| Company Name |
Form Type |
SEC Filings |
|
|
|
|
ADVANTAGE SECURITIES LLC
|
X-17A-5
|
|
|
FMN CAPITAL CORPORATION
|
X-17A-5
|
|
|
MID ATLANTIC CLEARING & SETTLEMENT CORPORATION
|
X-17A-5
|
|
|
THE LEADERS GROUP, INC.
|
X-17A-5
|
|
|
JBS LIBERTY SECURITIES, INC.
|
X-17A-5
|
|
|
HEALTHCARE COMMUNITY SECURITIES CORP.
|
X-17A-5
|
|
|
STONINGTON CORPORATION
|
X-17A-5
|
|
|
STARSHAK WINZENBURG & CO
|
X-17A-5
|
|
|
CP INVESTMENTS, LLC
|
X-17A-5
|
|
|
BUCKMAN, BUCKMAN & REID, INC.
|
X-17A-5
|
|
|
CORNERSTONE FINANCIAL SERVICES, INC.
|
X-17A-5
|
|
|
RED DOE & CO INC /BD
|
X-17A-5
|
|
|
FIRST SECURITIES NORTHWEST, INC.
|
X-17A-5
|
|
|
FINANCE 500, INC.
|
X-17A-5
|
|
|
NEWEDGE SECURITIES, INC.
|
X-17A-5
|
|
|
WINTRUST INVESTMENTS LLC
|
X-17A-5
|
|
|
HUNTLEIGH SECURITIES CORPORATION
|
X-17A-5
|
|
|
PINEBRIDGE SECURITIES LLC
|
X-17A-5
|
|
|
TRUBEE WEALTH ADVISORS, INC.
|
X-17A-5
|
|
|
NORTHCOAST RESEARCH PARTNERS, LLC
|
X-17A-5
|
|
|
DEER ISLE CAPITAL, LLC
|
X-17A-5
|
|
|
ITAU INTERNATIONAL SECURITIES INC.
|
X-17A-5
|
|
|
MAZZONE & ASSOCIATES, INC.
|
X-17A-5
|
|
|
SPIRE SECURITIES, LLC
|
X-17A-5
|
|
|
PAR5 CAPITAL & CO LLC
|
X-17A-5
|
|
|
STANDARD CHARTERED SECURITIES NORTH AMERICA LLC
|
X-17A-5
|
|
|
MAXIM GROUP LLC
|
X-17A-5
|
|
|
BLUEFIN CAPITAL MANAGEMENT, LLC
|
X-17A-5
|
|
|
FAS CORP.
|
X-17A-5
|
|
|
KIPLING CAPITAL, INC.
|
X-17A-5
|
|
|
ICBC STANDARD SECURITIES INC.
|
X-17A-5
|
|
|
CCM SECURITIES, LLC
|
X-17A-5
|
|
|
GAGNON SECURITIES, LLC
|
X-17A-5
|
|
|
BURCH & COMPANY, INC
|
X-17A-5
|
|
|
CASCADIA CAPITAL, LLC
|
X-17A-5
|
|
|
THOROUGHBRED FINANCIAL SERVICES, LLC
|
X-17A-5
|
|
|
DUNHAM & ASSOCIATES INVESTMENT COUNSEL, INC.
|
X-17A-5
|
|
|
NATIXIS SECURITIES AMERICAS LLC
|
X-17A-5
|
|
|
ALPINA CAPITAL, LLC
|
X-17A-5
|
|
|
BANKERS LIFE SECURITIES, INC.
|
X-17A-5
|
|
|
COPPER FINANCIAL NETWORK, LLC
|
X-17A-5
|
|
|
M2O PRIVATE FUND ADVISORS LLC
|
X-17A-5
|
|
|
GRANDFUND INVESTMENT GROUP, LLC
|
X-17A-5
|
|
|
HOULIHAN CAPITAL, LLC
|
X-17A-5
|
|
|
BAYRIDGE SECURITIES, LLC
|
X-17A-5
|
|
|
GAR WOOD SECURITIES, LLC
|
X-17A-5
|
|
|
EDGELINE CAPITAL, LLC.
|
X-17A-5
|
|
|
CCM SECURITIES, LLC
|
FOCUSN
|
|
|
KIPLING CAPITAL, INC.
|
FOCUSN
|
|
|
FMN CAPITAL CORPORATION
|
FOCUSN
|
|
|
ICBC STANDARD SECURITIES INC.
|
FOCUSN
|
|
|
BUCKMAN, BUCKMAN & REID, INC.
|
FOCUSN
|
|
|
IMPERII SECURITIES LLC
|
X-17A-5
|
|
|
PINEBRIDGE SECURITIES LLC
|
FOCUSN
|
|
|
O'NEIL SECURITIES INCORPORATED
|
FOCUSN
|
|
|
RODMAN & RENSHAW, LLC
|
X-17A-5
|
|
|
SHAREGAIN SECURITIES INC
|
X-17A-5
|
|
|
CARLETON MCKENNA ADVISORS, LLC
|
X-17A-5
|
|
|
CONSTELLATION P2P, LLC
|
X-17A-5
|
|
|
ITAU BBA USA SECURITIES, INC.
|
X-17A-5
|
|
|
ITAU INTERNATIONAL SECURITIES INC.
|
FOCUSN
|
|
|
COPPER FINANCIAL NETWORK, LLC
|
FOCUSN
|
|
|
T&G PRIVATE CAPITAL LLC
|
FOCUSN
|
|
|
WILMINGTON CAPITAL SECURITIES, LLC
|
FOCUSN
|
|
|
GAR WOOD SECURITIES, LLC
|
FOCUSN
|
|
|
HOULIHAN CAPITAL, LLC
|
FOCUSN
|
|
|
DEER ISLE CAPITAL, LLC
|
FOCUSN
|
|
|
SWBC INVESTMENT SERVICES, LLC
|
FOCUSN
|
|
|
PARTNERSHIP CAPITAL GROWTH, LLC
|
FOCUSN
|
|
|
EZE CASTLE TRANSACTION SERVICES LLC
|
FOCUSN
|
|
|
HODES WEILL SECURITIES, LLC
|
FOCUSN
|
|
|
STONECASTLE SECURITIES, LLC
|
FOCUSN
|
|
|
MAXIM GROUP LLC
|
FOCUSN
|
|
|
STANDARD CHARTERED SECURITIES NORTH AMERICA LLC
|
FOCUSN
|
|
|
BLUEFIN CAPITAL MANAGEMENT, LLC
|
FOCUSN
|
|
|
DRAGONFLY CAPITAL PARTNERS, LLC
|
FOCUSN
|
|
|
J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.
|
FOCUSN
|
|
|
APW CAPITAL, INC.
|
FOCUSN
|
|
|
MID ATLANTIC CLEARING & SETTLEMENT CORPORATION
|
FOCUSN
|
|
|
THE LEADERS GROUP, INC.
|
FOCUSN
|
|
|
BETTINGER & LEECH FINANCIAL CORP.
|
FOCUSN
|
|
|
NEWEDGE SECURITIES, INC.
|
FOCUSN
|
|
|
T. ROWE PRICE INVESTMENT SERVICES, INC.
|
FOCUSN
|
|
|
TZ CLEAR LLC
|
FOCUSN
|
|
|
J. D. SEIBERT & COMPANY, INC.
|
FOCUSN
|
|
|
WINTRUST INVESTMENTS LLC
|
FOCUSN
|
|
|
RODMAN & RENSHAW, LLC
|
FOCUSN
|
|
|
J.C. FLOWERS SECURITIES CO. LLC
|
FOCUSN
|
|
|
CARLETON MCKENNA ADVISORS, LLC
|
FOCUSN
|
|
|
M2O PRIVATE FUND ADVISORS LLC
|
FOCUSN
|
|
|
ROCKEFELLER FINANCIAL LLC
|
FOCUSN
|
|
|
DIGITAL OFFERING LLC
|
X-17A-5
|
|
|
ARIA CAPITAL ADVISORS, LLC
|
X-17A-5
|
|
|
TEXAKOMA FINANCIAL, INC.
|
X-17A-5
|
|
|
GROVE POINT INVESTMENTS, LLC
|
X-17A-5
|
|
|
B. RILEY SECURITIES, INC.
|
FOCUSN
|
|
|
PIPER SANDLER & CO.
|
FOCUSN
|
|
|
NATIXIS SECURITIES AMERICAS LLC
|
FOCUSN
|
|
|
ITAU BBA USA SECURITIES, INC.
|
FOCUSN
|
|
