Changes to List of Broker-Dealer Firms We Regulate
For the period of 10/1/2024 through 10/31/2024
A
ACF BD LLC
ACF BD LLC
NAME CHANGED TO: FOREST ROAD SECURITIES BD LLC
ACF BD LLC
FOREST ROAD SECURITIES BD LLC
NEW NAME OF: ACF BD LLC
ADMIRAL SECURITI
ADMIRAL SECURITIES LLC
110 W. 96TH STREET, APT. 10A, NEW YORK, NY 10025
ADMITTED
B
BALANZ CAPITAL
BALANZ CAPITAL
2811 PONCE DE LEON BLVD, SUITE 710, CORAL GABLES, FL 33134
ADMITTED
BLUESQUARE CAPIT
BLUESQUARE CAPITAL ADVISORS, LLC
NAME CHANGED TO: SECURITIES CLUB BROKER-DEALER, LLC
BLUESQUARE CAPIT
SECURITIES CLUB BROKER-DEALER, LLC
NEW NAME OF: BLUESQUARE CAPITAL ADVISORS, LLC
BONDXN TECHNOLOG
BONDXN TECHNOLOGIES LLC
165 PASSAIC AVE, SUITE 201, FAIRFIELD, NJ 07004
ADMITTED
BRANT STREET CAP
BRANT STREET CAPITAL INC.
130 KING STREET WEST, SUITE 2600, TORONTO, ONTARIO M5X 1C7 CANADA
ADMITTED
C
CARTY & COMPANY,
CARTY & COMPANY, INC.
NAME CHANGED TO: CARTY, HARDING, & HEARN, INC.
CARTY & COMPANY,
CARTY, HARDING, & HEARN, INC.
NEW NAME OF: CARTY & COMPANY, INC.
D
DABA SECURITIES
DABA SECURITIES
MIAMI, FL, UNITED STATES
CANCELLED FOR NO SEC REGISTRATION
E
ECOBAN SECURITIE
ECOBAN SECURITIES CORPORATION
NEW ROCHELLE, NY, UNITED STATES
RESIGNED
F
FUNDOPOLIS SECUR
FUNDOPOLIS SECURITIES, LLC
WINCHESTER, MA, UNITED STATES
CANCELLED FOR CANCELLED PER RULE 9553 FAILED TO PAY OUTSTANDING FEES
G
GROUP ONE TRADIN
GROUP ONE TRADING, L.P.
NAME CHANGED TO: GROUP ONE TRADING LLC
GROUP ONE TRADIN
GROUP ONE TRADING LLC
NEW NAME OF: GROUP ONE TRADING, L.P.
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 PROEQUITIES, INC.
INVESTMENT DISTR
TO FORM INVESTMENT DISTRIBUTORS, INC.
ACQUIRED PROTECTIVE EQUITY SERVICES, INC.
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 PROEQUITIES, INC.
INVESTMENT DISTR
TO FORM INVESTMENT DISTRIBUTORS, INC.
ACQUIRED PROTECTIVE EQUITY SERVICES, INC.
INVESTSCURE FINA
INVESTSCURE FINANCING SOLUTIONS
ROCKVILLE, MD, UNITED STATES
CANCELLED FOR NO SEC REGISTRATION
IOI CAPITAL AND
IOI CAPITAL AND MARKETS, LLC
HOUSTON, TX, USA
RESIGNED
IWPF SECURITIES
IWPF SECURITIES LLC
429 LENOX AVENUE, SUITE 403, MIAMI BEACH, FL 33139
828 3RD STREET. SUITE PH3, MIAMI BEACH, FL 33139
ADMITTED
K
KENNEDY LEWIS CA
KENNEDY LEWIS CAPITAL MARKETS LLC
225 LIBERTY STREET, 42ND FLOOR, NEW YORK, NY 10281
ADMITTED
L
LAMON & STERN, I
LAMON & STERN, INC.
ATLANTA, GA, UNITED STATES
RESIGNED
M
M&A CAPITAL HOLD
M&A CAPITAL HOLDINGS, LLC
SOUTHLAKE, TX, USA
RESIGNED
N
NEWCAP PARTNERS,
NEWCAP PARTNERS, INC.
HERMOSA BEACH, CA, UNITED STATES
RESIGNED
NEWEDGE SECURITI
NEWEDGE SECURITIES, INC.
NAME CHANGED TO: NEWEDGE SECURITIES LLC
NEWEDGE SECURITI
NEWEDGE SECURITIES LLC
NEW NAME OF: NEWEDGE SECURITIES, INC.
NUMIS SECURITIES
NUMIS SECURITIES INC.
NAME CHANGED TO: NUMIS SECURITIES LLC
NUMIS SECURITIES
NUMIS SECURITIES LLC
NEW NAME OF: NUMIS SECURITIES INC.
NUMIS SECURITIES
NUMIS SECURITIES LLC
NEW YORK, NY, USA
RESIGNED
O
OSAIC WEALTH, IN
OSAIC WEALTH, INC.
OSAIC WEALTH, IN
INTEGRATED INVESTMENTS, INC.
MERGED AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.
TRIAD FINANCIAL INC.
TRIAD FINANCIAL
TRIAD FINANCIAL GROUP
TO FORM OSAIC WEALTH, INC.
P
PUTNAM RETAIL MA
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP
BOSTON, MA, UNITED STATES
RESIGNED
R
RYAN BROKERAGE S
RYAN BROKERAGE SERVICES, LLC
NAME CHANGED TO: RYAN TAX CAPITAL, LLC
RYAN BROKERAGE S
RYAN TAX CAPITAL, LLC
NEW NAME OF: RYAN BROKERAGE SERVICES, LLC
S
STRATOSPHERE CAP
STRATOSPHERE CAPITAL, LLC
20 2ND STREET, SUITE 2006, JERSEY CITY, NJ 07302
20 2ND STREET, SUITE 2006, UNIT 2006, JERSEY CITY, NJ 07302
ADMITTED
SURETY FINANCIAL
SURETY FINANCIAL SERVICES INC.
WANTAGH, NY, UNITED STATES
RESIGNED
T
TD AMERITRADE CL
TD AMERITRADE CLEARING, INC.
OMAHA, NE, UNITED STATES
RESIGNED
THINKTANKTWO SEC
THINKTANKTWO SECURITIES LLC
NAME CHANGED TO: MMM SECURITIES LLC
THINKTANKTWO SEC
MMM SECURITIES LLC
NEW NAME OF: THINKTANKTWO SECURITIES LLC
TREND TRADE SECU
TREND TRADE SECURITIES LLC
157 S FAIR OAKS AVE., SUITE# 1018, PASADENA, CA 91105
ADMITTED
TRIAD ADVISORS L
TRIAD ADVISORS LLC
ATLANTA, GA, UNITED STATES
RESIGNED
U
U.S. BANCORP INV
CENTRAL INVESTMENT SERVICES, INC.
MERGED PFM FUND DISTRIBUTORS, INC.
PFMAM, INC.
TO FORM U.S. BANCORP INVESTMENTS, INC.
UPSIDE MARKETPLA
UPSIDE MARKETPLACE, LLC
BROOKLYN, NY, UNITED STATES
RESIGNED