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Broker Dealer Firms We Regulate - #

&PARTNERS
40 BURTON HILLS BLVD., SUITE 350, NASHVILLE, TN 37215

1031 SECURITIES INC.
25300 WEST 13 MILE RD, FRANKLIN, MI 48025

16 POINTS LLC
10101 COND ROYAL PALM, VEGA ALTA, PR 00692

1851 SECURITIES, INC
ONE AMERICAN ROW, HARTFORD, CT 06102

1964 GLOBAL
71 MURRAY STREET, NO. 8, NEW YORK, NY 10007

1ST DISCOUNT BROKERAGE, INC.
8927 HYPOLUXO ROAD, SUITE A5, LAKE WORTH, FL 33467

2021 CAPITAL
20 S CLARK STREET, STE 700, CHICAGO, IL 60603

22V SECURITIES LLC
15 ROCKAWAY AVENUE, GARDEN CITY, NY 11530

Broker Dealer Firms We Regulate - Y

YELLOW CARDINAL CORPORATE FINANCE, LLC
300 HIGH STREET,, SUITE 700, HAMILTON, OH 45011

YORK SECURITIES, INC.
160 BROADWAY, NEW YORK, NY 10038

YORK STOCKBROKERS, INC.
477 MADISON AVENUE, SUITE 643, NEW YORK, NY 10022

YORKVILLE SECURITIES, LLC
1012 SPRINGFIELD AVE, MOUNTAINSIDE, NJ 07092

YOSEMITE EXECUTION PARTNERS INC.
409 READ DR., LAFAYETTE, CA 94549

YOUNG & PARTNERS LLC
535 FIFTH AVENUE, 4TH FLOOR, NEW YORK, NY 10017

YOUNG AMERICA CAPITAL, LLC
141 EAST BOSTON POST ROAD, MAMARONECK, NY 10543

Broker Dealer Firms We Regulate - X

X-CHANGE FINANCIAL ACCESS, LLC
222 W ADAMS STREET SUITE 450, CHICAGO, IL 60606

XIDAR SECURITIES LLC
353 NORTH CLARK ST, SUITE 1600, CHICAGO, IL 60654

XLII FINANCIAL SERVICES LLC
10023 APPLE CREEK DRIVE, DALLAS, TX 75243

XML SECURITIES
6901 ROCKLEDGE DRIVE, SUITE 730, BETHESDA, MD 20817

XMS CAPITAL PARTNERS, LLC
321 N CLARK STREET, SUITE 2440, CHICAGO, IL 60654

XNERGY FINANCIAL LLC
1801 CENTURY PARK EAST, 25TH FLOOR, LOS ANGELES, CA 90067

XORRO LLC
5 SANTA FE CT., TOMS RIVER, NJ 08757

Broker Dealer Firms We Regulate - W

W CAMPION CAPITAL LLC
3401 N MIAMI AVENUE, SUITE 230, MIAMI, FL 33127

W G SECURITIES, LLC
10 N MAIN ST, SUITE 214, WEST HARTFORD, CT 06107

W&S BROKERAGE SERVICES, INC.
400 BROADWAY, CINCINNATI, OH 45202
Mailing Address: 400 BROADWAY, MS-03, CINCINNATI, OH 45202

W.G. NIELSEN & CO.
3200 CHERRY CREEK DRIVE SOUTH, SUITE 470, DENVER, CO 80209

WACHTEL & CO., INC.
1701  K  STREET, NW     SUITE 615, WASHINGTON, DC 20006

Broker Dealer Firms We Regulate - V

VALDES & MORENO, INC.
819 MAIN STREET, ROOM 304, PARKVILLE, MO 64152

VALIC FINANCIAL ADVISORS, INC.
2919 ALLEN PARKWAY, L3-20, HOUSTON, TX 77019-2158

VALIDATE CAPITAL MARKETS, LLC
505 PARK AVENUE, 14TH FLOOR, NEW YORK, NY 10022

VALKYRIE EQUITIES CORPORATION
14455 WEBB CHAPEL ROAD, SUITE 201, DALLAS, TX 75234

VALLEY FINANCIAL MANAGEMENT, INC.
350 MADISON AVE., 4TH FLOOR, COMPLIANCE DEPARTMENT, NEW YORK, NY 10017

VALLEY NATIONAL INVESTMENTS, INC.
1655 VALLEY CENTER PARKWAY, SUITE 100, BETHLEHEM, PA 18017

Broker Dealer Firms We Regulate - U

U. S. BOSTON CAPITAL CORPORATION
LINCOLN NORTH, LINCOLN, MA 01773
Mailing Address: 55 OLD BEDFORD ROAD, SUITE 202, LINCOLN, MA 01773

U.S. BANCORP ADVISORS, LLC
60 LIVINGSTON AVE, EP-MN-N2WC, ST. PAUL, MN 55107

U.S. BANCORP INVESTMENTS, INC.
60 LIVINGSTON AVENUE, EP-MN-N2WC, SAINT PAUL, MN 55107
Mailing Address: 60 LIVINGSTON AVENUE, EP-MN-N2WC, SAINT PAUL, MN 55107

U.S. BROKERAGE, INC.
6250 SHILOH RD, STE 30, ROOM 4, ALPHARETTA, GA 30005

Broker Dealer Firms We Regulate - T

T CAPITAL FUNDING, LLC
600 NORTHLAKE BOULEVARD, SUITE 175, ALTAMONTE SPRINGS, FL 32701

T. E. LAIRD SECURITIES, LLC
79 OTIS AVENUE, ST. PAUL, MN 55104

T. ROWE PRICE INVESTMENT SERVICES, INC.
1307 POINT STREET, BALTIMORE, MD 21231

T.R. WINSTON & COMPANY, LLC
376 MAIN STREET, BEDMINSTER, NJ 07921-2613
Mailing Address: P.O. BOX 74, 376 MAIN STREET, BEDMINSTER, NJ 07921

T3 TRADING GROUP, LLC
88 PINE STREET, 23RD FLOOR, NEW YORK, NY 10005

TAG CAPITAL PARTNERS
275 MADISON AVE, 30TH FLOOR, NEW YORK, NY 10016

Broker Dealer Firms We Regulate - S

S. GOLDMAN ADVISORS, LLC
599 LEXINGTON AVENUE, 35TH FLOOR, NEW YORK, NY 10022

S.G. LONG & COMPANY
283 WEST FRONT SUITE 302, SUITE 302, MISSOULA, MT 59802-4328
Mailing Address: 283 WEST FRONT SUITE 302, MISSOULA, MT 59802-4328

S.L. REED & COMPANY
11111 SANTA MONICA BOULEVARD, SUITE 1200, LOS ANGELES, CA 90025-3346

S2K FINANCIAL LLC
9145 NARCOOSSEE ROAD, SUITE 207, ORLANDO, FL 32827

SABADELL SECURITIES USA, INC.
1111 BRICKELL AVENUE, 30TH FLOOR, MIAMI, FL 33131

SABLE CAPITAL LLC
6 CARDINAL WAY, SUITE 801, ST. LOUIS, MO 63102

Broker Dealer Firms We Regulate - R

R. F. LAFFERTY & CO., INC.
40 WALL STREET, SUITE 3602, NEW YORK, NY 10005

R. SEELAUS & CO., LLC
26 MAIN STREET, SUITE 300, CHATHAM, NJ 07928

R.M. DUNCAN SECURITIES, INC.
10201 W MARKHAM ST, SUITE 219, LITTLE ROCK, AR 72205

R.M. STARK & CO., INC.
730 S FEDERAL HWY, LAKE WORTH BEACH, FL 33460-4955

R.W. SMITH & ASSOCIATES, LLC
111 TOWN SQUARE PLACE, STE 1500, JERSEY CITY, NJ 07310

RA CAPITAL ADVISORS LLC
11988 EL CAMINO REAL, SUITE 350, SAN DIEGO, CA 92130