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

For the period of 6/1/2024 through 6/30/2024

A

ABOUT CORPORATE
ABOUT CORPORATE FINANCE CORPORATION
NAME CHANGED TO ACF BD LLC

ABOUT CORPORATE
ACF BD LLC
NEW NAME OF ABOUT CORPORATE FINANCE CORPORATION

AGENTIS CAPITAL
AGENTIS CAPITAL MARKETS US, LLC
1820-999 WEST HASTINGS STREET, VANCOUVER, BC V6C 2W2 CANADA
ADMITTED

ALPHA TRADING L.
ALPHA TRADING L.P.
10 ABBA EVEN BOULEVARD, HERZLIYA PITUACH 4672528 ISRAEL
MAILING ADDRESS: 7 YAD HARUTZIM ST., HERTZLIYA 4673004 ISRAEL
ADMITTED

ARIVE CAPITAL MA
ARIVE CAPITAL MARKETS
STATEN ISLAND, NY, UNITED STATES
RESIGNED

ARUNDEL (SECURIT
ARUNDEL (SECURITIES), INC.
WESTLAKE, TX, UNITED STATES
RESIGNED

B

BASEROCK CAPITAL
BASEROCK CAPITAL, LLC
1144 15TH STREET, SUITE 3290, DENVER, CO 80202
ADMITTED

BERCHWOOD PARTNE
BERCHWOOD PARTNERS LLC
NEW YORK, NY, USA
EXPELLED FOR FAILED TO REQUEST TERMINATION OF ITS SUSPENSION WITHIN THREE MONTHS OF THE DATE OF THE NOTICE OF SUSPENSION

BRIGHTCHOICE FIN
BRIGHTCHOICE FINANCIAL, LLC
NAME CHANGED TO TSG CAPITAL ADVISORS

BRIGHTCHOICE FIN
TSG CAPITAL ADVISORS
NEW NAME OF BRIGHTCHOICE FINANCIAL, LLC

BROOKFIELD SECUR
BROOKFIELD SECURITIES LLC
250 VESEY STREET, 15TH FLOOR, NEW YORK, NY 10281
ADMITTED

C

CLASSIC, LLC
CLASSIC, LLC
FARGO, ND
RESIGNED

COGNITIVE CAPITA
COGNITIVE CAPITAL, LLC
141 W JACKSON, # 1620, CHICAGO, IL 60604
ADMITTED

D

DIVERSIFIED SECU
DIVERSIFIED SECURITIES, INCORPORATED
SEAL BEACH, CA, UNITED STATES
RESIGNED

F

FAMILY INVESTORS
FAMILY INVESTORS COMPANY
FANWOOD, NJ, UNITED STATES
RESIGNED

FORVIS CAPITAL A
FORVIS CAPITAL ADVISORS, LLC
NAME CHANGED TO FORVIS MAZARS CAPITAL ADVISORS, LLC

FORVIS CAPITAL A
FORVIS MAZARS CAPITAL ADVISORS, LLC
NEW NAME OF FORVIS CAPITAL ADVISORS, LLC

G

GLOBAL EXECUTION
GLOBAL EXECUTION BROKERS, LP
401 CITY AVENUE, BALA CYNWYD, PA 19004
MAILING ADDRESS: 401 E CITY AVE, SUITE 220, BALA CYNWYD, PA 19004
ADMITTED

H

HANNON ARMSTRONG
HANNON ARMSTRONG SECURITIES, LLC
NAME CHANGED TO HASI SECURITIES, LLC

HANNON ARMSTRONG
HASI SECURITIES, LLC
NEW NAME OF HANNON ARMSTRONG SECURITIES, LLC

HCFP/CAPITAL MAR
HCFP/CAPITAL MARKETS LLC
NEW YORK, NY, USA
RESIGNED

HEADLANDS TECHNO
HEADLANDS TECHNOLOGIES SECURITIES, LLC
110 N. WACKER DRIVE, 54TH FLOOR, CHICAGO, IL 60606
MAILING ADDRESS: 155 N. WACKER DRIVE; SUITE 1900, CHICAGO, IL 60606
ADMITTED

K

KBC SECURITIES U
KBC SECURITIES USA LLC
NEW YORK, NY, UNITED STATES
RESIGNED

KWM SECURITIES L
KWM SECURITIES LLC
500 N. FRANKLIN TPKE, SUITE 104, RAMSEY, NJ 07446
ADMITTED

L

LAURENTIAN CAPIT
LAURENTIAN CAPITAL (USA) INC
MONTREAL, CANADA
RESIGNED

LESTE USA
LESTE USA
MIAMI, FL, UNITED STATES
RESIGNED

LIATI CAPITAL, L
LIATI CAPITAL, LLC
NEW YORK, NY, USA
EXPELLED FOR THE FIRM FAILED TO REQUEST TERMINATION OF ITS SUSPENSION WITHIN THREE MONTHS OF THE DATE OF THE NOTICE OF SUSPENSION

LINCOLN FINANCIA
LINCOLN FINANCIAL ADVISORS CORPORATION
NAME CHANGED TO OSAIC FA, INC.

LINCOLN FINANCIA
OSAIC FA, INC.
NEW NAME OF LINCOLN FINANCIAL ADVISORS CORPORATION

M

MELVIN SECURITIE
MELVIN SECURITIES, L.L.C.
CHICAGO, IL, UNITED STATES
EXPELLED FOR FIRM FAILED TO REQUEST TERMINATION OF ITS SUSPENSION WITHIN THREE MONTHS OF THE DATE OF THE NOTICE OF SUSPENSION

O

OLIMPIA PARTNERSV OLIMPIA PARTNERS (USA) LLC
LOS ANGELES, CA, UNITED STATES
RESIGNED

OSAIC WEALTH, IN
INTEGRATED INVESTMENTS, INC.
TO FORM OSAIC WEALTH, INC.

OSAIC WEALTH, IN
INTEGRATED INVESTMENTS, INC.
SECURITIES AMERICA, INC.
WILLIAMS, WILD & LARSON SECURITIES, INC.
TMG SECURITIES, INC.
MERGED TYMAN SECURITIES, INC.
TO FORM OSAIC WEALTH, INC.

P

PAYWARD EQUITIES
PAYWARD EQUITIES LLC
200 EAST LAS OLAS BLVD, 14TH FLOOR, FORT LAUDERDALE, FL 33301-2299
MAILING ADDRESS: 9736 RENNES LN, DELRAY BEACH, FL 33446
ADMITTED

PLUM CAPITAL, LL
PLUM CAPITAL, LLC
W. BLOOMFIELD, MI
RESIGNED

S

SECURITIES CAPIT
SECURITIES CAPITAL CORPORATION
BIRMINGHAM, AL, UNITED STATES
EXPELLED FOR FAILED TO REQUEST TERMINATION OF ITS SUSPENSION WITHIN THREE MONTHS OF THE DATE OF THE NOTICE OF SUSPENSION

SPOKE REAL ESTAT
SPOKE REAL ESTATE FINANCIAL, LLC
COLUMBUS, OH, UNITED STATES
RESIGNED

SWARTWOOD, HESSE
SWARTWOOD, HESSE INC.
NEW YORK, NY, UNITED STATES
RESIGNED

SUSQUEHANNA INVE
SUSQUEHANNA INVESTMENT GROUP
401 CITY AVE. STE 220, BALA CYNWYD, PA 19004-1122
MAILING ADDRESS: 401 CITY LINE AVENUE-SUITE 220, BALA CYNWYD, PA 19004-1122
ADMITTED

SUSQUEHANNA SECU
SUSQUEHANNA SECURITIES, LLC
401 CITY AVE STE 220, BALA CYNWYD, PA 19004-1122
MAILING ADDRESS: 401 CITY AVE, SUITE 220, BALA CYNWYD, PA 19004-1122
ADMITTED

T

TELLSON SECURITI
TELLSON SECURITIES
JACKSONVILLE, FL, UNITED STATES
EXPELLED FOR FAILED TO REQUEST TERMINATION OF ITS SUSPENSION WITHIN THREE MONTHS OF THE DATE OF THE NOTICE OF SUSPENSION

TFS SECURITIES,
TFS SECURITIES, INC.
NAME CHANGED TO WORLD INVESTMENTS, INC.

TFS SECURITIES,
WORLD INVESTMENTS, INC.
NEW NAME OF TFS SECURITIES, INC.

TIFIN DISTRIBUTI
TIFIN DISTRIBUTION PARTNERS
BOULDER, CO, UNITED STATES
RESIGNED

TTBD, LLC TTBD, LLC 850 THIRD AVENUE, 15TH FLOOR, NEW YORK, NY 10022
MAILING ADDRESS: 1 SOUTH WACKER DRIVE, CHICAGO, IL 60606
ADMITTED

W

WEISS MULTI-STRA
WEISS MULTI-STRATEGY FUNDS LLC
NEW YORK, NY
RESIGNED

X

XR SECURITIES LL
XR SECURITIES LLC
550 WEST JACKSON BOULEVARD, #1000, CHICAGO, IL 60661-5704
ADMITTED