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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
3200 HILLVIEW RD, AUSTIN, TX 78703

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.
15701 S TAMIAMI TRAIL, SUITE 300, FORT MYERS, FL 33908

OASIS PRO MARKETS LLC
1266 EAST MAIN STREET, SUITE 603, STAMFORD, CT 06902

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
89 N MAIN STREET, ATTLEBORO, MA 02703

N.I.S. FINANCIAL SERVICES, INC.
333 W 11TH STREET, SUITE 200, KANSAS CITY, MO 64105
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
PROVIDENCE HALL AT OLD PARKLAND EAST, 4030 MAPLE AVENUE, SUITE 460, DALLAS, TX 75219

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.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

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
5354 EAST 2ND ST, SUITE 201, LONG BEACH, CA 90803

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

KAPITALL GENERATION, LLC
1415 BUNKER DRIVE, DAVENPORT, FL 33896

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. STREICHER & CO. L.L.C.
200 VESEY STREET, 24TH FLOOR, NEW YORK, NY 10281

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

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
55 EAST 52ND STREET, 17TH FLOOR, NEW YORK, NY 10055

GA PCCV BD, LLC
PARK AVE PLAZA, 55 EAST 52ND ST., 17TH FL, NEW YORK, NY 10055