Changes to List of Broker-Dealer Firms We Regulate
For the period of 2/1/2025 through 2/28/2025
A
ACANTHUS U.S. LI
ACANTHUS U.S. LIMITED
10-12 BLANDFORD STREET, LONDON W1U 4AZ UNITED KINGDOM
ADMITTED
AIRLINK MARKETS,
AIRLINK MARKETS, LLC
ISSAQUAH, WA, UNITED STATES
EXPELLED PER RULE 9552 - FAILED TO FILE ITS QUARTERLY FOCUS REPORT
ALLEGHENY INVEST
ALLEGHENY INVESTMENTS, LTD.
PITTSBURGH, PA, UNITED STATES
RESIGNED
ALMAX FINANCIAL
ALMAX FINANCIAL SOLUTIONS, LLC
CLINTON, NJ, USA
RESIGNED
AVALON SECURITIE
AVALON SECURITIES, LTD.
NEW YORK, NY, UNITED STATES
RESIGNED
AXIA CAPITAL MAR
AXIA CAPITAL MARKETS, LLC
NEW YORK, NY, UNITED STATES
RESIGNED
B
BFIN FINANCIAL S
BFIN FINANCIAL SERVICES, LLC
NAME CHANGED TO: GOLD STREET CAPITAL, LLC
BFIN FINANCIAL S
GOLD STREET CAPITAL, LLC
NEW NAME OF: BFIN FINANCIAL SERVICES, LLC
C
CETERA ADVISOR N
TO FORM CETERA ADVISOR NETWORKS LLC
ACQUIRED CONCOURSE FINANCIAL GROUP SECURITIES, INC.
CETERA ADVISOR N
TO FORM CETERA ADVISOR NETWORKS LLC
ACQUIRED PROEQUITIES, INC.
CETERA ADVISOR N
TO FORM CETERA ADVISOR NETWORKS LLC
ACQUIRED PROTECTIVE EQUITY SERVICES, INC.
COWEN AND COMPAN
COWEN AND COMPANY
NEW YORK, NY, UNITED STATES
RESIGNED
CS ENHANCED LEND
CS ENHANCED LENDING LLC
4 WORLD TRADE CENTER, 150 GREENWICH STREET, 45TH FLOOR, NEW YORK, NY 10007
MAILING ADDRESS: 4 WORLD TRADE CENTER, 150 GREENWICH STREET, NEW YORK, NY 10007
ADMITTED
D
DEALERWEB INC.
DEALERWEB INC.
NAME CHANGED TO: DEALERWEB LLC
DEALERWEB INC.
DEALERWEB LLC
NEW NAME OF: DEALERWEB INC.
F
FIRST SOUTH CARO
FIRST SOUTH CAROLINA SECURITIES, INC.
COLUMBIA, SC, UNITED STATES
RESIGNED
FNC AG STOCK, LL
FNC AG STOCK, LLC
NAME CHANGED TO: FNC SECURITIES, LLC
FNC AG STOCK, LL
FNC SECURITIES, LLC
NEW NAME OF: FNC AG STOCK, LLC
G
GALAXY SECURITIE
GALAXY SECURITIES, LLC
300 VESEY STREET, 13TH FLOOR, NEW YORK, NY 10282
ADMITTED
GATEWOOD SECURIT
GATEWOOD SECURITIES LLC
NEW YORK, NY, USA
RESIGNED
GOURLAY CAPITAL
GOURLAY CAPITAL ADVISORS, LLC
25 EUREKA TERRACE, STAMFORD, CT 06902
ADMITTED
GREENBERG FINANC
GREENBERG FINANCIAL GROUP
TUCSON, AZ, UNITED STATES
RESIGNED
H
HAVERKAMP INVEST
HAVERKAMP INVESTMENTS, INC.
510 S 17TH ST, STE 104, AMES, IA 50010
ADMITTED
HB SECURITIES, L
HB SECURITIES, LLC
NEWPORT BEACH, CA, USA
RESIGNED
HMC INVESTMENTS,
HMC INVESTMENTS, LLC
BIRMINGHAM, AL, UNITED STATES
RESIGNED
HMP CAPITAL, LLC
HMP CAPITAL, LLC
1211 W. 22ND STREET, OAK BROOK, IL 60523
ADMITTED
HUBBLE INVESTMEN
HUBBLE INVESTMENTS, LLC
SAN MATEO, CA
RESIGNED
I
INTERVEST INTERN
INTERVEST INTERNATIONAL EQUITIES CORPORATION
COLORADO SPRINGS, CO, UNITED STATES
RESIGNED
J
JLT CAPITAL PART
JLT CAPITAL PARTNERS LLC
NAPLES, FL, USA
RESIGNED
K
K. W. CHAMBERS &
K. W. CHAMBERS & CO.
CLAYTON, MO, UNITED STATES
RESIGNED
M
M&CO. SECURITIES
M&CO. SECURITIES LLC
457 LURGAN ROAD, NEW HOPE, PA 18938
MAILING ADDRESS: 2555 N. PEARL STREET, SUITE 1604, DALLAS, TX 75201
ADMITTED
MADEIRA CAPITAL,
MADEIRA CAPITAL, LLC
WAYZATA, MN, USA
RESIGNED
MANOR PARK SECUR
MANOR PARK SECURITIES LLC
LARCHMONT, NY, USA
RESIGNED
MERCADIEN SECURI
MERCADIEN SECURITIES
HAMILTON, NJ, USA
RESIGNED
N
NAVIGATOR SECURI
NAVIGATOR SECURITIES LIMITED
OMAHA, NE, UNITED STATES
RESIGNED
NEWEDGE SECURITI
NEWEDGE SECURITIES LLC
NAME CHANGED TO: NEWEDGE SECURITIES, LLC
NEWEDGE SECURITI
NEWEDGE SECURITIES, LLC
NEW NAME OF: NEWEDGE SECURITIES LLC
O
OPTIONS AI FINAN
OPTIONS AI FINANCIAL LLC
NEW YORK, NY, UNITED STATES
RESIGNED
P
PANMURE GORDON S
PANMURE GORDON SECURITIES LIMITED
LONDON, UNITED KINGDOM
RESIGNED
PI FINANCIAL (US
PI FINANCIAL (US) CORP.
NAME CHANGED TO: VENTUM FINANCIAL (US) CORP.
PI FINANCIAL (US
VENTUM FINANCIAL (US) CORP.
NEW NAME OF: PI FINANCIAL (US) CORP.
PORTSMOUTH FINAN
PORTSMOUTH FINANCIAL SERVICES
SAN FRANCISCO, CA, UNITED STATES
RESIGNED
R
RAM FINANCIAL LL
RAM FINANCIAL LLC
345 SHERIDAN AVENUE, SUITE 403, PALO ALTO, CA 94306
ADMITTED
S
SKYVIEW INVESTME
SKYVIEW INVESTMENT BANKING
MANHATTAN BEACH, CA, US
RESIGNED
SOUND CAPITAL DI
SOUND CAPITAL DISTRIBUTORS LLC
WHEATON, IL, UNITED STATES
RESIGNED
STONEX OUTSOURCE
STONEX OUTSOURCED SERVICES LLC
PARK CITY, UT, UNITED STATES
RESIGNED
T
TRANSAMERICA CAP
TRANSAMERICA CAPITAL, INC.
NAME CHANGED TO: TRANSAMERICA CAPITAL, LLC
TRANSAMERICA CAP
TRANSAMERICA CAPITAL, LLC
NEW NAME OF: TRANSAMERICA CAPITAL, INC.
TRANSAMERICA FIN
TRANSAMERICA FINANCIAL ADVISORS, INC
NAME CHANGED TO: TRANSAMERICA FINANCIAL ADVISORS, LLC
TRANSAMERICA FIN
TRANSAMERICA FINANCIAL ADVISORS, LLC
NEW NAME OF: TRANSAMERICA FINANCIAL ADVISORS, INC
TRANSAMERICA INV
TRANSAMERICA INVESTORS SECURITIES CORPORATION
NAME CHANGED TO: TRANSAMERICA INVESTORS SECURITIES, LLC
TRANSAMERICA INV
TRANSAMERICA INVESTORS SECURITIES, LLC
NEW NAME OF: TRANSAMERICA INVESTORS SECURITIES CORPORATION
TRANSAMERICA INV
TRANSAMERICA INVESTORS SECURITIES CORPORATION
NAME CHANGED TO: TRANSAMERICA INVESTORS SECURITIES, LLC
TRANSAMERICA INV
TRANSAMERICA INVESTORS SECURITIES, LLC
NEW NAME OF: TRANSAMERICA INVESTORS SECURITIES CORPORATION
V
V. M. MANNING &
V. M. MANNING & CO., INC.
GREENVILLE, SC, UNITED STATES
RESIGNED
VISION ONE PARTN
VISION ONE PARTNERS, LLC
NAME CHANGED TO: 777 SECURITIES
VISION ONE PARTN
777 SECURITIES
NEW NAME OF: VISION ONE PARTNERS, LLC
VOLEON SECURITIE
VOLEON SECURITIES
2484 SHATTUCK AVENUE, SUITE 300, BERKELEY, CA 94704-2076
ADMITTED