| Company Name |
Form Type |
SEC Filings |
|
|
|
|
Bailey Steven Richard
|
4
|
|
|
Disc Medicine, Inc.
|
4
|
|
|
Stephenson Pamela
|
4
|
|
|
Flanagan Cary M
|
4
|
|
|
Knight-Swift Transportation Holdings Inc.
|
4
|
Financial Statements
|
|
Ortowski Cody
|
4
|
|
|
VAN TREASE KRISTINA
|
4
|
|
|
Fain Richard D
|
144
|
|
|
ROYAL CARIBBEAN CRUISES LTD
|
144
|
Financial Statements
|
|
Jarboe Scott T.
|
144
|
|
|
PEABODY ENERGY CORP
|
144
|
Financial Statements
|
|
Ibrahim Christina M
|
4
|
|
|
WRIGHT DARA
|
144
|
|
|
DeWalch D Mark
|
4
|
|
|
Black Stone Minerals, L.P.
|
4
|
Financial Statements
|
|
KEYCORP /NEW/
|
424B5
|
Financial Statements
|
|
DRESSEL JEANNE
|
4
|
|
|
BANK OF HAWAII CORP
|
4
|
Financial Statements
|
|
DLCC PRIME
|
X-17A-5
|
|
|
KOREFUSION CAPITAL LLC
|
X-17A-5
|
|
|
BUNDY GROUP SECURITIES, LLC
|
X-17A-5
|
|
|
ONPEAK CAPITAL LLC
|
X-17A-5
|
|
|
PACIFIC OAK CAPITAL MARKETS, LLC
|
X-17A-5
|
|
|
GREEN GIRAFFE SECURITIES, LLC
|
X-17A-5
|
|
|
INCLINE ADVISORS LLC
|
X-17A-5
|
|
|
PELOTON SECURITIES LLC
|
X-17A-5
|
|
|
CAPITALA SECURITIES, LLC
|
X-17A-5
|
|
|
PORTUM CAPITAL LLC
|
X-17A-5
|
|
|
USQ SECURITIES LLC
|
X-17A-5
|
|
|
MCA SECURITIES LLC
|
X-17A-5
|
|
|
LINE CAPITAL ADVISORS, INC.
|
X-17A-5
|
|
|
MIDAMERICA SECURITIES, LLC
|
X-17A-5
|
|
|
PLUM CAPITAL, LLC
|
X-17A-5
|
|
|
CURRENT CAPITAL SECURITIES LLC
|
X-17A-5
|
|
|
CROWDVEST SECURITIES LLC
|
X-17A-5
|
|
|
RESOLUTE INVESTMENT DISTRIBUTORS, INC.
|
X-17A-5
|
|
|
TUDOR SECURITIES, LLC
|
X-17A-5
|
|
|
APEXUS CAPITAL LLC
|
X-17A-5
|
|
|
BETHESDA SECURITIES, LLC
|
X-17A-5
|
|
|
VT DISTRIBUTORS LLC
|
X-17A-5
|
|
|
ORBIS INVESTMENTS
|
X-17A-5
|
|
|
COINSHARES CAPITAL LLC
|
X-17A-5
|
|
|
CLEARPOOL EXECUTION SERVICES, LLC
|
X-17A-5
|
|
|
DIRECT REALTY SECURITIES, INC.
|
X-17A-5
|
|
|
LIFESCI CAPITAL, LLC
|
X-17A-5
|
|
|
THOMPSON RESEARCH GROUP, LLC
|
X-17A-5
|
|
|
CONFIGURE PARTNERS SECURITIES, LLC
|
X-17A-5
|
|
|
SOLIC CAPITAL LLC
|
X-17A-5
|
|
|
STONEPINE ADVISORS, LLC
|
X-17A-5
|
|
|
CENTERBOARD SECURITIES, LLC
|
X-17A-5
|
|
|
TCC SECURITIES, LLC
|
X-17A-5
|
|
|
MJ CAPITAL PARTNERS, LLC
|
X-17A-5
|
|
|
REGULUS FINANCIAL GROUP, LLC
|
X-17A-5
|
|
|
BRETTER TRADING, LLC
|
X-17A-5
|
|
|
PACIFIC POINT SECURITIES, LLC
|
X-17A-5
|
|
|
CHINA ECAPITAL PARTNERS, LLC
|
X-17A-5
|
|
|
USRP EQUITIES, LLC
|
X-17A-5
|
|
|
FORESIDE FINANCIAL SERVICES, LLC
|
X-17A-5
|
|
|
INVESTX MARKETS LLC
|
X-17A-5
|
|
|
FORESIDE GLOBAL SERVICES, LLC
|
X-17A-5
|
|
|
TS IMAGINE BROKERAGE SERVICES, LLC
|
X-17A-5
|
|
|
VALTUS CAPITAL GROUP, LLC
|
X-17A-5
|
|
|
PERPETUAL AMERICAS FUNDS DISTRIBUTORS, LLC
|
X-17A-5
|
|
|
SHORELINEAMBROSE ADVISORS, LLC
|
X-17A-5
|
|
|
BEAR CREEK SECURITIES LLC
|
X-17A-5
|
|
|
BREN VENTURES LLC
|
X-17A-5
|
|
|
P G BOOLE, LLC
|
X-17A-5
|
|
|
ALDERMAN & COMPANY CAPITAL, LLC
|
X-17A-5
|
|
|
INNOVATION CAPITAL, LLC
|
X-17A-5
|
|
|
CRONUS PARTNERS LLC
|
X-17A-5
|
|
|
STILLPOINT CAPITAL, LLC
|
X-17A-5
|
|
|
MARKS BAUGHAN SECURITIES LLC
|
X-17A-5
|
|
|
CHESSIECAP SECURITIES, INC.
|
X-17A-5
|
|
|
IMST DISTRIBUTORS, LLC
|
X-17A-5
|
|
|
FMI CAPITAL ADVISORS, INC.
|
X-17A-5
|
|
|
LAZARD ASSET MANAGEMENT SECURITIES LLC
|
X-17A-5
|
|
|
COVINGTON ASSOCIATES, LLC
|
X-17A-5
|
|
|
THE SPARTAN GROUP
|
X-17A-5
|
|
|
MIT ASSOCIATES, LLC
|
X-17A-5
|
|
|
AINVEST FINANCIAL, INC.
|
X-17A-5
|
|
|
WBB SECURITIES, LLC
|
X-17A-5
|
|
|
COLLINS/BAY ISLAND SECURITIES, LLC
|
X-17A-5
|
|
|
TRADIER BROKERAGE, INC.
|
X-17A-5
|
|
|
KALORAMA CAPITAL, LLC
|
X-17A-5
|
|
|
LIQUIDNET, INC.
|
X-17A-5
|
|
|
STERLING CAPITAL DISTRIBUTORS, LLC
|
X-17A-5
|
|
|
QUASAR DISTRIBUTORS, LLC
|
X-17A-5
|
|
|
MILESTONE INVESTMENTS, INC.
|
X-17A-5
|
|
|
NORTHERN FUNDS DISTRIBUTORS, LLC
|
X-17A-5
|
|
|
PULLMAN SECURITIES, LLC
|
X-17A-5
|
|
|
JANSSEN PARTNERS, INC.
|
X-17A-5
|
|
|
EVERCORE GROUP L.L.C.
|
X-17A-5
|
|
|
AETHLON CAPITAL, L.L.C
|
X-17A-5
|
|
|
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
|
X-17A-5
|
|
|
MGI FUNDS DISTRIBUTORS, LLC
|
X-17A-5
|
|
|
FAIRVIEW SECURITIES, INC.
|
X-17A-5
|
|
|
FORESIDE FUNDS DISTRIBUTORS LLC
|
X-17A-5
|
|
|
CARNEGIE, INC.
|
X-17A-5
|
|
|
SYNDICATED CAPITAL, INC.
|
X-17A-5
|
|
|
MULTI-BANK SECURITIES, INC.
|
X-17A-5
|
|
|
BMO CAPITAL MARKETS CORP.
|
X-17A-5
|
|
|
PARNASSUS FUNDS DISTRIBUTOR, LLC
|
X-17A-5
|
|
|
FORESIDE DISTRIBUTION SERVICES, L.P.
|
X-17A-5
|
|
|
KEYBANC CAPITAL MARKETS INC.
|
X-17A-5
|
|
|
MIDAS SECURITIES GROUP, INC.
|
X-17A-5
|
|
|
FUNDS DISTRIBUTOR, LLC
|
X-17A-5
|
|
|
SUNSET FINANCIAL SERVICES, INC.
|
X-17A-5
|
|
|
TP ICAP GLOBAL MARKETS AMERICAS LLC
|
X-17A-5
|
|
|
MM GLOBAL SECURITIES, INC.
|
X-17A-5
|
|
|
RICHARDS, MERRILL & PETERSON, INC.
|
X-17A-5
|
|
|
TIJERINA GALVAN LAWRENCE LLC
|
MA/A
|
|
|
TKG & ASSOCIATES LLC
|
MA-A
|
|
|
BNY Mellon Capital Markets, LLC
|
MA/A
|
|
|
ESHARES INC DBA Carta INC
|
TA-1/A
|
|
|
Compass Municipal Advisors, LLC
|
MA-A
|
|
|
DOMINION INVESTOR SERVICES, INC.
|
X-17A-5
|
|
|
WELLFLEET INVESTMENTS LLC
|
X-17A-5
|
|
|
NBC SECURITIES, INC.
|
X-17A-5
|
|
|
FINANCIAL NORTHEASTERN SECURITIES, INC.
|
X-17A-5
|
|
|
HOME FINANCIAL SERVICES, INC.
|
X-17A-5
|
|
|
JACK V. BUTTERFIELD INVESTMENT COMPANY
|
X-17A-5
|
|
|
MAYHILL AGENCY, LLC
|
X-17A-5
|
|
|
PIPER SANDLER & CO.
|
X-17A-5
|
|
|
VOYA FINANCIAL ADVISORS, INC.
|
X-17A-5
|
|
|
VANGUARD GROUP INC
|
TA-1/A
|
|
|
VICTORY CAPITAL SERVICES, INC.
|
X-17A-5
|
|
|
CASCADE INVESTMENT GROUP, INC.
|
X-17A-5
|
|
|
CEDAR POINT CAPITAL, LLC
|
X-17A-5
|
|
|
WELCOME LIFE SECURITIES, LLC
|
X-17A-5
|
|
|
SCOTT T. TAYLOR, LTD.
|
X-17A-5
|
|
|
TRADELINK SECURITIES, LLC
|
X-17A-5
|
|
|
GLEN EAGLE WEALTH, LLC
|
X-17A-5
|
|
|
BLUEFIN RESEARCH PARTNERS, INC.
|
X-17A-5
|
|
|
PASSCO CAPITAL, INC.
|
X-17A-5
|
|
|
COLORADO FINANCIAL SERVICE CORPORATION
|
X-17A-5
|
|
|
HYDE PARK CAPITAL ADVISORS, LLC
|
X-17A-5
|
|
|
FIDX MARKETS LLC
|
X-17A-5
|
|
|
OPTIVER EXECUTION SERVICES LLC
|
X-17A-5
|
|
|
NINTH ETERNITY SECURITIES LLC
|
X-17A-5
|
|
|
IDB CAPITAL CORP.
|
FOCUSN
|
|
|
Cboe EDGX Exchange, Inc.
|
19B-4E
|
|
|
Cboe EDGA Exchange, Inc.
|
19B-4E
|
|
|
Cboe BZX Exchange, Inc.
|
19B-4E
|
|
|
HYDE PARK CAPITAL ADVISORS, LLC
|
FOCUSN
|
|
