Skip to main content

Broker-Dealer Firms We Regulate - L

# A B C D E F G H I J K L M N O P Q R S T U V W X Y Z

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

LA HONDA ADVISORS LLC
770 MENLO AVENUE, SUITE 230, MENLO PARK, CA 94025
Mailing Address: 83 MARYMONT AVE., ATHERTON, CA 94027

LADENBURG THALMANN & CO. INC.
640 5TH AVENUE, 4TH FLOOR, NEW YORK, NY 10019

LAFISE SECURITIES LLC
2340 S DIXIE HIGHWAY, MIAMI, FL 33133

LAIDLAW & COMPANY (UK) LTD.
16 BERKELEY ST., SUITE 7.09, LONDON, W1J 8DZ UNITED KINGDOM
Mailing Address: 521 5TH AVENUE, 12TH FL, NEW YORK, NY 10175

LAKE STREET CAPITAL MARKETS, LLC
920 2ND AVE S, STE 700, MINNEAPOLIS, MN 55402

LAKESHORE SECURITIES, L.P.
401 S. LASALLE #1000, CHICAGO, IL 60605
Mailing Address: 401 S. LASALLE STREET #1000, CHICAGO, IL 60605

LAMPERT CAPITAL MARKETS INC.
900 THIRD AVE, SUITE 1403, NY, NY 10022

LAMPOST CAPITAL, L.C.
1900 GLADES ROAD, SUITE 205, BOCA RATON, FL 33431
Mailing Address: 1900 GLADES RD, SUITE 205, BOCA RATON, FL 33431

LANDAAS & COMPANY
411 E. WISCONSIN AVE, MILWAUKEE, WI 53202

LANDOLT SECURITIES, INC.
900 NORTH SHORE DRIVE SUITE 279, LAKE BLUFF, IL 60044

LARIMER CAPITAL CORPORATION
1720 SOUTH BELLAIRE STREET, SUITE 1110, DENVER, CO 80222

LARRAINVIAL SECURITIES US LLC
EL BOSQUE NORTE 0177, LAS CONDES SANTIAGO, 7550100 CHILE
Mailing Address: 400 MADISON AVENUE, SUITE 5C, NEW YORK, NY 10017

LARSON FINANCIAL SECURITIES, LLC
100 N BROADWAY, SUITE 1700, SAINT LOUIS, MO 63102

LAS OLAS CAPITAL PARTNERS, LLC
888 E LAS OLAS BLVD., SUITE 200, FT. LAUDERDALE, FL 33301

LASALLE INVESTMENT MANAGEMENT DISTRIBUTORS, LLC
333 WEST WACKER DRIVE, SUITE 2300, CHICAGO, IL 60606

LASALLE ST SECURITIES, L.L.C.
940 N. INDUSTRIAL DR., ELMHURST, IL 60126-1131

LATIN SECURITIES INC.
100 SE 2ND STREET, SUITE #3975, MIAMI, FL 33131

LATOUR TRADING LLC
148 LAFAYETTE, 11TH FLOOR, NEW YORK, NY 10013

LAZARD ASSET MANAGEMENT SECURITIES LLC
30 ROCKEFELLER PLAZA, 56TH FLOOR, NEW YORK, NY 10112

LAZARD FRERES & CO. LLC
30 ROCKEFELLER PLAZA, NEW YORK, NY 10020-5900

LAZEAR CAPITAL SECURITIES, LLC
401 N. FRONT STREET, SUITE 250, COLUMBUS, OH 43215

LBMZ SECURITIES, INC.
10 S RIVERSIDE PLAZA, SUITE 1600, CHICAGO, IL 60606

LCG CAPITAL ADVISORS, LLC
201 EAST KENNEDY BLVD, SUITE 1700, TAMPA, FL 33602

LCT CAPITAL, LLC
80 PASCAL LN, AUSTIN, TX 78746

LEAGUE CAPITAL MARKETS
1345 AVENUE OF THE AMERICAS, 2ND FLOOR, NEW YORK, NY 10105

LEBENTHAL FINANCIAL SERVICES, INC.
500 N. BROADWAY, SUITE 238, JERICHO, NY 11753

LEC INVESTMENT CORP.
505 20TH STREET NORTH, SUITE 1150, BIRMINGHAM, AL 35203

LEDGER CAPITAL MARKETS, LLC
75 ROCKEFELLER PLAZA, SUITE 24C, NEW YORK, NY 10104
Mailing Address: 228 PARK AVENUE S, PMB 58179, NEW YORK, NY 10003-1502

LEERINK PARTNERS LLC
53 STATE STREET, 40TH FLOOR, BOSTON, MA 02109
Mailing Address: 53 STATE STREET, 40TH FLOOR, 40TH FLOOR, BOSTON, MA 02109

LEGACY CAPITAL FUND, INC.
433 METAIRIE RD STE 405, METAIRIE, LA 70005

LEGIONNAIRE SECURITIES LLC
550 W. JACKSON BLVD., SUITE 1300, CHICAGO, IL 60661

LEIGH BALDWIN & CO., LLC
112 ALBANY STREET, CAZENOVIA, NY 13035-0660

LEMLEY, YARLING & CO.
309 WEST JOHNSON STREET, #544, MADISON, WI 53703

LENOX FINANCIAL SERVICES, INC.
322 ALANA DRIVE, NEW LENOX, IL 60451

LEO BROKERAGE, LLC
860 AIRPORT FREEWAY, SUITE 402, HURST, TX 76054

LEONIS SECURITIES, LLC
330 MADISON AVENUE, SUITE 2400, NEW YORK, NY 10017

LESKO SECURITIES INC.
400 PLAZA DR, SUITE A, VESTAL, NY 13850

LEVEL FOUR FINANCIAL, LLC
12400 COIT ROAD, SUITE 700, DALLAS, TX 75251

LEXINGTON PARK CAPITAL MARKETS, LLC
390 N ORANGE AVE, 23RD FLOOR, ORLANDO, FL 32801

LFT SECURITIES, LLC
425 WALNUT STREET, SUITE 2410, CINCINNATI, OH 45202-3931

LGA CAPITAL
6110 EXECUTIVE BOULEVARD SUITE 1050, ROCKVILLE, MD 20852

LIBERTY ASSOCIATES, INC.
501 FIFTH AVENUE, 15TH FLOOR, NEW YORK, NY 10017
Mailing Address: 501 FIFTH AVEUE, 15TH FLOOR, NEW YORK, NY 10017

LIBERTY CAPITAL INVESTMENT CORPORATION
1800 SW FIRST AVE., SUITE 150, PORTLAND, OR 97201
Mailing Address: 1800 SW FIRST AVE, SUITE 150, PORTLAND, OR 97201

LIBERTY PARTNERS FINANCIAL SERVICES, LLC
7780 BRIER CREEK PARKWAY, SUITE 325, RALEIGH, NC 27617

LIBUCKI & CO., LLC
1101 HADDON AVENUE, COLLINGSWOOD, NJ 08108
Mailing Address: 1101 HADDON AVE, COLLINGSWOOD, NJ 08108

LIEBLONG & ASSOCIATES, INC.
10809 EXECUTIVE CENTER DRIVE, SUITE 117, LITTLE ROCK, AR 72211
Mailing Address: P.O. BOX 24520, LITTLE ROCK, AR 72221

LIFEMARK SECURITIES CORP.
400 WEST METRO PARK, ROCHESTER, NY 14623

LIFESCI CAPITAL
1700 BROADWAY, 40TH FLOOR, NEW YORK, NY 10019

LIGHT HORSE SECURITIES, INC
330 7TH AVE, SUITE 902, NEW YORK, NY 10001

LIGHTHOUSE CAPITAL GROUP, LLC
1055 E. COLORADO BLVD., SUITE 310, PASADENA, CA 91106

LIGHTPATH CAPITAL, INC
1560 E. SOUTHLAKE BLVD., SUITE 100, SOUTHLAKE, TX 76092

LIGHTSPEED FINANCIAL SERVICES GROUP LLC
20 HEADQUARTERS PLAZA, NORTH TOWER, 7TH FLOOR, MORRISTOWN, NJ 07960

LIME TRADING CORP
1 PENN PLAZA, 16TH FL, NEW YORK, NY 10119
Mailing Address: 1 PENN PLAZA, 16TH FL, NEW YORK, NY 10119

LINCOLN DOUGLAS INVESTMENTS, LLC
1051 NEWARK RD, MT. VERNON, OH 43050
Mailing Address: 1051 NEWARK RD, MT. VERNON, OH 43050

LINCOLN FINANCIAL DISTRIBUTORS, INC.
130 N RADNOR-CHESTER RD, RADNOR, PA 19087

LINCOLN INTERNATIONAL LLC
110 NORTH WACKER DRIVE-51ST FLOOR, CHICAGO, IL 60606

LINCOLN INVESTMENT
601 OFFICE CENTER DRIVE, SUITE 300, FORT WASHINGTON, PA 19034
Mailing Address: 601 OFFICE CENTER DRIVE, SUITE 150-MAILROOM, FORT WASHINGTON, PA 19034

LINDEN THOMAS AND COMPANY SECURITIES, LLC
516 N. TRYON STREET, CHARLOTTE, NC 28202

LINK SECURITIES LLC
17767 N SCOTTSDALE ROAD, SUITE 300, SCOTTSDALE, AZ 85255

LINQTO CAPITAL
101 METRO DRIVE, SUITE 335, SAN JOSE, CA 95110
Mailing Address: PO BOX 2859, SUNNYVALE, CA 94087-0859

LION STREET FINANCIAL, LLC
300 COLORADO ST, SUITE 2600, AUSTIN, TX 78701

LIONTREE ADVISORS LLC
745 FIFTH AVENUE, 15TH FLOOR, NEW YORK, NY 10151

LIQUIDLY IAS, LLC
225 W 34TH STREET, 9TH FLOOR, NEW YORK, NY 10122

LIQUIDNET, INC.
200 VESEY STREET, 5TH FLOOR, NEW YORK, NY 10281

LITTLE RIVER CAPITAL, LLC
2828 OLD 280 COURT, SUITE 168, VESTAVIA HILLS, AL 35243
Mailing Address: 216 CAHABA OAKS TRAIL, INDIAN SPRINGS, AL 35124

LIVERMORE TRADING GROUP, INC.
11 WALL STREET, NEW YORK, NY 10005
Mailing Address: C/O ACCOUNTING & COMPLIANCE INTERNATIONAL, 77 WATER STREET, SUITE 1604, NEW YORK, NY 10005

LIVINGFREE SECURITIES, LLC
443 N. CLARK STREET, CHICAGO, IL 60654

LIVINGSTON SECURITIES, LLC
626 REXCORP PLAZA, SUITE 603, WEST TOWER, UNIONDALE, NY 11556

LLOYDS SECURITIES
1095 AVENUE OF THE AMERICAS, NEW YORK, NY 10036

LMV CAPITAL CORP.
1460 BROADWAY, SUITE 4024, NEW YORK, NY 10036

LOCKEBRIDGE PARTNERS, INC
100 TRADECENTER, SUITE G-700, 100, WOBURN, MA 01801

LOCKTON INVESTMENT SECURITIES, LLC
444 W. 47TH STREET, SUITE 900, KANSAS CITY, MO 64112

LOCKTON RE CAPITAL MARKETS, LLC
261 FIFTH AVENUE, 10TH FLOOR, NEW YORK, NY 10010

LOCKWOOD SECURITIES LLC
1140 AVENUE OF THE AMERICAS, 9TH FLOOR, NEW YORK, NY 10036

LOCORR DISTRIBUTORS, LLC
687 EXCELSIOR BLVD, EXCELSIOR, MN 55331

LOCUST WALK SECURITIES, LLC
LAFAYETTE CITY CENTER, 5TH FLOOR, 2 AVE DE LAFAYETTE, BOSTON, MA 02111
Mailing Address: PO BOX 171028, BOSTON, MA 02117

LODAS SECURITIES, LLC
7133 W 95TH ST, SUITE 205, OVERLAND PARK, KS 66212

LOMBARD SECURITIES INCORPORATED
1820 LANCASTER STREET, SECOND FLOOR, BALTIMORE, MD 21231
Mailing Address: 1820 LANCASTER STREET, BALTIMORE, MD 21231

LONG BRIDGE SECURITIES LLC
221 RIVER STREET, 9TH FLOOR, HOBOKEN, NJ 07030

LONG ISLAND FINANCIAL GROUP, INC.
2 WOODCREST DRIVE, ROSLYN, NY 11576
Mailing Address: 2 WOODCREST DR, ROSLYN, NY 11576

LONG NECK SERVICES LLC
1025 BOSTON POST ROAD, SUITE 200, DARIEN, CT 06820

LONGSHIP ALTERNATIVE ASSET MANAGEMENT
43 OYSTER BAY ROAD, LOCUST VALLEY, NY 11560

LOOMIS SAYLES DISTRIBUTORS, L.P.
ONE FINANCIAL CENTER, BOSTON, MA 02111
Mailing Address: ONE FINANCIAL CENTER, BOSTON, MA 02111-2620

LOOP CAPITAL MARKETS LLC
425 S. FINANCIAL PLACE, STE 2700, CHICAGO, IL 60605

LORD ABBETT DISTRIBUTOR LLC
30 HUDSON STREET, JERSEY CITY, NJ 07302-4804

LPL ENTERPRISE, LLC
1055 LPL WAY, FORT MILL, SC 29715

LPL FINANCIAL LLC
1055 LPL WAY, FORT MILL, SC 29715

LPS CAPITAL LLC
150 EAST 52ND STREET, SUITE 5001, NEW YORK, NY 10022

LRB PUBLIC FINANCE ADVISORS, INC.
41 N. RIO GRANDE, SUITE 101, SALT LAKE CITY, UT 84101

LS SECURITIES, LLC
4 CAMPUS DRIVE, PARSIPPANY, NJ 07054

LSH PARTNERS SECURITIES LLC
444 MADISON AVENUE, SUITE 2801, NEW YORK, NY 10022
Mailing Address: 444 MADISON AVENUE, SUITE 2801, NEW YORK, NY 10022

LUCID CAPITAL MARKETS, LLC
NEW YORK STOCK EXCHANGE, 11 WALL STREET POD-P, NEW YORK, NY 10005
Mailing Address: C/O ACCOUNTING & COMPLIANCE INTERNATIONAL, 77 WATER STREET, SUITE 1604, NEW YORK, NY 10005

LUCRUM CAPITAL SECURITIES
1750 TYSONS BLVD, SUITE 1500, MCLEAN, VA 22102

LUMA SECURITIES LLC
101 FIFTH AVENUE, SUITE 900, NEW YORK, NY 10003

LUMENT SECURITIES, LLC
10 WEST BROAD STREET, 8TH FLOOR, COLUMBUS, OH 43215

LYNCH & ASSOCIATES
535 BOYLSTON ST., FLOOR T2, BOSTON, MA 02116
Mailing Address: 535 BOYLSTON ST., SUITE T2, BOSTON, MA 02116

LYNDHURST SECURITIES INC.
6928 OWENSMOUTH AVENUE, SUITE 200, WOODLAND HILLS, CA 91303
Mailing Address: 6928 OWENSMOUTH AVE., #200, WOODLAND HILLS, CA 91303

LYNX CAPITAL, LLC
55 PARSON BROWN CT., MORAGA, CA 94556

Last updated: 11/21/24