Skip to main content

Broker-Dealer Firms We Regulate - N

# 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

N.A. INVESTCORP LLC
280 PARK AVENUE, 39TH FLOOR, NEW YORK, NY 10017

N.B. ZOULLAS SECURITIES, INC.
ONE PENN PLAZA, SUITE 2005, 20TH FLOOR, NEW YORK, NY 10119

N.E. PRIVATE CLIENT, LTD
790 NORTH MAIN STREET, PROVIDENCE, RI 02904

N.I.S. FINANCIAL SERVICES, INC.
500 EAST 9TH ST., KANSAS CITY, MO 64106
Mailing Address: P. O. BOX 219103, KANSAS CITY, MO 64121-9103

N4 FINANCIAL, INC.
609 WEST CALIFORNIA WAY, REDWOOD CITY, CA 94062
Mailing Address: 809 LAUREL STREET, UNIT 952, SAN CARLOS, CA 94070

NABSECURITIES, LLC
277 PARK AVENUE, 19TH FLOOR, NEW YORK, NY 10172

NANCY BARRON & ASSOCIATES, INC.
150 GRAND BOULEVARD, LEXINGTON, KY 40507

NASDAQ CAPITAL MARKETS ADVISORY LLC
151 WEST 42ND STREET, NEW YORK, NY 10036

NASDAQ EXECUTION SERVICES, LLC
2929 WALNUT STREET, FMC TOWER, LEVEL 8, PHILADELPHIA, PA 19104

NATALLIANCE SECURITIES, LLC
3101 BEE CAVE RD, SUITE 270, AUSTIN, TX 78746

NATIONAL BANK OF CANADA FINANCIAL INC.
65 EAST 55TH STREET, 8TH FLOOR, NEW YORK, NY 10022

NATIONAL FINANCIAL SERVICES LLC
245 SUMMER STREET, BOSTON, MA 02210
Mailing Address: TWO DESTINY WAY, MAIL ZONE: WG3D, WESTLAKE, TX 76262

NATIONS FINANCIAL GROUP, INC.
3925 FOUNTAINS BLVD NE, SUITE 200, CEDAR RAPIDS, IA 52411

NATIONWIDE FUND DISTRIBUTORS LLC
10 WEST NATIONWIDE BOULEVARD, MS: 5-02-210R, COLUMBUS, OH 43215
Mailing Address: ONE NATIONWIDE PLAZA, MS: 5-02-210R, COLUMBUS, OH 43215

NATIONWIDE INVESTMENT SERVICES CORPORATION
ONE NATIONWIDE PLAZA, 1-33-401, COLUMBUS, OH 43215

NATIONWIDE PLANNING ASSOCIATES INC.
32-16 BROADWAY AVE, 2ND FLOOR, FAIR LAWN, NJ 07410

NATIONWIDE SECURITIES, LLC
10 WEST NATIONWIDE BLVD, MAILING CODE: 5-02-302, COLUMBUS, OH 43215
Mailing Address: ONE NATIONWIDE PLAZA, MAIL CODE: 01-33-401, COLUMBUS, OH 43215

NATISA SECURITIES LLC
11221 SUMMERDALE ST, WESTCHESTER, IL 60154

NATIXIS DISTRIBUTION, LLC
888 BOYLSTON STREET, SUITE 800, BOSTON, MA 02199-8197

NATIXIS SECURITIES AMERICAS LLC
1251 AVENUE OF THE AMERICAS, 5TH FLOOR, NEW YORK, NY 10020
Mailing Address: 1251 AVENUE OF THE AMERICAS 5TH FLOOR, NEW YORK, NY 10020

NATWEST MARKETS SECURITIES INC.
600 WASHINGTON BOULEVARD, STAMFORD, CT 06901

NAVAID FINANCIAL SERVICES, INC.
21 E EUCLID AVE, HADDONFIELD, NJ 08033

NAVIAN CAPITAL SECURITIES LLC
425 WALNUT STREET, SUITE 2410, CINCINNATI, OH 45202
Mailing Address: 425 WALNUT STREET, SUITE 2410, CINCINNATI, OH 45202

NAVIDAR GROUP LLC
2700 VIA FORTUNA, SUITE 140, AUSTIN, TX 78746

NAVIGATOR SECURITIES LIMITED
14301 FNB PKWY, SUITE 112, OMAHA, NE 68154

NAVY FEDERAL INVESTMENT SERVICES, LLC
1007 ELECTRIC AVE, VIENNA, VA 22180

NBC SECURITIES, INC.
1927 1ST AVENUE NORTH, BIRMINGHAM, AL 35203-0686

NC SECURITIES, LLC
101 MARLBORO AVENUE, SUITE 53, EASTON, MD 21601
Mailing Address: 101 MARLBORO AVENUE, SUITE 53, EASTON, MD 21601

NCG SECURITIES LLC
12 BROAD STREET, 5TH FLOOR, RED BANK, NJ 07701

NCMG LLC
767 3RD AVE, STE 2102, NEW YORK, NY 10017

NEAR EARTH, LLC
945 WEST ROAD, NEW CANAAN, CT 06840

NEEDHAM & COMPANY, LLC
250 PARK AVENUE, 10TH FLOOR, NEW YORK, NY 10177

NELSON IVEST BROKERAGE SERVICES, INC.
423 COUNTRY CLUB DRIVE, WINTER PARK, FL 32789-2968

NELSON SECURITIES,INC.
9718 N MORTON CT, SPOKANE, WA 99218

NEON MONEY, LLC
239 JASMINE ST, TAVERNIER, FL 33070

NEST INVESTMENTS BD LLC
20 ASH STREET, SUITE 300, CONSHOHOCKEN, PA 19428
Mailing Address: PO BOX 266, CONSHOHOCKEN, PA 19428

NESTLERODE & LOY, INC.
110 REGENT COURT, SUITE 202, STATE COLLEGE, PA 16801
Mailing Address: P.O. BOX 343, STATE COLLEGE, PA 16804-0343

NETREX CAPITAL MARKETS, LLC
270 SOUTH SERVICE ROAD, SUITE 45, MELVILLE,, NY 11747-2339

NETSHARES FINANCIAL SERVICES LLC
24285 KATY FREEWAY, SUITE 300-7, KATY, TX 77494
Mailing Address: 5554 S. PEEK ROAD, PMB 8, KATY, TX 77450

NETWORK 1 FINANCIAL SECURITIES INC.
THE GALLERIA, SUITE 241, 2 BRIDGE AVENUE, RED BANK, NJ 07701

NEUBERGER BERMAN BD LLC
1290 AVENUE OF THE AMERICAS, NEW YORK, NY 10104

NEW CENTURY CAPITAL PARTNERS, INC.
1707 GLENDON AVENUE, SUITE 3, LOS ANGELES, CA 90024
Mailing Address: 1112 MONTANA AVENUE, STE 465, SANTA MONICA, CA 90403

NEW HARBOR VENTURE PARTNERS LLC
215 MORRIS AVENUE, SUITE 7, SPRING LAKE, NJ 07762

NEWBRIDGE SECURITIES CORPORATION
1200 NORTH FEDERAL HIGHWAY, SUITE 400, BOCA RATON, FL 33432

NEWEDGE SECURITIES, INC.
1251 WATERFRONT PLACE, SUITE 510, PITTSBURGH, PA 15222-6368

NEWMARK SECURITIES, LLC
125 PARK AVENUE, NEW YORK, NY 10017

NEWOAK CAPITAL MARKETS LLC
3 COLUMBUS CIRCLE, 15TH FL., NEW YORK, NY 10019

NEWPOINT REAL ESTATE CAPITAL SECURITIES LLC
ONE BATTERY PARK PLAZA, SUITE 600, NEW YORK, NY 10004

NEXBANK SECURITIES INC
2515 MCKINNEY AVE, SUITE 1100, DALLAS, TX 75201

NEXPOINT SECURITIES, INC.
200 CRESCENT COURT, SUITE 700, DALLAS, TX 75201

NEXT FINANCIAL GROUP, INC.
11740 KATY FREEWAY, SUITE 600, HOUSTON, TX 77079

NEXT TITAN CAPITAL
1023 WALNUT STREET, BOULDER, CO 80302

NEXTGEN CAPITAL MARKETS, LLC
3715 NORTHSIDE PKWY NW, STE.,1-250, ATLANTA, GA 30327

NEXTREND SECURITIES, INC.
STATE OF TEXAS ADDRESS CONFIDENTIALITY, AUSTIN, TX 78711
Mailing Address: PO BOX 12108, AUSTIN, TX 78711

NFSTX, LLC
4 TIMES SQUARE, 27TH FLOOR, NEW YORK, NY 10036
Mailing Address: 151 WEST 42 STREET, 27TH FLOOR, NEW YORK, NY 10036

NGC FINANCIAL, LLC
36-01 208TH STREET, BAYSIDE, NY 11361

NH INVESTMENT & SECURITIES AMERICA, INC.
120 WEST 45TH STREET, SUITE 2402, NEW YORK, NY 10036

NI ADVISORS
1138 CADILLAC COURT, MILPITAS, CA 95035
Mailing Address: 1138 CADILLAC COURT, MILPITAS, CA 95035

NICOL INVESTORS CORPORATION
1 EXECUTIVE PARK, GRANITE CITY, IL 62040-0907
Mailing Address: 1 EXECUTIVE PARK, P.O. BOX 907, GRANITE CITY, IL 62040-0907

NINTH ETERNITY SECURITIES LLC
1 BROADWAY, 14TH FLOOR, CAMBRIDGE, MA 02142

NOBLE CAPITAL MARKETS, INC.
150 EAST PALMETTO PARK ROAD, SUITE 110, BOCA RATON, FL 33432

NOBLES & RICHARDS, INC.
801 EAST PLANO PARKWAY, SUITE 220, PLANO, TX 75074

NOLAN SECURITIES CORP.
535 MAIN ROAD, MONTEREY, MA 01245

NOMURA SECURITIES INTERNATIONAL, INC.
WORLDWIDE PLAZA, 309 WEST 49TH STREET, NEW YORK, NY 10019

NORDEA SECURITIES LLC
1211 AVENUE OF THE AMERICAS, NEW YORK, NY 10036

NORTH CAPITAL PRIVATE SECURITIES CORPORATION
623 E FT UNION BLVD, SUITE 101, SALT LAKE CITY, UT 84047

NORTH INLET ADVISORS, LLC
2115 REXFORD RD, SUITE 224, CHARLOTTE, NC 28211

NORTH POINT MERGERS AND ACQUISITIONS, INC.
580 CALIFORNIA STREET, SUITE 2200, SAN FRANCISCO, CA 94104

NORTH SOUTH CAPITAL, LLC
321 WEST MAPLE STREET, SUITE 100, NEW LENOX, IL 60451
Mailing Address: 321 WEST MAPLE STREET, SUITE 201, NEW LENOX, IL 60451

NORTHBORNE SECURITIES PARTNERS LLC
212 THIRD AVENUE NORTH, SUITE 500, MINNEAPOLIS, MN 55401

NORTHBOUND SECURITIES LLC
325 SOUTH BISCAYNE BLVD, SUITE 2018, MIAMI, FL 33131

NORTHBRIDGE FINANCIAL SERVICES
3650 WEST LIBERTY, ANN ARBOR, MI 48103

NORTHCOAST RESEARCH PARTNERS, LLC
1301 EAST NINTH STREET, SUITE 1500, CLEVELAND, OH 44114
Mailing Address: 1301 EAST NINTH STREET, 15TH FLOOR, CLEVELAND, OH 44114

NORTHERN CAPITAL SECURITIES CORPORATION
50 HIGH STREET, 4TH FLOOR, NORTH ANDOVER, MA 01845

NORTHERN EDGE CAPITAL ADVISORS LLC
747 THIRD AVE. 27TH FLOOR, NEW YORK, NY 10017

NORTHERN FUNDS DISTRIBUTORS, LLC
THREE CANAL PLAZA, 3RD FLOOR, PORTLAND, ME 04101
Mailing Address: THREE CANAL PLAZA, SUITE 100, PORTLAND, ME 04101

NORTHERN LIGHTS DISTRIBUTORS, LLC
4221 NORTH 203RD STREET, SUITE 100, ELKHORN, NE 68022

NORTHERN TRUST SECURITIES, INC.
333 S. WABASH AVENUE, 34TH FLOOR, CHICAGO, IL 60604
Mailing Address: 333 S. WABASH AVENUE, CHICAGO, IL 60604

NORTHLAND SECURITIES, INC.
150 SOUTH FIFTH STREET, SUITE 3300, MINNEAPOLIS, MN 55402

NORTHSTAR FINANCIAL SERVICES
4180 ALTON ROAD, MIAMI BEACH, FL 33140

NORTHVIEW ADVISORS LLC
300 COLE ST, AUSTIN, TX 78737

NORTHWEST FINANCIAL GROUP LLC
200 SPRING STREET, SUITE 120, HERNDON, VA 20170

NORTHWEST INVESTMENT ADVISORS, INC.
9 S WASHINGTON ST STE 210, SPOKANE, WA 99201

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
720 EAST WISCONSIN AVENUE, MILWAUKEE, WI 53202-4797

NORTLOV SECURITIES LLC
1315 ETHANS WAY, MCDONOUGH, GA 30252

NOVA CAPITAL SOLUTIONS, LLC
2125 E. ATLANTIC BOULEVARD, POMPANO BEACH, FL 33062

NPM SECURITIES, LLC
3 EAST 28TH STREET, 7TH FLOOR, NEW YORK, NY 10016

NUMIS SECURITIES INC.
575 FIFTH AVENUE, 25TH FL, NEW YORK, NY 10017

NUORION CAPITAL
495 BRICKELL AVE, SUITE 2101, MIAMI, FL 33131

NUVAMA FINANCIAL SERVICES INC.
450 LEXINGTON AVE, SUITE 4-216, NEW YORK, NY 10017

NUVEEN SECURITIES, LLC
333 WEST WACKER DRIVE, CHICAGO, IL 60606-1286

NW CAPITAL MARKETS INC.
522 BROAD STREET, BLOOMFIELD, NJ 07003

NYLIFE DISTRIBUTORS LLC
30 HUDSON STREET, JERSEY CITY, NJ 07302
Mailing Address: 30 HUDSON STREET, 22ND FLOOR, JERSEY CITY, NJ 07302

NYLIFE SECURITIES LLC
51 MADISON AVE., ROOM 713, NEW YORK, NY 10010
Mailing Address: 51 MADISON AVENUE, ROOM 713, NEW YORK, NY 10010

Last updated: 9/24/24