Previous Month Changes to List of Broker-Dealer Firms We Regulate

For the period of 9/1/2024 through 9/30/2024

A

ARCHITECT SECURI
ARCHITECT SECURITIES LLC
1904 VERNON STREET, LAKE WORTH BEACH, FL 33460
ADMITTED

C

CAPFI PARTNERS L
CAPFI PARTNERS LLC
NEW YORK, NY, UNITED STATES
RESIGNED

CBOE PRIVATE MAR
CBOE PRIVATE MARKETS
NAME CHANGED TO: GLOBACAP PRIVATE MARKETS INC.

CBOE PRIVATE MAR
GLOBACAP PRIVATE MARKETS INC.
NEW NAME OF: CBOE PRIVATE MARKETS

COUGHLIN & COMPA
COUGHLIN & COMPANY, INC.
DENVER, CO, UNITED STATES
RESIGNED

F

FLOWW PRIVATE MA
FLOWW PRIVATE MARKETS US
4 MATTHEW PARKER ST, 2ND FLOOR, LONDON SW1H 9NP UNITED KINGDOM
MAILING ADDRESS: MYO, 123 VICTORIA ST, LONDON, UNITED KINGDOM SW1E 6DE ENGLAND
ADMITTED

FRONTIER ONE LLC
FRONTIER ONE LLC
1154 PINE STREET, WINNETKA, IL 60093
ADMITTED

FRONTIER ONE
FRONTIER ONE
NAME CHANGED TO: FRONTIER ONE LLC

FRONTIER ONE
FRONTIER ONE LLC
NEW NAME OF: FRONTIER ONE

G

GALICIA CAPITAL
GALICIA CAPITAL US, LLC
1395 BRICKELL AVE, SUITE 950, MIAMI, FL 33131
MAILING ADDRESS: 801 US HWY 1, NORTH PALM BEACH, FL 33408
ADMITTED

H

HEG SECURITIES,
HEG SECURITIES, LLC
660 STEAMBOAT ROAD, 4TH FLOOR, GREENWICH, CT 06830
MAILING ADDRESS: 545 INDIAN FIELD ROAD, GREENWICH, CT 06830
ADMITTED

I

IKONA PARTNERS
IKONA PARTNERS
SAN FRANCISCO, CA, UNITED STATES
RESIGNED

J

JBH FINANCIAL IN
JBH FINANCIAL INC.
CEDAR PARK, TX, UNITED STATES
RESIGNED

M

MENKE CAPITAL CO
MENKE CAPITAL CORPORATION
NAME CHANGED TO: BAINBRIDGE CAPITAL SECURITIES, INC.

MENKE CAPITAL CO
BAINBRIDGE CAPITAL SECURITIES, INC.
NEW NAME OF: MENKE CAPITAL CORPORATION

O

OCTAURA SECURITI
OCTAURA SECURITIES TRADINGCO LLC
NAME CHANGED TO: OCTAURA SECURITIES

OCTAURA SECURITI
OCTAURA SECURITIES
NEW NAME OF: OCTAURA SECURITIES TRADINGCO LLC

OPEN LANE CAPITA
OPEN LANE CAPITAL ADVISORS, LLC
7170 BRIAR COVE DR., DALLAS, TX 75254
MAILING ADDRESS: 100 CRESCENT COURT, SUITE 700, DALLAS, TX 75201
ADMITTED

OSHIMA & ASSOCIA
OSHIMA & ASSOCIATES
BOSTON, MA, UNITED STATES
RESIGNED

S

SECONDRE MARKETS
SECONDRE MARKETS LLC
NAME CHANGED TO: USREM SECURITIES LLC

SECONDRE MARKETS
USREM SECURITIES LLC
NEW NAME OF: SECONDRE MARKETS LLC

SGP SECURITIES,
SGP SECURITIES, LLC
31 HUDSON YARDS, 11TH FLOOR, NEW YORK, NY 10001
ADMITTED

SIERRA PACIFIC S
SIERRA PACIFIC SECURITIES, LLC
LAS VEGAS, NV
RESIGNED

T

TLS FINANCIAL SE
TLS FINANCIAL SERVICES, INC.
TOWSON, MD, UNITED STATES
RESIGNED

TORINO CAPITAL L
TORINO CAPITAL LLC
NEW YORK, NY, USA
RESIGNED

TZERO DIGITAL AS
TZERO DIGITAL ASSET SECURITIES, LLC
30 MONTGOMERY ST, SUITE 330, JERSEY CITY, NJ 07302
MAILING ADDRESS: 30 MONTGOMERY, SUITE 330, JERSEY CITY, NJ 07302
ADMITTED

W

WOODWARD PARK SE
WOODWARD PARK SECURITIES, LLC
74 WEST LONG LAKE RD, SUITE 205, BLOOMFIELD HILLS, MI 48304
MAILING ADDRESS: 74 WEST LONG LAKE RD, SUITE 205, BLOOMFIELD, MI 48304
ADMITTED