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

For the period of 7/1/2024 through 7/31/2024

A

ACRISURE RE CORP
ACRISURE RE CORPORATE ADVISORY & SOLUTIONS, LLC
1 LIBERTY PLAZA, NEW YORK, NY 10006
ADMITTED

ACRISURE RE CORP
ACRISURE RE CORPORATE ADVISORY & SOLUTIONS LLC
NAME CHANGED TO ACRISURE RE CORPORATE ADVISORY & SOLUTIONS, LLC

ACRISURE RE CORP
ACRISURE RE CORPORATE ADVISORY & SOLUTIONS, LLC
NEW NAME OF ACRISURE RE CORPORATE ADVISORY & SOLUTIONS LLC

AMERICAN FUNDS D
AMERICAN FUNDS DISTRIBUTORS, INC.
NAME CHANGED TO CAPITAL CLIENT GROUP, INC.

AMERICAN FUNDS D
CAPITAL CLIENT GROUP, INC.
NEW NAME OF AMERICAN FUNDS DISTRIBUTORS, INC.

ASPIRATION FINAN ASPIRATION FINANCIAL LLC

MARINA DEL REY, CA, UNITED STATES
RESIGNED

B

BAKKT BROKERAGE,
BAKKT BROKERAGE, LLC
ALPHARETTA, GA
EXPELLED FOR THE FIRM FAILED TO REQUEST TERMINATION OF ITS SUSPENSION WITHIN THREE MONTHS OF THE DATE OF THE NOTICE OF SUSPENSION

BEEKMAN SECURITI
BEEKMAN SECURITIES, INC.
GREENWICH, CT, UNITED STATES
RESIGNED

BELVEDERE TRADIN
BELVEDERE TRADING LLC
10 S RIVERSIDE PLAZA, SUITE 2100, CHICAGO, IL 60606
MAILING ADDRESS: 10 S. RIVERSIDE PLAZA, SUITE 2100, CHICAGO, IL 60606
ADMITTED

BRIGHT TRADING,
BRIGHT TRADING, LLC
10521 JEFFREYS STREET, SUITE 121, HENDERSON, NV 89052
MAILING ADDRESS: 4850 HARRISON DRIVE, LAS VEGAS, NV 89121
ADMITTED

BRONSON FINANCIA
BRONSON FINANCIAL LLC
IRVINE, CA, UNITED STATES
RESIGNED

C

CBOE PRIVATE MAR
CBOE PRIVATE MARKETS
60 BROAD ST., SUITE 2404, NEW YORK, NY 10004
MAILING ADDRESS: 60 BROAD ST. 24TH FLOOR #1606, NEW YORK, NY 10004
ADMITTED

CIRRUS RESEARCH,
CIRRUS RESEARCH, LLC
NEW YORK, NY, UNITED STATES
RESIGNED

CLEAR STREET MAR
CLEAR STREET MARKETS LLC
NAME CHANGED TO SUMMIT SECURITIES GROUP LLC

CLEAR STREET MAR
SUMMIT SECURITIES GROUP LLC
NEW NAME OF CLEAR STREET MARKETS LLC

CONSENSYS DIGITA
CONSENSYS DIGITAL SECURITIES LLC
NAME CHANGED TO CDS1 SECURITIES LLC

CONSENSYS DIGITA
CDS1 SECURITIES LLC
NEW NAME OF CONSENSYS DIGITAL SECURITIES LLC

CUATRO CAPITAL S
CUATRO CAPITAL SECURITIES LLC
1959 CALLE LOIZA, SUITE 203, SAN JUAN, PR 00911
ADMITTED

E

EMERGING MANAGER
EMERGING MANAGER ADVISORS LLC
JERSEY CITY, NJ
RESIGNED

ESAE CAPITAL PAR
ESAE CAPITAL PARTNERS, LLC
NAME CHANGED TO APSEC CAPITAL PARTNERS, LLC

ESAE CAPITAL PAR
APSEC CAPITAL PARTNERS, LLC
NEW NAME OF ESAE CAPITAL PARTNERS, LLC

F

FENICS EXECUTION
FENICS EXECUTION, LLC
NAME CHANGED TO FMX EXECUTION, LLC

FENICS EXECUTION
FMX EXECUTION, LLC
NEW NAME OF FENICS EXECUTION, LLC

FORTRESS WEALTH
FORTRESS WEALTH SOLUTIONS LLC
1345 AVENUE OF THE AMERICAS, 45TH FLOOR, NEW YORK, NY 10105
ADMITTED

FRANKLIN DISTRIB
LATINVALLEY SECURITIES LLC
MERGED PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP
PUTNAM RETAIL MANAGEMENT, INC.
PUTNAM MUTUAL FUNDS CORP.
PUTNAM FINANCIAL SERVICES, INC.
PUTNAM/EBERSTADT FINANCIAL SERVICES, INC.
PUTNAM FUND DISTRIBUTORS, INC.
TO FORM FRANKLIN DISTRIBUTORS, LLC

G

GRASSROOTS ANALY
GRASSROOTS ANALYTICS CAPITAL RAISE LLC
WASHINGTON, DC, UNITED STATES
RESIGNED

GROUP ONE TRADIN
GROUP ONE TRADING, L.P.
425 S FINANCIAL PLACE, SUITE 3400, CHICAGO, IL 60605
MAILING ADDRESS: 440 S. LASALLE STREET, SUITE 3232, CHICAGO, IL 60605
ADMITTED

H

HALES SECURITIES
HALES SECURITIES, LLC
NEW YORK, NY, USA
RESIGNED

HAP TRADING, LLC
HAP TRADING, LLC
395 HUDSON STREET, 10TH FLOOR, NEW YORK, NY 10014
MAILING ADDRESS: 395 HUDSON STREET, SUITE 701, NEW YORK, NY 10014
ADMITTED

HASI SECURITIES,
HASI SECURITIES, LLC
NAME CHANGED TO HASI SECURITIES LLC

HASI SECURITIES,
HASI SECURITIES LLC
NEW NAME OF HASI SECURITIES, LLC

I

I-BANKERS DIRECT
I-BANKERS DIRECT, LLC
BOCA RATON, FL, UNITED STATES
EXPELLED FOR FAILED TO REQUEST TERMINATION OF ITS SUSPENSION WITHIN THREE MONTHS OF THE DATE OF THE NOTICE OF SUSPENSION

IFAST SECURITIES
IFAST SECURITIES US CORPORATION
18 SOUTH 2ND STREET, #126, SAN JOSE, CA 95113
MAILING ADDRESS: 10 COLLYER QUAY, #26-01 OCEAN FINANCIAL CENTRE, SINGAPORE 049315
ADMITTED

IGM BROKERAGE
IGM BROKERAGE
RALEIGH, NC, UNITED STATES
RESIGNED

IMC SECURITIES L
IMC SECURITIES LLC
233 SOUTH WACKER DRIVE, #4300, CHICAGO, IL 60606
MAILING ADDRESS: 425 S. FINANCIAL PLACE, SUITE 1075, CHICAGO, IL 60605
ADMITTED

ITINERANT-GPS US
ITINERANT-GPS US, LLC
201 SHIPYARD WAY, SUITE F, NEWPORT BEACH, CA 92663
ADMITTED

I(X) SECURITIES,
I(X) SECURITIES, LLC
NAME CHANGED TO BLUE DIAMOND SECURITIES OF AMERICA LLC

I(X) SECURITIES,
BLUE DIAMOND SECURITIES OF AMERICA LLC
NEW NAME OF I(X) SECURITIES, LLC

J

JANE STREET OPTI
JANE STREET OPTIONS, LLC
250 VESEY STREET, NEW YORK, NY 10281
MAILING ADDRESS: 250 VESEY STREET, NEW YORK, NY 10281
ADMITTED

JUMP TRADING, LL
JUMP TRADING, LLC
600 WEST CHICAGO AVENUE, SUITE 600, CHICAGO, IL 60654
MAILING ADDRESS: 600 W. CHICAGO #825, CHICAGO, IL 60654
ADMITTED

K

KA ASSOCIATES, I
KA ASSOCIATES, INC.
NAME CHANGED TO KA ASSOCIATES, LLC

KA ASSOCIATES, I
KA ASSOCIATES, LLC
NEW NAME OF KA ASSOCIATES, INC.

KARBONE CAPITAL
KARBONE CAPITAL MARKETS, LLC
NEW YORK, NY, USA
RESIGNED

L

LAFISE SECURITIE
LAFISE SECURITIES CORPORATION
NAME CHANGED TO LAFISE SECURITIES LLC

LAFISE SECURITIE
LAFISE SECURITIES LLC
NEW NAME OF LAFISE SECURITIES CORPORATION

LIBERUM
LIBERUM
NAME CHANGED TO PANMURE LIBERUM INC

LIBERUM
PANMURE LIBERUM INC
NEW NAME OF LIBERUM

M

MULTIPLE FINANCI
MULTIPLE FINANCIAL SERVICES, INC.
SAN JUAN CAPISTRANO, CA, USA
RESIGNED

O

OPTIVER US LLC
OPTIVER US LLC
130 E. RANDOLPH STREET, SUITE 800, CHICAGO, IL 60601
MAILING ADDRESS: 130 E. RANDOLPH STREET, SUITE 1400, CHICAGO, IL 60601
ADMITTED

OTCEX, LLC
OTCEX, LLC
NEW YORK, NY, UNITED STATES
RESIGNED

P

PARK PLACE CAPIT
PARK PLACE CAPITAL SECURITIES CORP.
2728 19TH PLACE SOUTH, SUITE 160, HOMEWOOD, AL 35209
ADMITTED

PROFESSIONAL BRO
PROFESSIONAL BROKER-DEALER FINANCIAL PLANNING, INC.
CASTLE ROCK, CO, UNITED STATES
RESIGNED

PUNDION LLC
PUNDION LLC
230 PARK AVENUE, 4TH FLOOR, NEW YORK, NY 10169
ADMITTED

R

RAPHAEL ARYEH AN
RAPHAEL ARYEH AND ASSOCIATES
FLUSHING, NY, UNITED STATES
EXPELLED FOR THE FIRM FAILED TO REQUEST TERMINATION OF ITS SUSPENSION WITHIN THREE MONTHS OF THE DATE OF THE NOTICE OF SUSPENSION

RCH SECURITIES
RCH SECURITIES
CHARLOTTE, NC, USA
RESIGNED

S

STOCKSHIELD, LLC
STOCKSHIELD, LLC
PASADENA, CA, USA
RESIGNED

SUMMIT SECURITIE
SUMMIT SECURITIES GROUP LLC
55 BROADWAY, SUITE 2102, NEW YORK, NY 10006
MAILING ADDRESS: 55 BROADWAY, STE 2102, NEW YORK, NY 10006
ADMITTED

SUMO CAPITAL, LL
SUMO CAPITAL, LLC
425 S. FINANCIAL PLACE, 15TH FLOOR, CHICAGO, IL 60605
MAILING ADDRESS: 190 S. LASALLE ST., SUITE 1620, CHICAGO, IL 60603
ADMITTED

SYMPHONIC SECURI
SYMPHONIC SECURITIES LLC
NEW YORK, NY
RESIGNED

T

TD AMERITRADE, I
TD AMERITRADE, INC.
OMAHA, NE, UNITED STATES
RESIGNED

V

VALUABLE CAPITAL
VALUABLE CAPITAL SECURITIES
NAME CHANGED TO TICKRS CLEARING

VALUABLE CAPITAL
TICKRS CLEARING
NEW NAME OF VALUABLE CAPITAL SECURITIES

W

WILLIAM K. WOODR
WILLIAM K. WOODRUFF & CO., LLC
DALLAS, TX, UNITED STATES
RESIGNED

WOLVERINE TRADIN
WOLVERINE TRADING, LLC
175 W JACKSON, SUITE 200, CHICAGO, IL 60604
MAILING ADDRESS: 175 W. JACKSON SUITE 200, CHICAGO, IL 60604
ADMITTED

X

X-CHANGE FINANCI
X-CHANGE FINANCIAL ACCESS, LLC
222 W ADAMS STREET SUITE 450, CHICAGO, IL 60606
MAILING ADDRESS: 440 S. LASSALLE, SUITE 2900, CHICAGO, IL 60605
ADMITTED