Skip to main content

Broker Dealer Firms We Regulate - M

M FINANCIAL SECURITIES MARKETING, INC.
1125 NW COUCH STREET, SUITE 900, PORTLAND, OR 97209

M HOLDINGS SECURITIES, INC.
1125 N.W. COUCH STREET, SUITE 900, PORTLAND, OR 97209
Mailing Address: P.O. BOX 2207, PORTLAND, OR 97208-2207

M SHARE CAPITAL LLC
200 BRANNAN ST, NO.443, SAN FRANCISCO, CA 94107

M STEVENS SECURITIES, LLC
100 PACIFICA, SUITE 475, IRVINE, CA 92618

M&A CAPITAL HOLDINGS, LLC
704 WINDING RIDGE TRAIL, SOUTHLAKE, TX 76092

M&A SECURITIES GROUP, INC.
4151 N. MULBERRY DRIVE, SUITE 252, KANSAS CITY, MO 64116

Broker Dealer Firms We Regulate - L

L. B. FISHER & COMPANY
16924 PRESTON BEND DRIVE, DALLAS, TX 75248
Mailing Address: 16924 PRESTON BEND DRIVE, SUITE 3050, DALLAS, TX 75248

L.J. HART AND COMPANY
8000 FORSYTH BLVD, ST. LOUIS, MO 63105
Mailing Address: 8000 FORSYTH BLVD, CLHART, ST. LOUIS, MO 63105

L.M. KOHN & COMPANY
10151 CARVER RD., SUITE 100, CINCINNATI, OH 45242

L.O. THOMAS & CO. INC.
LINWOOD COMMONS-SUITE A-6, 2106 NEW ROAD, LINWOOD, NJ 08221
Mailing Address: LINWOOD COMMMONS-SUITE A-6, 2106 NEW ROAD PO BOX 293, LINWOOD, NJ 08221

Broker Dealer Firms We Regulate - K

K CAPITAL LLC
805 THIRD AVENUE, FLOOR 14, NEW YORK, NY 10022

K. W. CHAMBERS & CO.
7800 FORSYTH, 5TH FLOOR, CLAYTON, MO 63105

KA ASSOCIATES, INC.
2121 AVENUE OF THE STARS, 9TH FLOOR, LOS ANGELES, CA 90067

KAHN BROTHERS LLC
555 MADISON AVENUE, SUITE 1303, NEW YORK, NY 10022-3301

KAL CAPITAL MARKETS LLC
3738 BAYER AVENUE SUITE 103, LONG BEACH, CA 90808

KALORAMA CAPITAL, LLC
1718 22ND ST NW, WASHINGTON, DC 20008

KAPITALL GENERATION, LLC
301 CONGRESS AVE., SUITE 2200, AUSTIN, TX 78701

Broker Dealer Firms We Regulate - J

J K R & COMPANY, INC.
7145 WOODLEY AVE, VAN NUYS, CA 91406

J. ALDEN ASSOCIATES, INC.
37 WEST AVE, SUITE 301, WAYNE, PA 19087
Mailing Address: 37 WEST AVE, SUITE 300, WAYNE, PA 19087

J. D. SEIBERT & COMPANY, INC.
20 WEST 9TH STREET, CINCINNATI, OH 45202-2024

J. STREICHER & CO. L.L.C.
28 LIBERTY STREET 6TH FLOOR, NEW YORK, NY 10005

J. WOOD CAPITAL ADVISORS LLC
1820 CALISTOGA ROAD, SANTA ROSA, CA 95404

J.C. FLOWERS SECURITIES CO. LLC
767 FIFTH AVENUE, 23RD FLOOR, NEW YORK, NY 10153

Broker Dealer Firms We Regulate - I

I(X) SECURITIES, LLC
216 EAST 45TH STREET, SUITE 1302, NEW YORK, NY 10017
Mailing Address: 484 E CARMEL DR, #137, CARMEL, IN 46032

I-BANKERS DIRECT, LLC
1200 N FEDERAL HWY, SUITE 215, BOCA RATON, FL 33432

I-BANKERS SECURITIES, INC.
1200 N FEDERAL HWY, SUITE 215, BOCA RATON, FL 33432

I5EQUITY
1700 MONTGOMERY STREET, SUITE 108, SAN FRANCISCO, CA 94111
Mailing Address: 1700 MONTGOMERY ST, SUITE 108, SAN FRANCISCO, CA 94111

Broker Dealer Firms We Regulate - H

H & L EQUITIES, LLC
1175 PEACHTREE ST., NE, SUITE 2200, ATLANTA, GA 30361-6206

H. C. DENISON CO.
618 NORTH 7TH STREET, SHEBOYGAN, WI 53081
Mailing Address: P.O. BOX 28, SHEBOYGAN, WI 53082-0028

H.C.WAINWRIGHT & CO., LLC
430 PARK AVENUE, 4TH FLOOR, NEW YORK, NY 10022

HAITONG INTERNATIONAL SECURITIES (USA) INC.
452 FIFTH AVENUE, 23RD FLOOR, NEW YORK, NY 10018

HALEY SECURITIES, INC.
8712 WEST DODGE ROAD STE. 402, OMAHA, NE 68114

HALIFAX AMERICA LLC
5900 SEPULVEDA BLVD #304, SHERMAN OAKS, CA 91411

Broker Dealer Firms We Regulate - G

G. A. REPPLE & COMPANY
101 NORMANDY RD, CASSELBERRY, FL 32707

G.DISTRIBUTORS, LLC
ONE CORPORATE CENTER, RYE, NY 10580-1435

G.RESEARCH, LLC
ONE CORPORATE CENTER, RYE, NY 10580-1435

G.W. SHERWOLD ASSOCIATES, INC
22994 EL TORO ROAD, LAKE FOREST, CA 92630

G1 EXECUTION SERVICES, LLC
175 W. JACKSON BLVD., SUITE 1700, CHICAGO, IL 60604

GAGNON SECURITIES, LLC
1370 AVENUE OF THE AMERICAS, 26TH FLOOR, NEW YORK, NY 10019

GALAXY DIGITAL PARTNERS LLC
300 VESEY STREET, 13TH FLOOR, NEW YORK, NY 10282

Broker Dealer Firms We Regulate - F

F/M DISTRIBUTORS, LLC
111 HUNTINGTON AVENUE, BOSTON, MA 02199

FAIRMOUNT PARTNERS LP
555 EAST LANCASTER AVENUE, SUITE 640, RADNOR, PA 19087

FAIRPORT CAPITAL, INC.
9141 E. HIDDEN SPUR TRAIL, SCOTTSDALE, AZ 85255

FAIRVIEW SECURITIES, INC.
154 LONG LOTS ROAD, WESTPORT, CT 06880

FALCON SQUARE CAPITAL, LLC
3701 LAKE BOONE TRAIL, SUITE 100, RALEIGH, NC 27607

FALLBROOK CAPITAL SECURITIES CORP.
26610 AGOURA ROAD, SUITE 120, CALABASAS, CA 91302

FALLS BRIDGE SECURITIES, LLC
ONE BALA PLAZA, SUITE 617, BALA CYNWYD, PA 19004

Broker Dealer Firms We Regulate - E

E&J SECURITIES CORP.
C/O ACCOUNTING & COMPLIANCE INTERNATIONAL, 77 WATER STREET, SUITE 1604, NEW YORK, NY 10005
Mailing Address: C/O ACCOUNTING & COMPLIANCE INTERNATIONAL, 77 WATER STREET, SUITE 1604, NEW YORK, NY 10005

E. E. POWELL & COMPANY INC.
200 NORTHPOINTE CIRCLE, SUITE 304, SEVEN FIELDS, PA 16046

E.K. WALLACE SECURITIES LLC
25 WEST 13TH STREET, APT. 1AN, NEW YORK, NY 10011

E.L.K. CAPITAL ADVISORS, LLC
200 ROBIN DRIVE, SARASOTA, FL 34236
Mailing Address: 200 ROBIN DRIVE, SARASOTA, FL 34236

Broker Dealer Firms We Regulate - D

D-MERC SERVICES
375 BALSAM ST, LAKEWOOD, CO 80226

D. B. MCKENNA & CO., INC.
207 WEST MAIN STREET, BENNINGTON, VT 05201-2108

D.A. DAVIDSON & CO.
8 THIRD STREET NORTH, GREAT FALLS, MT 59401-3104
Mailing Address: P.O. BOX 5015, GREAT FALLS, MT 59403-5015

D.E. SHAW SECURITIES, L.L.C.
1166 AVENUE OF THE AMERICAS, 9TH FLOOR, NEW YORK, NY 10036

D.H. HILL SECURITIES, LLLP
1543 GREEN OAK PLACE, SUITE 100, KINGWOOD, TX 77339

D.M. KELLY & COMPANY
3900 INGERSOLL AVENUE, SUITE 300, DES MOINES, IA 50312