Changes to List of Broker-Dealer Firms We Regulate

For the period of 12/1/2024 through 12/31/2024

A

ALL TIME ATS
ALL TIME ATS
NAME CHANGED TO: BRUCE MARKETS LLC

ALL TIME ATS
BRUCE MARKETS LLC
NEW NAME OF: ALL TIME ATS

AMERICAN PORTFOL
AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.
HOLBROOK, NY, UNITED STATES
RESIGNED

AVIDITI FINANCIA
AVIDITI FINANCIAL, LLC
DALLAS, TX, UNITED STATES
RESIGNED

B

BOREALIS CAPITAL
BOREALIS CAPITAL LLC
NAME CHANGED TO: DREAM STREET SECURITIES, LLC

BOREALIS CAPITAL
DREAM STREET SECURITIES, LLC
NEW NAME OF: BOREALIS CAPITAL LLC

C

CAPITAL GROWTH A
CAPITAL GROWTH ADVISORS LLC
NEW YORK, NY, UNITED STATES
RESIGNED

CAPITAL SUISSE L
CAPITAL SUISSE LLC
SEATTLE, WA, USA
RESIGNED

CARTA CAPITAL MA
CARTA CAPITAL MARKETS, LLC
NEW YORK, NY, UNITED STATES
RESIGNED

CARTY, HARDING,
CARTY, HARDING, & HEARN, INC.
NAME CHANGED TO: CARTY, HARDING & HEARN, INC.

CARTY, HARDING,
CARTY, HARDING & HEARN, INC.
NEW NAME OF: CARTY, HARDING, & HEARN, INC.

COOMBE FINANCIAL
COOMBE FINANCIAL SERVICES, INC.
ELLENVILLE, NY, UNITED STATES
RESIGNED

CULLEN INVESTMEN
CULLEN INVESTMENT GROUP, LTD.
LAFAYETTE, LA, UNITED STATES
RESIGNED

D

DOMINION INVESTO
DOMINION INVESTOR SERVICES, INC.
MARBLE FALLS, TX, UNITED STATES
RESIGNED

DYNAMIC CAPITAL
DYNAMIC CAPITAL INVESTMENTS, LLC
PHOENIX, AZ, UNITED STATES
RESIGNED

E

ESTRADA HINOJOSA
ESTRADA HINOJOSA & COMPANY, INC.
DALLAS, TX, UNITED STATES
RESIGNED

F

FIRST TURN SECUR
FIRST TURN SECURITIES LLC
4 EAST SHERIDAN AVE, SUITE 300, OKLAHOMA CITY, OK 73104
ADMITTED

FOG EQUITIES LLC
FOG EQUITIES LLC
NAME CHANGED TO: FCF SECURITIES AND DERIVATIVES LLC

FOG EQUITIES LLC
FCF SECURITIES AND DERIVATIVES LLC
NEW NAME OF: FOG EQUITIES LLC

FORO CAPITAL MAR
FORO CAPITAL MARKETS, LLC
CHARLOTTE, NC, UNITED STATES
RESIGNED

I

INSIGNEO SECURIT
HENCORP, INC. AND THE BECSTONE GROUP, INC.
INSIGNEO INTERNATIONAL FINANCIAL SERVICES LLC
MERGED CITI INTERNATIONAL FINANCIAL SERVICES LLC
CITICORP FINANCIAL SERVICES CORPORATION
TO FORM INSIGNEO SECURITIES, LLC

J

JP PORTSMOUTH CA
JP PORTSMOUTH CAPITAL LLC
1 WORLD TRADE CENTER, SUITE 86A, NEW YORK, NY 10007-0089
ADMITTED

M

MUTUAL TRUST COM
MUTUAL TRUST COMPANY OF AMERICA SECURITIES
ST. PETERSBURG, FL, UNITED STATES
RESIGNED

P

PAYWARD EQUITIES
PAYWARD EQUITIES LLC
NAME CHANGED TO: KRAKEN SECURITIES

PAYWARD EQUITIES
KRAKEN SECURITIES
NEW NAME OF: PAYWARD EQUITIES LLC

PFM FUND DISTRIB
PFM FUND DISTRIBUTORS, INC.
HARRISBURG, PA, USA
RESIGNED

T

TCC SECURITIES,
TCC SECURITIES, LLC
CHICAGO, IL, USA
RESIGNED

TD SECURITIES (U
TD SECURITIES (USA) LLC
MERGE COWEN AND COMPANY
COWEN AND COMPANY, LLC
COWEN & CO., LLC
SG COWEN & CO., LLC
SG COWEN SECURITIES CORPORATION
SOCIETE GENERALE SECURITIES CORPORATION
SOGEN SECURITIES CORPORATION
HUDSON SECURITIES, INC.
TO FORM TD SECURITIES (USA) LLC

TZERO MARKETS
TZERO MARKETS
JERSEY CITY, NJ, UNITED STATES
RESIGNED

U

UMB DISTRIBUTION
UMB DISTRIBUTION SERVICES, LLC
NAME CHANGED TO: DISTRIBUTION SERVICES, LLC

UMB DISTRIBUTION
DISTRIBUTION SERVICES, LLC
NEW NAME OF: UMB DISTRIBUTION SERVICES, LLC