Previous Month Changes to List of Broker-Dealer Firms We Regulate
For the period of 4/1/2024 through 4/30/2024
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7M SECURITIES, L
7M SECURITIES, LLC
CHARLOTTE, NC, USA
RESIGNED
A
ABEL NOSER, LLC.
ABEL NOSER, LLC.
NAME CHANGED TO: ANOS CAPITAL, LLC
ABEL NOSER, LLC.
ANOS CAPITAL, LLC
NEW NAME OF: ABEL NOSER, LLC.
AFL-CIO ITC FINA
AFL-CIO ITC FINANCIAL, LLC
WASHINGTON, DC, UNITED STATES
RESIGNED
ALTI STRATEGIC A
ALTI STRATEGIC ADVISORY (US) BD, LLC
NEW YORK, NY, UNITED STATES
RESIGNED
AMERICAS EXECUTI
AMERICAS EXECUTIONS, LLC
NAME CHANGED TO: LUCID CAPITAL MARKETS, LLC
AMERICAS EXECUTI
LUCID CAPITAL MARKETS, LLC
NEW NAME OF: AMERICAS EXECUTIONS, LLC
ATFS MARKETS
ATFS MARKETS
LOS ANGELES, CA, UNITED STATES
RESIGNED
C
C&C TRADING L.L.
C&C TRADING L.L.C.
35 MASON STREET, 4TH FLOOR, GREENWICH, CT 06830
MAILING ADDRESS: 111 BROADWAY, SUITE 808, NEW YORK, NY 10006
ADMITTED
CAPITAL CONNECT,
CAPITAL CONNECT, LLC
191 SILVER MOSS DRIVE, VERO BEACH, FL 32963
MAILING ADDRESS: 115 TRINITY HOLLOW DRIVE, CANTON, GA 30115
ADMITTED
CENTER STREET SE
CENTER STREET SECURITIES, INC.
NASHVILLE, TN, UNITED STATES
RESIGNED
D
DEVON PARK SECUR
DEVON PARK SECURITIES, LLC
12012 SOUTH SHORE BOULEVARD, SUITE 201, WELLINGTON, FL 33414
ADMITTED
E
EDG CAPITAL LLC
EDG CAPITAL LLC
1775 PROSPECTOR, PARK CITY, UT 84060
ADMITTED
F
FIFTH WALL SECUR
FIFTH WALL SECURITIES, LP
3455 PEACHTREE ROAD NE, SUITE 500, ATLANTA, GA 30326
ADMITTED
FOREST ROAD SECU
FOREST ROAD SECURITIES
LOS ANGELES, CA, CA, UNITED STATES
RESIGNED
G
GENEVA STOCK, L.
GENEVA STOCK, L.L.C.
4973 BOULDERS DRIVE, GURNEE, IL 60031
MAILING ADDRESS: 440 S. LASALLE ST, # 2321, CHICAGO, IL 60605
ADMITTED
H
HINES SECURITIES
HINES SECURITIES, INC.
NAME CHANGED TO: HINES PRIVATE WEALTH SOLUTIONS LLC
HINES SECURITIES
HINES PRIVATE WEALTH SOLUTIONS LLC
NEW NAME OF: HINES SECURITIES, INC.
HUDSON EXECUTIVE
HUDSON EXECUTIVE SECURITIES LLC
NEW YORK, NY, UNITED STATES
RESIGNED
J
JAVELIN SECURITI
JAVELIN SECURITIES, LLC
COHASSET, MA, USA
RESIGNED
L
LPL FINANCIAL LL
LPL FINANCIAL LLC
CROWN CAPITAL SECURITIES, L.P.
ERIC EQUITIES, INC.
LUCID CAPITAL MA
LUCID CAPITAL MARKETS LLC.
NAME CHANGED TO: LUCID CAPITAL MARKETS, LLC
LUCID CAPITAL MA
LUCID CAPITAL MARKETS, LLC
NEW NAME OF: LUCID CAPITAL MARKETS LLC.
M
MARATHON TRADING
MARATHON TRADING GROUP LLC
100 MATSONFORD ROAD, BLDG 2, SUITE 107, WAYNE, PA 19087
MAILING ADDRESS: C/O MARATHON TRADING INVESTMENT MANAGEMENT, LLC
100 MATSONFORD RD; BLDG 2; STE 107, WAYNE, PA 19087
ADMITTED
N
NEBARI SECURITIE
NEBARI SECURITIES, LLC
NAME CHANGED TO: OMEGA POINT SECURITIES LLC
NEBARI SECURITIE
OMEGA POINT SECURITIES LLC
NEW NAME OF: NEBARI SECURITIES, LLC
NORTHVIEW CAPITA
NORTHVIEW CAPITAL PARTNERS LLC
NAME CHANGED TO: NORTHVIEW ADVISORS LLC
NORTHVIEW CAPITA
NORTHVIEW ADVISORS LLC
NEW NAME OF: NORTHVIEW CAPITAL PARTNERS LLC
O
ONQIX SECURITIES
ONQIX SECURITIES LLC
1121 PALMETTO AVENUE, PACIFICA, CA 94044
ADMITTED
P
PALMETTO ADVISOR
PALMETTO ADVISORY GROUP
NAME CHANGED TO: PALMETTO ADVISORY GROUP, LLC
PALMETTO ADVISOR
PALMETTO ADVISORY GROUP, LLC
NEW NAME OF: PALMETTO ADVISORY GROUP
PFAL SECURITIES,
PFAL SECURITIES, INC.
384 TENNESSEE AVE, MILL VALLEY, CA 94941
MAILING ADDRESS: 751 E BLITHEDALE AVENUE #2036, MILL VALLEY, CA 94942
ADMITTED
PRAXESS SECURITI
PRAXESS SECURITIES, LLC.
NAME CHANGED TO: PRAXESS SECURITIES, LLC
PRAXESS SECURITI
PRAXESS SECURITIES, LLC
NEW NAME OF: PRAXESS SECURITIES, LLC.
PUBLIC VENTURES,
PUBLIC VENTURES, LLC
NAME CHANGED TO: MDB CAPITAL
PUBLIC VENTURES,
MDB CAPITAL
NEW NAME OF: PUBLIC VENTURES, LLC
R
REDSWAN MARKETS,
REDSWAN MARKETS, LLC
8121 BROADWAY, SUITE 301, HOUSTON, TX 77061
ADMITTED
S
SEMINARIO SECURI
SEMINARIO SECURITIES
95 MERRICK WAY, SUITE 516, CORAL GABLES, FL 33134
ADMITTED
SIMPLEX TRADING,
SIMPLEX TRADING, LLC
230 S. LASALLE STREET, SUITE 08-500, CHICAGO, IL 60604
MAILING ADDRESS: 230 S LASALLE ST., SUITE 4-100, SUITE 4-100, CHICAGO, IL 60604
ADMITTED
T
TRIUMPH CAPITAL
TRIUMPH CAPITAL MARKETS, LLC
150 NORTH RIVERSIDE PLAZA, SUITE 5200, CHICAGO, IL 60606
ADMITTED
TWO SIGMA EXECUT
TWO SIGMA EXECUTION SERVICES, LLC
100 AVENUE OF THE AMERICAS, 2ND FLOOR, NEW YORK, NY 10013
ADMITTED
V
VESTFI INC.
VESTFI INC.
MIAMI, FL, UNITED STATES
RESIGNED
X
XTON FINANCIAL L
XTON FINANCIAL LLC
NEW YORK, NY, USA
RESIGNED
Z
ZOE SECURITIES L
ZOE SECURITIES LLC
666 THIRD AVE, 6TH FLOOR, NEW YORK, NY 10017
MAILING ADDRESS: 666 3RD AVE, 6TH FLOOR, NEW YORK, NY 10017
ADMITTED