Changes to List of Broker-Dealer Firms We Regulate

For the period of 8/1/2024 through 8/31/2024

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22V SECURITIES L
22V SECURITIES LLC
15 ROCKAWAY AVENUE, GARDEN CITY, NY 11530
ADMITTED

360 ONE INC.
360 ONE INC.
1120 AVENUE OF THE AMERICAS, SUITE 4027, NEW YORK, NY 10036
ADMITTED

A

ACERVUS SECURITI
ACERVUS SECURITIES, INC.
NEW YORK, NY, UNITED STATES
RESIGNED

ACRETRADER FINAN
ACRETRADER FINANCIAL, LLC
FAYETTEVILLE, AR, UNITED STATES
RESIGNED

ALL OPTIONS USA,
ALL OPTIONS USA, LLC
114 W 7TH ST, SUITE 1200, AUSTIN, TX 78701
MAILING ADDRESS: KLOVENIERSBURGWAL 87, AMSTERDAM 1011KA
ADMITTED

B

BLUEFIN CAPITAL
BLUEFIN CAPITAL MANAGEMENT, LLC
41 MADISON AVENUE, 36TH FLOOR, NEW YORK, NY 10010
MAILING ADDRESS: 3 PARK AVENUE, 37TH FL, NEW YORK, NY 10016
ADMITTED

BOURNEHILL INVES
BOURNEHILL INVESTMENT SERVICES, INC.
UNIONDALE, NY, UNITED STATES
EXPELLED FOR EXPELLED PER RULE 9552 - FAILED TO FILE ITS 2023 ANNUAL AUDIT REPORT

C

CHAPWOOD SECURIT
CHAPWOOD SECURITIES, INC.
PLANO, TX, USA
RESIGNED

CNS SECURITIES,
CNS SECURITIES, LLC
SHERMAN, TX
RESIGNED

COLLINS/BAY ISLA
COLLINS/BAY ISLAND SECURITIES, LLC
FRANKLIN, TN, USA
RESIGNED

D

DEEP ATS LLC
DEEP ATS LLC
AUSTIN, TX, UNITED STATES
CANCELED FOR NO SEC REGISTRATION

E

ELSEWARE FINANCI
ELSEWARE FINANCIAL SERVICES LLC
37 W 39TH ST #1004, NEW YORK, NY 10018
ADMITTED

ERUDITE TRADING
ERUDITE TRADING LLC
800 BRICKELL AVENUE, SUITE 200-201, MIAMI, FL 33131
MAILING ADDRESS: 1030 N ROGERS LN, STE 121 #5169, RALEIGH, NC 27610
ADMITTED

F

FED MUTUAL FINAN
FED MUTUAL FINANCIAL SERVICES, INC.
RIVERWOODS, IL, UNITED STATES
RESIGNED

FINANCIAL GOAL S
FINANCIAL GOAL SECURITIES, INC.
RANCHO MIRAGE, CA, USA
RESIGNED

F/M DISTRIBUTORS
F/M DISTRIBUTORS, LLC
BOSTON, MA, UNITED STATES
RESIGNED

FR TRADING LLC
FR TRADING LLC
225 LIBERTY STREET, 30TH FLOOR, NEW YORK, NY 10281
MAILING ADDRESS: LIBERTY STREET, 225, NEW YORK, NY 10281
ADMITTED

M

MERCADIEN CAPITA
MERCADIEN CAPITAL ADVISORS, LLC
HAMILTON, NJ, UNITED STATES
CANCELED FOR NO SEC REGISTRATION

MILLINGTON INVES
MILLINGTON INVESTMENTS, LLC
NAPERVILLE, IL
RESIGNED

O

OBJECTIVE EQUITY
OBJECTIVE EQUITY, LLC
NAME CHANGED TO: ARC GROUP SECURITIES LLC

OBJECTIVE EQUITY
ARC GROUP SECURITIES LLC
NEW NAME OF: OBJECTIVE EQUITY, LLC

OSAIC WEALTH, IN
INTEGRATED INVESTMENTS, INC.
MERGED TRIAD ADVISORS LLC
TRIAD ADVISORS, INC.
MAKEFIELD ASSET MANAGEMENT, INC
IMB SECURITIES, INC.
MAKEFIELD ASSET MANAGEMENT INC.
IMB INC.
HEBCO INC.
TO FORM OSAIC WEALTH, INC.

P

PACIFIC CURRENT
PACIFIC CURRENT GROUP
TACOMA, WA, UNITED STATES
RESIGNED

PARX TRADING, LL
PARX TRADING, LLC
675 W 59TH ST, SUITE 1010, NEW YORK, NY 10019
ADMITTED

PEAK6 CAPITAL MA
PEAK6 CAPITAL MANAGEMENT LLC
141 W. JACKSON BLVD.,, SUITE 500, CHICAGO, IL 60604
MAILING ADDRESS: 141 W. JACKSON BLVD., SUITE 500, CHICAGO, IL 60604
ADMITTED

PEAK6 TRADING LL
PEAK6 TRADING LLC
NAME CHANGED TO: ALL TIME ATS

PEAK6 TRADING LL
ALL TIME ATS
NEW NAME OF: PEAK6 TRADING LLC

PETER ELISH INVE
PETER ELISH INVESTMENTS SECURITIES
NAME CHANGED TO: DOO FINANCIAL US, INC.

PETER ELISH INVE
DOO FINANCIAL US, INC.
NEW NAME OF: PETER ELISH INVESTMENTS SECURITIES

PROVENANCE CAPIT
PROVENANCE CAPITAL SERVICES LLC
NORTHBROOK, IL, UNITED STATES
RESIGNED

S

SECURITIES AMERI
SECURITIES AMERICA, INC.
LAVISTA, NE, UNITED STATES
RESIGNED

SINE QUA NON CAP
SINE QUA NON CAPITAL LLC
9736 RENNES LN, DELRAY BEACH, FL 33446
ADMITTED

SOUTHERN WEALTH
SOUTHERN WEALTH SECURITIES, LLC
DALLAS, TX
RESIGNED

T

TM CAPITAL LLC
TM CAPITAL LLC
ATLANTA, GA, UNITED STATES
RESIGNED

TMF INVESTMENTS
TMF INVESTMENTS
ALEXANDRIA, VA, UNITED STATES
RESIGNED

TRADE BRIDGE CAP
TRADE BRIDGE CAPITAL LLC
NAME CHANGED TO: SAVILE CAPITAL MARKETS LLC

TRADE BRIDGE CAP
SAVILE CAPITAL MARKETS LLC
NEW NAME OF: TRADE BRIDGE CAPITAL LLC

T.S. PHILLIPS IN
T.S. PHILLIPS INVESTMENTS, INC.
OKLAHOMA CITY, OK, USA
RESIGNED

U

UPHORIZON, LLC
UPHORIZON, LLC
10250 CONSTELLATION BLVD, SUITE 2300, LOS ANGELES, CA 90067
MAILING ADDRESS: 4356 ALLOTT AVE, SHERMAN OAKS, CA 91423
ADMITTED

USA FINANCIAL SE
USA FINANCIAL SECURITIES CORPORATION
NAME CHANGED TO: USA FINANCIAL SECURITIES LLC

USA FINANCIAL SE
USA FINANCIAL SECURITIES LLC
NEW NAME OF: USA FINANCIAL SECURITIES CORPORATION

W

WILTON RE DISTRI
WILTON RE DISTRIBUTORS LLC
4840 N. RIVER BLVD NE, SUITE 400, CEDAR RAPIDS, IA 52411
MAILING ADDRESS: 20 GLOVER AVENUE, 4TH FLOOR, NORWALK, CT 06850
ADMITTED