Previous Month Changes to List of Broker-Dealer Firms We Regulate

For the period of 1/1/2025 through 1/31/2025

A

AIA SECURITIES L
AIA SECURITIES LLC
IRVINE, CA, UNITED STATES
RESIGNED

ANNEXUS SECURITI
ANNEXUS SECURITIES, LLC
NAME CHANGED TO: INTEGRITY CAPITAL, LLC

ANNEXUS SECURITI
INTEGRITY CAPITAL, LLC
NEW NAME OF: ANNEXUS SECURITIES, LLC

AQUILA DISTRIBUT
AQUILA DISTRIBUTORS LLC
NEW YORK, NY, UNITED STATES
RESIGNED

ARTA FINANCE SEC
ARTA FINANCE SECURITIES LLC
153 CASTRO STREET, SUITE 200, MOUNTAIN VIEW, CA 94041
ADMITTED

ATTIS SECURITIES
ATTIS SECURITIES
2401 E 2ND AVE, SUITE 400, DENVER, CO 80206
ADMITTED

B

BALANZ CAPITAL
BALANZ CAPITAL
NAME CHANGED TO: BALANZ CAPITAL USA LLC

BALANZ CAPITAL
BALANZ CAPITAL USA LLC
NEW NAME OF: BALANZ CAPITAL

C

CAMBRIA CAPITAL,
CAMBRIA CAPITAL, LLC
SALT LAKE CITY, UT, USA
RESIGNED

CANGURU CAPITAL
CANGURU CAPITAL ADVISORS
2182 S EL CAMINO REAL, SUITE 203, OCEANSIDE, CA 92054
ADMITTED

CC CAPITAL ADVIS
CC CAPITAL ADVISORS, INC.
NAME CHANGED TO: COUNTRY CLUB FINANCIAL SERVICES, INC.

CC CAPITAL ADVIS
COUNTRY CLUB FINANCIAL SERVICES, INC.
NEW NAME OF: CC CAPITAL ADVISORS, INC.

CHANDLER DISTRIB
CHANDLER DISTRIBUTION SERVICES, LLC
9255 TOWNE CENTRE DRIVE, SUITE 600, SAN DIEGO, CA 92121
ADMITTED

COGENT ALTERNATI
COGENT ALTERNATIVE STRATEGIES, INC.
PALM BEACH GARDENS, FL, USA
RESIGNED

E

E.L.K. CAPITAL A
E.L.K. CAPITAL ADVISORS, LLC
SARASOTA, FL, USA
RESIGNED

EAGLES COAST CAP
EAGLES COAST CAPITAL, LLC
CHARLESTON, SC, UNITED STATES
RESIGNED

F

FEDERATED INTERN
FEDERATED INTERNATIONAL SECURITIES CORP.
PITTSBURGH, PA, UNITED STATES
RESIGNED

G

GE VERNOVA CAPIT
GE VERNOVA CAPITAL MARKETS, LLC
400 ATLANTIC STREET, STAMFORD, CT 06901
MAILING ADDRESS: 901 MAIN AVENUE, NORWALK, CT 06851
ADMITTED

H

HI2 SECURITIES,
HI2 SECURITIES, INC.
NAME CHANGED TO: RISEVEST FINANCIAL SECURITIES LIMITED

HI2 SECURITIES,
RISEVEST FINANCIAL SECURITIES LIMITED
NEW NAME OF: HI2 SECURITIES, INC.

HITHERLANE PARTN
HITHERLANE PARTNERS, LLC
BOCA RATON, FL, UNITED STATES
RESIGNED

I

INTEGRITY CAPITA
ANNEXUS SECURITIES, LLC
MERGED FIRST PALLADIUM, LLC
TO FORM INTEGRITY CAPITAL, LLC

IRONLIGHT MARKET
IRONLIGHT MARKETS, LLC
57 VERNON PARKWAY, MOUNT VERNON, NY 10552
MAILING ADDRESS: 57 VERNON PARKWAY, MOUNT VERNON, NY 10550
ADMITTED

J

J.V. DELANEY & A
J.V. DELANEY & ASSOCIATES
NAME CHANGED TO: CHAINCE SECURITIES, LLC

J.V. DELANEY & A
CHAINCE SECURITIES, LLC
NEW NAME OF: J.V. DELANEY & ASSOCIATES

K

K2 CAPITAL ASSET
K2 CAPITAL ASSET MANAGEMENT, LLC
258 TAHLULAH LANE, WEST ISLIP, NY 11795
ADMITTED

L

LPL FINANCIAL LL
LPL FINANCIAL LLC
WINTRUST INVESTMENTS LLC
WAYNE HUMMER INVESTMENTS L.L.C.
WAYNE HUMMER INVESTMENTS L.L.C.
WAYNE HUMMER & CO.

M

M3 INVESTMENT GR
M3 INVESTMENT GROUP LLC
CHICAGO, IL, USA
RESIGNED

MID-MARKET SECUR
MID-MARKET SECURITIES, LLC
MOUNT KISCO, NY, USA
RESIGNED

N

N4 FINANCIAL, IN
N4 FINANCIAL, INC.
REDWOOD CITY, CA, UNITED STATES
RESIGNED

O

OSAIC WEALTH, IN
INTEGRATED INVESTMENTS, INC.
OSAIC FA, INC.
MERGED LINCOLN FINANCIAL ADVISORS CORPORATION
TO FORM OSAIC WEALTH, INC.

OSAIC WEALTH, IN
INTEGRATED INVESTMENTS, INC.
OSAIC FS, INC.
MERGED LINCOLN FINANCIAL SECURITIES CORPORATION
JEFFERSON PILOT SECURITIES CORPORATION
CHUBB SECURITIES CORPORATION
TO FORM OSAIC WEALTH, INC.

P

PARAGON HEALTH C
PARAGON HEALTH CAPITAL, LLC
NAME CHANGED TO: PHCP, LLC

PARAGON HEALTH C
PHCP, LLC
NEW NAME OF: PARAGON HEALTH CAPITAL, LLC

PARKER STREET SE
PARKER STREET SECURITIES LLC
NAME CHANGED TO: BARRAMUNDI CAPITAL LLC

PARKER STREET SE
BARRAMUNDI CAPITAL LLC
NEW NAME OF: PARKER STREET SECURITIES LLC

POLYSIGN CAPITAL
POLYSIGN CAPITAL LLC
GULF BREEZE, FL, UNITED STATES
RESIGNED

PRIMARYBID SECUR
PRIMARYBID SECURITIES INC.
732 SMITHTOWN BYPASS, SUITE 203, SMITHTOWN, NY 11787
MAILING ADDRESS: 11 SCOTT AVE, SELDEN, NY 11784
ADMITTED

R

RC PRIVATE SECUR
RC PRIVATE SECURITIES, LLC
KANSAS CITY, MO, UNITED STATES
RESIGNED

ROSELAINE SECURI
ROSELAINE SECURITIES LLC
PACIFIC PALISADES, CA, USA
RESIGNED

T

THREADSTONE CAPI
THREADSTONE CAPITAL, LLC
NEW YORK, NY
RESIGNED

U

USMART CAPITAL,
USMART CAPITAL, LLC
616 MILL ROAD, RHINEBECK, NY 12572
ADMITTED

V

VOYA FINANCIAL P
VOYA FINANCIAL PARTNERS, LLC
ONEAMERICA SECURITIES, INC.
AUL EQUITY SALES CORP.

W

WATERMARK ADVISO
WATERMARK ADVISORS, LLC
GREENVILLE, SC, UNITED STATES
RESIGNED