For the period of 3/1/2025 through 3/31/2025AAMBIT AMERICA INAMBIT AMERICA INC.NEW YORK, NY, USARESIGNEDARCHSTONE CAPITAARCHSTONE CAPITAL, LLCWASHINGTON, DC, UNITED STATESRESIGNED ARCVIEW CAPITAL,ARCVIEW CAPITAL, LLCNAME CHANGED TO: ARCSTONE SECURITIES LLCARCVIEW CAPITAL,ARCSTONE SECURITIES LLCNEW NAME OF: ARCVIEW CAPITAL, LLCATM EXECUTION LLATM EXECUTION
VALDES & MORENO, INC.819 MAIN STREET, ROOM 304, PARKVILLE, MO 64152VALIC FINANCIAL ADVISORS, INC.2919 ALLEN PARKWAY, L3-20, HOUSTON, TX 77019-2158VALIDATE CAPITAL MARKETS, LLC505 PARK AVENUE, 14TH FLOOR, NEW YORK, NY 10022VALKYRIE EQUITIES CORPORATION14455 WEBB CHAPEL ROAD, SUITE 201, DALLAS, TX 75234VALLEY FINANCIAL MANAGEMENT, INC.350 MADISON AVE., 4TH FLOOR, COMPLIANCE DEPARTMENT, NEW
J K R & COMPANY, INC.7145 WOODLEY AVE, VAN NUYS, CA 91406J. ALDEN ASSOCIATES, INC.37 WEST AVE, SUITE 301, WAYNE, PA 19087Mailing Address: 37 WEST AVE, SUITE 300, WAYNE, PA 19087J. D. SEIBERT & COMPANY, INC.20 WEST 9TH STREET, CINCINNATI, OH 45202-2024J. STREICHER & CO. L.L.C.28 LIBERTY STREET 6TH FLOOR, NEW YORK, NY 10005J. WOOD CAPITAL ADVISORS LLC1820 CALISTOGA ROAD,
For the period of 4/1/2025 through 4/30/2025AALIRA HEALTH TRAALIRA HEALTH TRANSACTION SERVICES, LLCNAME CHANGED TO: KADENWOOD CAPITAL, LLCALIRA HEALTH TRAKADENWOOD CAPITAL, LLCNEW NAME OF: ALIRA HEALTH TRANSACTION SERVICES, LLCAMERICAN ENTERPRAMERICAN ENTERPRISE INVESTMENT SERVICES INC.AMERIPRISE FINANCIAL SERVICES, LLCAMERIPRISE FINANCIAL SERVICES, INC.AMERICAN EXPRESS FINANCIAL ADVISORS INC.IDS
U. S. BOSTON CAPITAL CORPORATIONLINCOLN NORTH, LINCOLN, MA 01773Mailing Address: 55 OLD BEDFORD ROAD, SUITE 202, LINCOLN, MA 01773U.S. BANCORP ADVISORS, LLC800 N BRAND BLVD., 16TH FLOOR, GLENDALE, CA 91203U.S. BANCORP INVESTMENTS, INC.60 LIVINGSTON AVENUE, EP-MN-N2WC, SAINT PAUL, MN 55107Mailing Address: 60 LIVINGSTON AVENUE, EP-MN-N2WC, SAINT PAUL, MN 55107U.S. BROKERAGE, INC.17 E KOSSUTH ST,
Capital Acquisition Brokers (CABs) are firms that engage in a limited range of activities, which can include advising companies and private equity funds on capital raising and corporate restructuring and acting as placement agents for the sale of unregistered securities to institutional investors under limited conditions. CABs are not permitted, among other things, to carry or maintain customer
The following are former funding portal members of FINRA.Amplify Funding, LLCSEC File No.: 7-222330 E Liberty StAnn Arbor, MI 48104Avonto, LLCSEC File No.: 7-802435 E. North Street, Ste. 1108-178Greenville, SC 29615Bananafina LLC.SEC File No.: 7-2351065 NE 125th Street, Suite 300North Miami, FL 33161BaseNote LLCSEC File No.: 7-315340 S Lemon Avenue, #9290Walnut, CA 91789Bioverge Portal, LLCSEC
X-CHANGE FINANCIAL ACCESS, LLC222 W ADAMS STREET SUITE 450, CHICAGO, IL 60606XLII FINANCIAL SERVICES LLC10023 APPLE CREEK DRIVE, DALLAS, TX 75243XML SECURITIES6901 ROCKLEDGE DRIVE, SUITE 730, BETHESDA, MD 20817XMS CAPITAL PARTNERS, LLC321 N CLARK STREET, SUITE 2440, CHICAGO, IL 60654XNERGY FINANCIAL LLC1801 CENTURY PARK EAST, 25TH FLOOR, LOS ANGELES, CA 90067XP INVESTMENTS US, LLC55 WEST 46TH
Q ADVISORS LLC999 18TH STREET, SUITE 2015, DENVER, CO 80202QATALYST PARTNERS LP3 EMBARCADERO CENTER, SUITE 1500, SAN FRANCISCO, CA 94111QUADRIGA SECURITIES, LLC44 COOK STREET, SUITE 255, DENVER, CO 80206QUANTITATIVE BROKERS, LLC285 MADISON AVENUE, SUITE 1700, NEW YORK, NY 10017QUANTLAB BROKERAGE, LLC3 GREENWAY PLAZA, SUITE 200, HOUSTON, TX 77046QUANTRIVER FINANCIAL, LLC6430 PLANTATION PARK COURT
A crowdfunding intermediary must register with the Securities and Exchange Commission (SEC) as a broker or as a funding portal and become a member of a national securities association (FINRA). The following crowdfunding intermediaries are registered with the SEC as funding portals and are funding portal members of FINRA.Learn more about funding portals.For broker-dealer firms, view the Broker
