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Broker Dealer Firms We Regulate - K

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

K2 CAPITAL ASSET MANAGEMENT, LLC
150 MOTOR PARKWAY SUITE 228, HAUPPAUGE, NY 11788

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

KADENWOOD CAPITAL, LLC
250 PARK AVENUE 7TH FLOOR, NEW YORK, NY 10177

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

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
1301 AVENUE OF THE AMERICAS, 16TH FLOOR, NEW YORK, NY 10019

Broker Dealer Firms We Regulate - I

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

IA GLOBAL CAPITAL LLC
101 PARK AVENUE, 38TH FLOOR, NEW YORK CITY, NY 10178
Mailing Address: 244 MADISON AVENUE, #385, NEW YORK CITY, NY 10016

IAFF-FC INVESTMENTS LLC
1750 NEW YORK AVENUE NW, SUITE 300, WASHINGTON, DC 20006

IASG ALTERNATIVES, LLC
141 WEST JACKSON BLVD, SUITE 1940, CHICAGO, IL 60604

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.
130 WEST 42ND STREET, FL 18, NEW YORK, NY 10036

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

GA CAPITAL MARKETS BD, LLC
2646 NW CORNELL ROAD, PORTLAND, OR 97210

GA PCCV BD, LLC
239 JASMINE ST, TAVERNIER, FL 33070

Broker Dealer Firms We Regulate - F

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
32 N BRYN MAWR AVE, SUITE 200, BRYN MAWR, PA 19010

FAR HILLS GROUP, LLC.
747 3RD AVENUE, 30TH FLOOR, NEW YORK, NY 10017

Broker Dealer Firms We Regulate - E

E&J SECURITIES CORP.
C/O ACCOUNTING & COMPLIANCE INTERNATIONAL, 199 WATER STREET, 9TH FL, NEW YORK, NY 10038

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

E.F. HUTTON & CO. LLC
745 FIFTH AVENUE, 34TH FLOOR & PH, NEW YORK, NY 10151

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

EAGLE POINT SECURITIES LLC
600 STEAMBOAT ROAD, SUITE 202, GREENWICH, CT 06830

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. BORAL CAPITAL
590 MADISON AVE, 39TH FLOOR, NEW YORK, NY 10022

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.
TWO MANHATTAN WEST, 375 NINTH AVENUE, 52ND FLOOR, NEW YORK, NY 10001

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

Broker Dealer Firms We Regulate - C

C&C TRADING L.L.C.
35 MASON STREET, 4TH FLOOR, GREENWICH, CT 06830

C. L. KING & ASSOCIATES, INC.
NINE ELK STREET, ALBANY, NY 12207

C.R. LLOYD INVESTMENT SERVICES, LLC
150 E 4TH PLACE, SUITE 600, SIOUX FALLS, SD 57104

C2M SECURITIES, LLC
7315 THREE CHOPT ROAD, RICHMOND, VA 23226

CABIN SECURITIES, INC.
6240 W 135TH STREET, SUITE 214, OVERLAND PARK, KS 66223

CABOT LODGE SECURITIES LLC
425 N MARTINGALE RD, SUITE 1220, SCHAUMBURG, IL 60173

CABRERA CAPITAL MARKETS, LLC
227 W. MONROE ST., SUITE 3000, CHICAGO, IL 60606