| Company Name |
Form Type |
SEC Filings |
|
|
|
|
JACKSON NATIONAL LIFE DISTRIBUTORS LLC
|
FOCUSN
|
|
|
FAR HILLS GROUP, LLC.
|
FOCUSN
|
|
|
GORDIAN GROUP, LLC
|
FOCUSN
|
|
|
SS&C MARKET SERVICES, LLC
|
FOCUSN
|
|
|
CREDIT AGRICOLE SECURITIES
|
FOCUSN
|
|
|
AQUILA DISTRIBUTORS LLC
|
FOCUSN
|
|
|
ROBERTSON STEPHENS CAPITAL MARKETS, LLC
|
X-17A-5
|
|
|
KCM SECURITIES, LLC
|
X-17A-5
|
|
|
EC SECURITIES, LLC
|
X-17A-5
|
|
|
PENSIONMARK SECURITIES, LLC
|
X-17A-5
|
|
|
ARDEA PARTNERS LP
|
X-17A-5
|
|
|
IDX MARKETS, LLC
|
X-17A-5
|
|
|
CLICK IPO SECURITIES, LLC
|
X-17A-5
|
|
|
BACK BAY LIFE SCIENCE ADVISORY, LLC
|
X-17A-5
|
|
|
SAMMONS FINANCIAL NETWORK, LLC
|
X-17A-5
|
|
|
LINCOLN DOUGLAS INVESTMENTS, LLC
|
X-17A-5
|
|
|
SIGNET SECURITIES, LLC
|
X-17A-5
|
|
|
CVCAPITAL SECURITIES, LLC
|
X-17A-5
|
|
|
GSA CAPITAL ASSOCIATES, LLC
|
X-17A-5
|
|
|
BDT & MSD PARTNERS, LLC
|
X-17A-5
|
|
|
STRATEGAS SECURITIES, LLC
|
X-17A-5
|
|
|
TWO SIGMA SECURITIES, LLC
|
X-17A-5
|
|
|
CHIMERA SECURITIES, LLC
|
X-17A-5
|
|
|
EDGEPOINT CAPITAL ADVISORS LLC
|
X-17A-5
|
|
|
SILVERMARK PARTNERS LLC
|
X-17A-5
|
|
|
PCA CAPITAL SECURITIES, LLC
|
X-17A-5
|
|
|
TLG LENOX, LLC
|
X-17A-5
|
|
|
ACKRELL CAPITAL, LLC
|
X-17A-5
|
|
|
COMPASS POINT RESEARCH & TRADING, LLC
|
X-17A-5
|
|
|
NORTHERN LIGHTS DISTRIBUTORS, LLC
|
X-17A-5
|
|
|
IDB CAPITAL CORP.
|
X-17A-5
|
|
|
ULTIMUS FUND DISTRIBUTORS, LLC
|
X-17A-5
|
|
|
MCMG CAPITAL ADVISORS, INC.
|
X-17A-5
|
|
|
ENERGYNET.COM, LLC.
|
X-17A-5
|
|
|
ANCHOR BAY SECURITIES, LLC
|
X-17A-5
|
|
|
CBC SECURITIES, INC.
|
X-17A-5
|
|
|
ARTISAN PARTNERS DISTRIBUTORS LLC
|
X-17A-5
|
|
|
HMC INVESTMENTS, INC.
|
X-17A-5
|
|
|
BESTVEST INVESTMENTS, LTD.
|
X-17A-5
|
|
|
JACKSON NATIONAL LIFE DISTRIBUTORS LLC
|
X-17A-5
|
|
|
DOUGLAS SCOTT SECURITIES, INC.
|
X-17A-5
|
|
|
JOSLIN, JEFFREY ALEX
|
X-17A-5
|
|
|
BRITEHORN SECURITIES
|
X-17A-5
|
|
|
NATIXIS DISTRIBUTION, LLC
|
X-17A-5
|
|
|
AMERICAN FINANCIAL ASSOCIATES, INC.
|
X-17A-5
|
|
|
NATIONWIDE FUND DISTRIBUTORS LLC
|
X-17A-5
|
|
|
GORDIAN GROUP, LLC
|
X-17A-5
|
|
|
SS&C MARKET SERVICES, LLC
|
X-17A-5
|
|
|
HAVERFORD TRUST SECURITIES, INC.
|
X-17A-5
|
|
|
CBIZ FINANCIAL SOLUTIONS, INC.
|
X-17A-5
|
|
|
CAPITAL HILL GROUP, INC.
|
X-17A-5
|
|
|
SWARTWOOD, HESSE INC.
|
X-17A-5
|
|
|
THE DRATEL GROUP, INC.
|
X-17A-5
|
|
|
FED MUTUAL FINANCIAL SERVICES, INC.
|
X-17A-5
|
|
|
NATIONWIDE INVESTMENT SERVICES CORPORATION
|
X-17A-5
|
|
|
AEI SECURITIES, INC.
|
X-17A-5
|
|
|
THE O.N. EQUITY SALES COMPANY
|
X-17A-5
|
|
|
AQUILA DISTRIBUTORS LLC
|
X-17A-5
|
|
|
NATIONWIDE SECURITIES, LLC
|
X-17A-5
|
|
|
SHAREHOLDERS SERVICE GROUP, INC.
|
FOCUSN
|
|
|
N. B. ZOULLAS SECURITIES, INC.
|
X-17A-5
|
|
|
MARINER GROUP CAPITAL MARKETS, LLC
|
X-17A-5
|
|
|
BESSEMER INVESTOR SERVICES, INC.
|
X-17A-5
|
|
|
MASON SECURITIES, INC.
|
X-17A-5
|
|
|
GSP SECURITIES LLC
|
FOCUSN
|
|
|
PAINTER, SMITH AND AMBERG INC.
|
X-17A-5
|
|
|
DFPG INVESTMENTS, LLC
|
X-17A-5
|
|
|
HCFP/CAPITAL MARKETS LLC
|
X-17A-5
|
|
|
GSP SECURITIES LLC
|
X-17A-5
|
|
|
UNION SQUARE ADVISORS LLC
|
X-17A-5
|
|
|
SCHNEIDER DOWNS CORPORATE FINANCE, LP
|
X-17A-5
|
|
|
TRITAURIAN CAPITAL, INCORPORATED
|
X-17A-5
|
|
|
FAR HILLS GROUP, LLC.
|
X-17A-5
|
|
|
SISUNG SECURITIES CORPORATION
|
X-17A-5
|
|
|
CLAYTON, WILLIAMS & SHERWOOD INVESTMENTS
|
X-17A-5
|
|
|
DAVIS DISTRIBUTORS, LLC
|
X-17A-5
|
|
|
LARIMER CAPITAL CORPORATION
|
X-17A-5
|
|
|
EMPOWER FINANCIAL SERVICES, INC.
|
X-17A-5
|
|
|
INLAND SECURITIES CORPORATION
|
X-17A-5
|
|
|
BLAKESLEE AND BLAKESLEE INC.
|
X-17A-5
|
|
|
CAPITAL MANAGEMENT SECURITIES, INC.
|
X-17A-5
|
|
|
CLARENDON INSURANCE AGENCY, INC.
|
X-17A-5
|
|
|
GIRARD INVESTMENT SERVICES, LLC
|
X-17A-5
|
|
|
ROBERT W. BAIRD & CO. INCORPORATED
|
X-17A-5
|
|
|
B. C. ZIEGLER AND COMPANY
|
X-17A-5
|
|
|
ERNST CAPITAL SECURITIES, LLC
|
X-17A-5
|
|
|
ACCESSALPHA WORLDWIDE LLC
|
X-17A-5
|
|
|
PARTNERSHIP CAPITAL GROWTH, LLC
|
X-17A-5
|
|
|
GRV SECURITIES LLC
|
X-17A-5
|
|
|
CENTERVIEW PARTNERS LLC
|
X-17A-5
|
|
|
SWBC INVESTMENT SERVICES, LLC
|
X-17A-5
|
|
|
WFS, LLC
|
X-17A-5
|
|
|
AQUILO PARTNERS, L.P.
|
X-17A-5
|
|
|
STINSON SECURITIES, LLC
|
X-17A-5
|
|
|
SENTINEL SECURITIES, INC.
|
X-17A-5
|
|
|
PGM GLOBAL INC.
|
X-17A-5
|
|
|
MCLEAN SECURITIES, LLC
|
X-17A-5
|
|
|
GLAUCON CAPITAL PARTNERS, L.L.C.
|
X-17A-5
|
|
|
LIFEMARK SECURITIES CORP.
|
X-17A-5
|
|
|
AKAR CAPITAL MANAGEMENT, INC.
|
X-17A-5
|
|
|
ROCKEFELLER FINANCIAL LLC
|
X-17A-5
|
|
|
Tritower Real Estate Capital, LLC
|
X-17A-5
|
|
|
STANDARD NEW YORK, INC.
|
X-17A-5
|
|
|
PIMCO INVESTMENTS LLC
|
X-17A-5
|
|
|
GM SECURITIES, LLC
|
X-17A-5
|
|
|
FORTRESS CAPITAL FORMATION LLC
|
X-17A-5
|
|
|
PGM GLOBAL INC.
|
FOCUSN
|
|
|
SISUNG SECURITIES CORPORATION
|
FOCUSN
|
|
|
LARIMER CAPITAL CORPORATION
|
FOCUSN
|
|
|
TRUBEE WEALTH ADVISORS, INC.
|
FOCUSN
|
|
|
ROBERT W. BAIRD & CO. INCORPORATED
|
FOCUSN
|
|
|
B. C. ZIEGLER AND COMPANY
|
FOCUSN
|
|
|
CENTERVIEW PARTNERS LLC
|
FOCUSN
|
|
|
AQUILO PARTNERS, L.P.
|
FOCUSN
|
|
|
Tritower Real Estate Capital, LLC
|
FOCUSN
|
|
|
STANDARD NEW YORK, INC.
|
FOCUSN
|
|
|
NYSE ARCA, INC.
|
19B-4E
|
|
|
NEW YORK STOCK EXCHANGE LLC
|
19B-4E
|
|
|
C4 CAPITAL MARKETS, LLC
|
FOCUSN
|
|
|
PIMCO INVESTMENTS LLC
|
FOCUSN
|
|
|
TWO SIGMA SECURITIES, LLC
|
FOCUSN
|
|
