Changes to List of Broker-Dealer Firms We Regulate

For the period of 5/1/2024 through 5/31/2024

A

AEC TRANSACTION
AEC TRANSACTION SERVICES LLC
28 WEST 44TH ST, SUITE 815, NEW YORK, NY 10036
ADMITTED

AKUNA SECURITIES
AKUNA SECURITIES LLC
333 S. WABASH AVE., SUITE 2600, CHICAGO, IL 60604
MAILING ADDRESS: 36 S. WABASH, SUITE 310, CHICAGO, IL 60603
ADMITTED

ALLIO CAPITAL
ALLIO CAPITAL
NAME CHANGED TO: ALLIO MARKETS, LLC

ALLIO CAPITAL
ALLIO MARKETS, LLC
NEW NAME OF: ALLIO CAPITAL

ARKAP MARKETS, L
ARKAP MARKETS, LLC
2827 PEACHTREE ROAD, SUITE 510, ATLANTA, GA 30305
ADMITTED

ASPEN ALPINE CAP
ASPEN ALPINE CAPITAL LLC
66 GRAND STREET, #5, NEW YORK, NY 10013-2263
ADMITTED

AXOM PARTNERS LL
AXOM PARTNERS LLC
3451 N. TRIUMPH BLVD, SUITE 100, LEHI, UT 84043
MAILING ADDRESS: 2989 W MAPLE LOOP DRIVE, SUITE 200, LEHI, UT 84043
ADMITTED

B

BEEHIVE TRADING,
BEEHIVE TRADING, LLC
25 BROADWAY, 10 TH FL, SUITE 1046, NEW YORK, NY 10004
MAILING ADDRESS: 50 BRIDGE PARK DRIVE, APT. 14A, BROOKLYN, NY 11201
ADMITTED

BRP SECURITIES,
BRP SECURITIES, LLC
NAME CHANGED TO: THE BALDWIN GROUP SECURITIES, LLC

BRP SECURITIES,
THE BALDWIN GROUP SECURITIES, LLC
NEW NAME OF: BRP SECURITIES, LLC

C

CADZ SECURITIES
CADZ SECURITIES INC
309 BONTONA AVENUE, FT LAUDERDALE, FL 33301
ADMITTED

CASEY SECURITIES
CASEY SECURITIES LLC
100 DRAKES LANDING ROAD, BUILDING 100A - 2ND FLOOR SUITE 210, GREENBRAE, CA
94904
MAILING ADDRESS: ONE MONTGOMERY ST, STE 200, SAN FRANCISCO, CA 94104
ADMITTED

CHARLES SCHWAB &
CHARLES SCHWAB & CO., INC.
TD AMERITRADE, INC.
TD WATERHOUSE INVESTOR SERVICES, INC.
MERGED TD WATERHOUSE INVESTOR  SERVICES, INC.
WATERHOUSE SECURITIES, INC.
TO FORM CHARLES SCHWAB & CO., INC.

CHIMERA SECURITI
CHIMERA SECURITIES, LLC
27 UNION SQUARE WEST, 4TH FLOOR, NEW YORK, NY 10003
MAILING ADDRESS: 27 UNION SQUARE WEST, 4TH FLOOR, NEW YORK, NY 10003
ADMITTED

CTC, LLC
CTC, LLC
425 S. FINANCIAL PLACE, 4TH FLOOR, CHICAGO, IL 60605
MAILING ADDRESS: 440 S LASALLE ST, SUITE 400, CHICAGO, IL 60605
ADMITTED

E

EIDE BAILLY SECU
EIDE BAILLY SECURITIES, LLC
FARGO, ND, USA
RESIGNED

EMMET & CO, INC.
EMMET & CO, INC.
FAR HILLS, NJ, UNITED STATES
RESIGNED

ENTRUSTODY FINAN
ENTRUSTODY FINANCIAL, LLC
BOSTON, MA, UNITED STATES
RESIGNED

F

FE CAPITAL MARKE
FE CAPITAL MARKETS
75 ROCKEFELLER PLAZA, 19TH FLOOR, NEW YORK, NY 10019
MAILING ADDRESS: 75 ROCKEFELLER PLAZA, SUITE 16C, NEW YORK, NY 10019
ADMITTED

H

H2C SECURITIES I
H2C SECURITIES INC.
ATLANTA, GA, UNITED STATES
RESIGNED

HOULIHAN LOKEY A
HOULIHAN LOKEY ADVISORS, LLC
SAN FRANCISCO, CA
RESIGNED

HP SECURITIES, I
HP SECURITIES, INC.
NAME CHANGED TO: SNOWBALL CAPITAL LLC

HP SECURITIES, I
SNOWBALL CAPITAL LLC
NEW NAME OF: HP SECURITIES, INC.

J

JUMPSTART SECURI
JUMPSTART SECURITIES, LLC
ATLANTA, GA, USA
RESIGNED

L

LATOUR TRADING L
LATOUR TRADING LLC
148 LAFAYETTE, 11TH FLOOR, NEW YORK, NY 10013
MAILING ADDRESS: 377 BROADWAY, 11TH FLOOR, NEW YORK, NY 10013
ADMITTED

LINCOLN FINANCIA
LINCOLN FINANCIAL DISTRIBUTORS, INC.
LINCOLN FINANCIAL ADVISORS CORPORATION

LPL FINANCIAL LL
LPL FINANCIAL LLC
CROWN CAPITAL SECURITIES, L.P.
ERIC EQUITIES, INC.

M

MAVERICK DERIVAT
MAVERICK DERIVATIVES
WORLD TRADE CENTER, STRAWINSKYLAAN 1941, AMSTERDAM 1077XX NETHERLANDS
MAILING ADDRESS: WORLD TRADE CENTER, STRAWINSKYLAAN 1941, AMSTERDAM, NORTH HOLLAND 1077XX, NL
NETHERLANDS
ADMITTED

O

OLD MISSION CAPI
OLD MISSION CAPITAL, LLC
1 N. DEARBORN ST., 8TH FLOOR, CHICAGO, IL 60602
ADMITTED

P

PAINTER, SMITH A
PAINTER, SMITH AND AMBERG INC.
REDLANDS, CA, UNITED STATES
RESIGNED

PRIME CAPITAL MA
PRIME CAPITAL MARKETS, LLC
425 S. FINANCIAL PLACE, STE 3160, CHICAGO, IL 60605
ADMITTED

T

TSX ALPHA U.S.,
TSX ALPHA U.S., INC.
140 BROADWAY, 46TH FLOOR, NEW YORK, NY 10005
MAILING ADDRESS: 140 BROADWAY, 46TH FLOOR,, NEW YORK, NY 10005
ADMITTED

U

UBS ASSET MANAGE
TO FORM UBS ASSET MANAGEMENT (US) INC.
ACQUIRED CREDIT SUISSE SECURITIES (USA) LLC

UBS ASSET MANAGE
TO FORM UBS ASSET MANAGEMENT (US) INC.
ACQUIRED CREDIT SUISSE FIRST BOSTON LLC

UBS ASSET MANAGE
TO FORM UBS ASSET MANAGEMENT (US) INC.
ACQUIRED CREDIT SUISSE FIRST BOSTON CORPORATION

UBS ASSET MANAGE
TO FORM UBS ASSET MANAGEMENT (US) INC.
ACQUIRED CS FIRST BOSTON CORPORATION

UBS ASSET MANAGE
TO FORM UBS ASSET MANAGEMENT (US) INC.
ACQUIRED CS FIRST BOSTON CORPORATION

V

VCEXPRESS FINANC
VCEXPRESS FINANCIAL LTD
PORT JEFFERSON STA, NY, UNITED STATES
CANCELED FOR FOR FAILURE TO PAY OUTSTANDING FEES.

W

WALLEYE TRADING
WALLEYE TRADING LLC
2800 NIAGARA LANE NORTH, PLYMOUTH, MN 55447
MAILING ADDRESS: 2800 NIAGARA LANE N., PLYMOUTH, MN 55447
ADMITTED

WAY MAKER REAL E
WAY MAKER REAL ESTATE PARTNERS, LLC
603 E. BROADWAY STREET, PROSPER, TX 75078
ADMITTED

X

XTX MARKETS LLC
XTX MARKETS LLC
50 HUDSON YARDS, 64TH FLOOR, NEW YORK, NY 10001
MAILING ADDRESS: 40TH FLOOR, 10 HUDSON YARDS, NEW YORK, NY 10001
ADMITTED