 120, CALABASAS, CA 91302

FALLS BRIDGE SECURITIES, LLC
32 N BRYN MAWR AVE, SUITE 200, BRYN MAWR, PA 19010

FAR HILLS GROUP, LLC.
747 3RD AVENUE, 30TH FLOOR, NEW YORK, NY 10017

Broker Dealer Firms We Regulate - E

E&J SECURITIES CORP.
C/O ACCOUNTING & COMPLIANCE INTERNATIONAL, 199 WATER STREET, 9TH FL, NEW YORK, NY 10038

E. E. POWELL & COMPANY INC.
200 NORTHPOINTE CIRCLE, SUITE 304, SEVEN FIELDS, PA 16046

E.F. HUTTON & CO. LLC
745 FIFTH AVENUE, 34TH FLOOR & PH, NEW YORK, NY 10151

EAGLE POINT SECURITIES LLC
600 STEAMBOAT ROAD, SUITE 202, GREENWICH, CT 06830

EARLYBIRDCAPITAL, INC.
ONE HUNTINGTON QUADRANGLE, SUITE 1C15, MELVILLE, NY 11747
Mailing Address: 1 HUNTINGTON QUADRANGLE, 1C15, MELVILLE, NY 11747

Broker Dealer Firms We Regulate - D

D. B. MCKENNA & CO., INC.
207 WEST MAIN STREET, BENNINGTON, VT 05201-2108

D. BORAL CAPITAL
590 MADISON AVE, 39TH FLOOR, NEW YORK, NY 10022

D.A. DAVIDSON & CO.
8 THIRD STREET NORTH, GREAT FALLS, MT 59401-3104
Mailing Address: P.O. BOX 5015, GREAT FALLS, MT 59403-5015

D.E. SHAW SECURITIES, L.L.C.
TWO MANHATTAN WEST, 375 NINTH AVENUE, 52ND FLOOR, NEW YORK, NY 10001

D.H. HILL SECURITIES, LLLP
1543 GREEN OAK PLACE, SUITE 100, KINGWOOD, TX 77339

D.M. KELLY & COMPANY
3900 INGERSOLL AVENUE, SUITE 300, DES MOINES, IA 50312