FINRA Rules

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Broker Dealer Firms We Regulate - A

A. P. SECURITIES, INC.
15 WATERVIEW DR, CENTERPORT, NY 11721
Mailing Address: P. O. BOX 434, CENTERPORT, NY 11721

A.BRIDGE REALVEST SECURITIES CORPORATION
244 CAMBRIDGE OAKS, PARK RIDGE, NJ 07656

A.G. QUINTAL INVESTMENT COMPANY INC.
2177 ACUSHNET AVE., NEW BEDFORD, MA 02745-6316

A.G.P. / ALLIANCE GLOBAL PARTNERS
88 POST ROAD WEST, 2ND FLOOR, WESTPORT, CT 06880

A5 SECURITIES LLC
375 WEST END AVE UNIT 10D, NEW YORK, NY 10024

AAG CAPITAL, INC
2211 ASHLEY OAKS CIRCLE, WESLEY CHAPEL, FL 33544

Broker Dealer Firms We Regulate - B

B&D CAPITAL PARTNERS, LLC
211 EAST BLVD., CHARLOTTE, NC 28203-4719

B. C. ZIEGLER AND COMPANY
ONE NORTH WACKER DRIVE, SUITE 2000, CHICAGO, IL 60606

B. RILEY SECURITIES, INC.
11100 SANTA MONICA BLVD, SUITE 800, LOS ANGELES, CA 90025

B. RILEY WEALTH MANAGEMENT
40 SOUTH MAIN, SUITE 1800, MEMPHIS, TN 38103

B.B. GRAHAM & COMPANY, INC.
1700 W. KATELLA AVE., ORANGE, CA 92867

BA SECURITIES, LLC
FOUR TOWER BRIDGE, 200 BARR HARBOR DRIVE, SUITE 400, W. CONSHOHOCKEN, PA 19428

Registration, Exams and CE

To ensure a fair, balanced, inclusive market where everyone can invest with confidence, we require individuals and firms who wish to conduct business with the investing public to achieve and maintain certification as members of FINRA. FINRA-certified brokers have registered and undergone stringent Qualification Exams and are required to complete ongoing Continuing Education (CE) programs each year to ensure industry standards and practices are maintained.
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