Changes to List of Broker-Dealer Firms We Regulate

For the period of 11/1/2024 through 11/30/2024

A

AGES FINANCIAL S
AGES FINANCIAL SERVICES, LTD.
READING, MA, UNITED STATES
RESIGNED

ALLEN C. EWING &
ALLEN C. EWING & CO.
JACKSONVILLE, FL, UNITED STATES
RESIGNED

AMERAUDI INVESTM
AMERAUDI INVESTMENT SERVICES LLC
19 E. 54TH STREET, NEW YORK, NY 10022
ADMITTED

AMERICAN WEALTH
AMERICAN WEALTH MANAGEMENT, INC.
ALPHARETTA, GA, UNITED STATES
RESIGNED

ATREYU TRADING
ATREYU TRADING
NORWOOD, MA, USA
RESIGNED

B

BC FINANCIAL
BC FINANCIAL
NORMANDY PARK, WA, USA
RESIGNED

BIVO FINANCIAL L
BIVO FINANCIAL LLC
14551 LA RINCONADA DR, LOS GATOS, CA 95032
ADMITTED

BROKERS INTERNAT
BROKERS INTERNATIONAL FINANCIAL SERVICES, LLC.
NAME CHANGED TO: INTEGRITY ALLIANCE, LLC.

BROKERS INTERNAT
INTEGRITY ALLIANCE, LLC.
NEW NAME OF: BROKERS INTERNATIONAL FINANCIAL SERVICES, LLC.

C

CROWN CAPITAL SE
CROWN CAPITAL SECURITIES, L.P.
ORANGE, CA, UNITED STATES
RESIGNED

E

EF HUTTON LLC
EF HUTTON LLC
NAME CHANGED TO: D. BORAL CAPITAL

EF HUTTON LLC
D. BORAL CAPITAL
NEW NAME OF: EF HUTTON LLC

EF LEGACY SECURI
EF LEGACY SECURITIES, LLC
NAME CHANGED TO: RETIREONE INVESTMENT SERVICES, LLC

EF LEGACY SECURI
RETIREONE INVESTMENT SERVICES, LLC
NEW NAME OF: EF LEGACY SECURITIES, LLC

F

FINANCE 500, INC
FINANCE 500, INC.
IRVINE, CA, UNITED STATES
RESIGNED

FIRST CHICAGO AD
FIRST CHICAGO ADVISORS, INC.
NAME CHANGED TO: FCA ADVISORS, INC.

FIRST CHICAGO AD
FCA ADVISORS, INC.
NEW NAME OF: FIRST CHICAGO ADVISORS, INC.

G

GSA CAPITAL ASSO
GSA CAPITAL ASSOCIATES, LLC
NEW YORK, NY, USA
RESIGNED

H

HAMILTON EXECUTI
HAMILTON EXECUTIONS L.L.C.
NAME CHANGED TO: HAMILTON EXECUTIONS LLC

HAMILTON EXECUTI
HAMILTON EXECUTIONS LLC
NEW NAME OF: HAMILTON EXECUTIONS L.L.C.

I

INVESTMENT DISTR
TO FORM INVESTMENT DISTRIBUTORS, INC.
ACQUIRED CONCOURSE FINANCIAL GROUP SECURITIES, INC.

INVESTMENT DISTR
TO FORM INVESTMENT DISTRIBUTORS, INC.
ACQUIRED PROEQUITIES, INC.

INVESTMENT DISTR
TO FORM INVESTMENT DISTRIBUTORS, INC.
ACQUIRED PROTECTIVE EQUITY SERVICES, INC.

L

LPL ENTERPRISE,
LPL ENTERPRISE, LLC
PRUCO SECURITIES, LLC.
PRUCO SECURITIES CORPORATION

M

MIAC CAPITAL MAR
MIAC CAPITAL MARKETS LLC
NEW YORK, NY
RESIGNED

N

NETCAPITAL SECUR
NETCAPITAL SECURITIES INC.
1 LINCOLN STREET, BOSTON, MA 02111
ADMITTED

NEXT TITAN CAPIT
NEXT TITAN CAPITAL
NAME CHANGED TO: MACARTHUR STRATEGIC CAPITAL, LLC

NEXT TITAN CAPIT
MACARTHUR STRATEGIC CAPITAL, LLC
NEW NAME OF: NEXT TITAN CAPITAL

P

PARKMAN WHALING
PARKMAN WHALING SECURITIES LLC
HOUSTON, TX
RESIGNED

R

RBC CMA LLC
RBC CMA LLC
NAME CHANGED TO: RBC CMA LTD

RBC CMA LLC
RBC CMA LTD
NEW NAME OF: RBC CMA LLC

S

SHEA & COMPANY,
SHEA & COMPANY, LLC
NAME CHANGED TO: SHEA & COMPANY

SHEA & COMPANY,
SHEA & COMPANY
NEW NAME OF: SHEA & COMPANY, LLC

SURFTRADE LLC
SURFTRADE LLC
NAME CHANGED TO: OPTIMX SECURITIES LLC

SURFTRADE LLC
OPTIMX SECURITIES LLC
NEW NAME OF: SURFTRADE LLC

T

TFS DERIVATIVES
TFS DERIVATIVES LLC
NEW YORK, NY, UNITED STATES
RESIGNED

THE WINDMILL GRO
THE WINDMILL GROUP, INC.
SOMERS, NY, UNITED STATES
RESIGNED

W

WATCHDOG CAPITAL
WATCHDOG CAPITAL, LLC
NAME CHANGED TO: FORIS CAPITAL US LLC

WATCHDOG CAPITAL
FORIS CAPITAL US LLC
NEW NAME OF: WATCHDOG CAPITAL, LLC

WORLD FIRST FINA
WORLD FIRST FINANCIAL SERVICES, INC.
STATEN ISLAND, NY, UNITED STATES
RESIGNED