A crowdfunding intermediary must register with the Securities and Exchange Commission (SEC) as a broker or as a funding portal and become a member of a national securities association (FINRA). The following crowdfunding intermediaries are registered with the SEC as funding portals and are funding portal members of FINRA.Learn more about funding portals.For broker-dealer firms, view the Broker
Q ADVISORS LLC999 18TH STREET, SUITE 2015, DENVER, CO 80202QATALYST PARTNERS LP3 EMBARCADERO CENTER, SUITE 1500, SAN FRANCISCO, CA 94111QUADRIGA SECURITIES, LLC44 COOK STREET, SUITE 255, DENVER, CO 80206QUANTITATIVE BROKERS, LLC285 MADISON AVENUE, SUITE 1700, NEW YORK, NY 10017QUANTLAB BROKERAGE, LLC3 GREENWAY PLAZA, SUITE 200, HOUSTON, TX 77046QUANTRIVER FINANCIAL, LLC6430 PLANTATION PARK COURT
YELLOW CARDINAL CORPORATE FINANCE, LLC9120 UNION CENTRE BLVD, SUITE 200, WEST CHESTER, OH 45069YIELDSTREET MARKETS LLC300 PARK AVENUE, 15TH FLOOR, NEW YORK, NY 10022YORK SECURITIES, INC.160 BROADWAY, NEW YORK, NY 10038YORK STOCKBROKERS, INC.477 MADISON AVENUE, SUITE 643, NEW YORK, NY 10022YORKVILLE SECURITIES, LLC1012 SPRINGFIELD AVE, MOUNTAINSIDE, NJ 07092YOSEMITE EXECUTION PARTNERS INC.409 READ
On October 23, 2023, FINRA announced the Regional Committee election. Firms in Districts with contested elections (Districts 2, 3, 4, 6, 7, 8, 9 and 10) will receive ballots via email from [email protected] to vote in this election (hard copy ballots will also be mailed to these firms). Voting concludes on November 22, 2023, and the newly elected Regional Committee members will take
The Regional committees advise FINRA on industry trends of regulatory concern, provide input on the impact of FINRA’s regulatory programs and communicate high-level information regarding meeting discussions to their constituents. Additionally, committee members serve as panelists in FINRA disciplinary proceedings. The committees are organized into the following regions: West (Districts 1, 2 and 3); Midwest (Districts 4 and 8); South (Districts 5, 6 and 7); North (Districts 9 and 11); and New York (District 10).
On October 23, 2023, FINRA announced the Small Firm Advisory Committee (SFAC) election for the Midwest and South Regions. Small firms in these regions will receive ballots via email from [email protected] to vote in this election (hard copy ballots will also be mailed to these firms). Voting concludes on November 22, 2023, and the newly elected SFAC members will take office in January
Executive Summary
FINRA recently held annual elections to fill vacancies on the Small Firm Advisory Committee (SFAC) and the Regional Committees.1 Additionally, at its December meeting, the FINRA Board of Governors (FINRA Board) also appointed several individuals to fill additional vacancies on the SFAC and the National Adjudicatory Council (NAC). This Notice lists the individuals recently
&PARTNERS40 BURTON HILLS BLVD., SUITE 350, NASHVILLE, TN 372151031 SECURITIES INC.25300 WEST 13 MILE RD, FRANKLIN, MI 4802516 POINTS LLC10101 COND ROYAL PALM, VEGA ALTA, PR 006921851 SECURITIES, INCONE AMERICAN ROW, HARTFORD, CT 061021964 GLOBAL71 MURRAY STREET, NO. 8, NEW YORK, NY 100071ST DISCOUNT BROKERAGE, INC.8927 HYPOLUXO ROAD, SUITE A5, LAKE WORTH, FL 334672021 CAPITAL20 S CLARK
Executive Summary
FINRA recently held annual elections to fill vacancies on its Regional Committees, Small Firm Advisory Committee (SFAC) and the National Adjudicatory Council (NAC). Additionally, at its December meeting, the FINRA Board of Governors (FINRA Board) also selected individuals to fill several appointed seats on the SFAC and NAC. This Notice lists the individuals recently elected and
ZANBATO SECURITIES LLC711 / 715 N. SHORELINE BLVD., MOUNTAIN VIEW, CA 94043ZELMAN PARTNERS, LLC27101 EAST OVIATT ROAD, SUITE 14, BAY VILLAGE, OH 44140ZENITH SECURITIES LLC1061 E INDIANTOWN ROAD, SUITE 318, JUPITER, FL 33477ZEUS FINANCIAL, LLC4800 T-REX AVENUE, SUITE 100, BOCA RATON, FL 33431ZINK DISTRIBUTION SOLUTIONS2937 SW 27TH AVENUE, SUITE 302/303, COCONUT GROVE, FL 33133ZINVEST FINANCIAL
