| Company Name |
Form Type |
SEC Filings |
|
|
|
|
QUADRIGA SECURITIES, LLC
|
X-17A-5
|
|
|
MANULIFE JOHN HANCOCK BROKERAGE SERVICES LLC
|
X-17A-5
|
|
|
CAPITAL & ESTATE MANAGEMENT, INC.
|
X-17A-5
|
|
|
FENNEBRESQUE & CO., LLC
|
X-17A-5
|
|
|
RISE FINANCIAL SERVICES, LLC
|
X-17A-5
|
|
|
ALLEN, MOONEY & BARNES BROKERAGE SERVICES, LLC
|
X-17A-5
|
|
|
KINECTA FINANCIAL & INSURANCE SERVICES, LLC
|
X-17A-5
|
|
|
PROFOR SECURITIES, LLC
|
X-17A-5
|
|
|
TORCH SECURITIES, LLC
|
X-17A-5
|
|
|
BAADER HELVEA INC.
|
X-17A-5
|
|
|
PH PARTNERS, LLC
|
X-17A-5
|
|
|
WEALTH SPACE ASSET MANAGEMENT
|
X-17A-5
|
|
|
BLUE VISTA CAPITAL, LLC
|
X-17A-5
|
|
|
OAKLINS DP LLC
|
X-17A-5
|
|
|
IMPACTU.INVESTMENTS, LLC
|
X-17A-5
|
|
|
LAIDLAW & COMPANY
|
X-17A-5
|
|
|
BRENTWOOD CAPITAL ADVISORS LLC
|
X-17A-5
|
|
|
CORONADO INVESTMENTS, LLC
|
X-17A-5
|
|
|
MALLORY CAPITAL GROUP, LLC
|
X-17A-5
|
|
|
ALLEGIANCE CAPITAL, L.L.C.
|
X-17A-5
|
|
|
SCOTT JAMES GROUP, INC.
|
X-17A-5
|
|
|
FLAGSTAR ADVISORS INC
|
X-17A-5
|
|
|
NEWBRIDGE SECURITIES CORPORATION
|
X-17A-5
|
|
|
MIDWESTERN SECURITIES TRADING COMPANY, LLC
|
X-17A-5
|
|
|
CHELSEA MORGAN SECURITIES, INC.
|
X-17A-5
|
|
|
VIEWTRADE SECURITIES, INC.
|
X-17A-5
|
|
|
PCE INVESTMENT BANKERS, INC.
|
X-17A-5
|
|
|
STATE FARM VP MANAGEMENT CORP.
|
X-17A-5
|
|
|
G.W. SHERWOLD ASSOCIATES, INC
|
X-17A-5
|
|
|
THE JEFFREY MATTHEWS FINANCIAL GROUP, L.L.C.
|
X-17A-5
|
|
|
TRITON PACIFIC CAPITAL, LLC
|
X-17A-5
|
|
|
MATRIX EXECUTIONS, LLC
|
X-17A-5
|
|
|
VOYA INVESTMENTS DISTRIBUTOR, LLC
|
X-17A-5
|
|
|
RENCAP SECURITIES, INC.
|
X-17A-5
|
|
|
ST. BERNARD FINANCIAL SERVICES, INC.
|
X-17A-5
|
|
|
COVIEW CAPITAL, INC.
|
X-17A-5
|
|
|
HALLIDAY FINANCIAL, LLC
|
X-17A-5
|
|
|
HP SECURITIES, INC.
|
X-17A-5
|
|
|
PAYDEN & RYGEL DISTRIBUTORS
|
X-17A-5
|
|
|
AMERICAN CENTURY SERVICES LLC /TA
|
TA-1/A
|
|
|
Cboe EDGX Exchange, Inc.
|
19B-4E
|
|
|
Cboe EDGA Exchange, Inc.
|
19B-4E
|
|
|
Cboe BZX Exchange, Inc.
|
19B-4E
|
|
|
Cboe BYX Exchange, Inc.
|
19B-4E
|
|
|
HEWLETT POINT SECURITIES, LLC
|
X-17A-5
|
|
|
CREWE CAPITAL, LLC
|
X-17A-5
|
|
|
FIRST HAWAIIAN BANK
|
MA-A
|
|
