| Company Name |
Form Type |
SEC Filings |
|
|
|
|
CITI PRIVATE ALTERNATIVES, LLC
|
FOCUSN
|
|
|
ALPS PORTFOLIO SOLUTIONS DISTRIBUTOR, INC.
|
FOCUSN
|
|
|
HCFP/CAPITAL MARKETS LLC
|
FOCUSN
|
|
|
BRUCE A. LEFAVI SECURITIES, INC.
|
X-17A-5
|
|
|
INVESTMENT RESEARCH CONSORTIUM SECURITIES LLC
|
FOCUSN
|
|
|
CNL SECURITIES CORP.
|
X-17A-5
|
|
|
SECUREVEST FINANCIAL GROUP
|
X-17A-5
|
|
|
KEPLER CAPITAL MARKETS, INC.
|
FOCUSN
|
|
|
QATALYST PARTNERS LP
|
FOCUSN
|
|
|
LLOYDS SECURITIES INC.
|
FOCUSN
|
|
|
GARY HOCH AGENCY, INC.
|
X-17A-5
|
|
|
ORTEX SECURITIES LLC
|
FOCUSN
|
|
|
CENTENNIAL SECURITIES COMPANY, INC.
|
X-17A-5
|
|
|
DAVID LERNER ASSOCIATES, INC.
|
X-17A-5
|
|
|
BRIGHTON SECURITIES CORP.
|
X-17A-5
|
|
|
VP DISTRIBUTORS LLC
|
X-17A-5
|
|
|
KINETICS FUNDS DISTRIBUTOR LLC
|
X-17A-5
|
|
|
M. E. ALLISON & CO., INC.
|
X-17A-5
|
|
|
303 ALTERNATIVES, LLC
|
X-17A-5
|
|
|
INCAPITAL DISTRIBUTORS LLC
|
X-17A-5
|
|
|
KAYAN SECURITIES, INC.
|
X-17A-5
|
|
|
XTELLUS CAPITAL PARTNERS, INC.
|
X-17A-5
|
|
|
LLOYDS SECURITIES INC.
|
X-17A-5
|
|
|
LCT CAPITAL, LLC
|
X-17A-5
|
|
|
CIGNA BENEFITS FINANCING, INC.
|
X-17A-5
|
|
|
INVESTMENT RESEARCH CONSORTIUM SECURITIES LLC
|
X-17A-5
|
|
|
SAWAYA PARTNERS SECURITIES, LLC
|
X-17A-5
|
|
|
QATALYST PARTNERS LP
|
X-17A-5
|
|
|
STARWOOD CAPITAL, L.L.C.
|
X-17A-5
|
|
|
TRITON PACIFIC SECURITIES, LLC
|
X-17A-5
|
|
|
KEPLER CAPITAL MARKETS, INC.
|
X-17A-5
|
|
|
CHARLES RIVER BROKERAGE, LLC
|
X-17A-5
|
|
|
EMERSON EQUITY LLC
|
X-17A-5
|
|
|
EDGEWATER CAPITAL, LLC
|
X-17A-5
|
|
|
RIDGEVIEW CAPITAL, LLC
|
X-17A-5
|
|
|
CEA ATLANTIC ADVISORS, LLC
|
X-17A-5
|
|
|
SKYWAY CAPITAL MARKETS, LLC
|
X-17A-5
|
|
|
CUSHMAN & WAKEFIELD SECURITIES, INC.
|
X-17A-5
|
|
|
ICAPITAL MARKETS LLC
|
X-17A-5
|
|
|
BFY SECURITIES, LLC
|
X-17A-5
|
|
|
ICG CAPITAL SECURITIES, LLC
|
X-17A-5
|
|
|
BURNHAM & FLOWER FINANCIAL, INC.
|
X-17A-5
|
|
|
MONERE INVESTMENTS, INC.
|
X-17A-5
|
|
|
GAMMA SECURITIES, LLC
|
X-17A-5
|
|
|
TJ BENDER & COMPANY, INC.
|
X-17A-5
|
|
|
COMCAP HOLDINGS LLC
|
X-17A-5
|
|
|
RHODA AND CO LLC
|
X-17A-5
|
|
|
BANCOLOMBIA CAPITAL LLC
|
X-17A-5
|
|
|
IB CAPITAL LLC
|
X-17A-5
|
|
|
GTN AMERICAS FINANCIAL SERVICES, INC.
|
X-17A-5
|
|
|
MOMENT MARKETS, LLC
|
X-17A-5
|
|
|
TRADESK SECURITIES, INC.
|
X-17A-5
|
|
|
BOSTON PARTNERS SECURITIES, L.L.C.
|
X-17A-5
|
|
|
SMITH, BROWN & GROOVER, INC.
|
X-17A-5
|
|
|
CONNERS & CO., INC.
|
X-17A-5
|
|
|
PRINCIPAL FUNDS DISTRIBUTOR, INC.
|
X-17A-5
|
|
|
BENGUR BRYAN & CO., INC.
|
X-17A-5
|
|
|
INVEX, LLC.
|
X-17A-5
|
|
|
GREAT AMERICAN INVESTORS, INC.
|
X-17A-5
|
|
|
ELISH & ELISH INC.
|
X-17A-5
|
|
|
INDEPENDENCE CAPITAL CO., INC.
|
X-17A-5
|
|
|
BANYAN SECURITIES, LLC
|
X-17A-5
|
|
|
THORNTON FARISH INC.
|
X-17A-5
|
|
|
J.C. FLOWERS SECURITIES CO. LLC
|
X-17A-5
|
|
|
NORTHERN TRUST SECURITIES, INC.
|
X-17A-5
|
|
|
SATURN CAPITAL, INC.
|
X-17A-5
|
|
|
AON SECURITIES LLC
|
X-17A-5
|
|
|
FUTU CLEARING INC
|
X-17A-5
|
|
|
ALLARIA SECURITIES, LLC
|
X-17A-5
|
|
|
TFA SECURITIES, INC.
|
X-17A-5
|
|
|
BROADOAK PARTNERS, LLC
|
X-17A-5
|
|
|
TWD SECURITIES, LLC
|
X-17A-5
|
|
|
SHOPOFF SECURITIES, INC.
|
X-17A-5
|
|
|
WOOD WARREN & CO. SECURITIES, LLC
|
X-17A-5
|
|
|
RAINMAKER SECURITIES, LLC
|
X-17A-5
|
|
|
AQUEDUCT CAPITAL GROUP, LLC
|
X-17A-5
|
|
|
DRAGONFLY CAPITAL PARTNERS, LLC
|
X-17A-5
|
|
|
BROADSPAN SECURITIES LLC
|
X-17A-5
|
|
|
METLIFE INVESTORS DISTRIBUTION COMPANY
|
X-17A-5
|
|
|
CEROS FINANCIAL SERVICES, INC.
|
X-17A-5
|
|
|
DEMATTEO RESEARCH LLC
|
FOCUSN
|
|
|
ELISH & ELISH INC.
|
FOCUSN
|
|
|
BANYAN SECURITIES, LLC
|
FOCUSN
|
|
|
ESHARES INC DBA Carta INC
|
TA-1/A
|
|
|
Compass Municipal Advisors, LLC
|
MA/A
|
|
|
Ehlers & Associates, Inc.
|
MA/A
|
|
|
DIXWORKS LLC
|
MA-A
|
|
|
CITICORP SECURITIES SERVICES, INC.
|
FOCUSN
|
|
|
AMERITAS INVESTMENT COMPANY, LLC
|
FOCUSN
|
|
|
ATOMIC BROKERAGE LLC
|
X-17A-5
|
|
|
BOSTON PARTNERS SECURITIES, L.L.C.
|
FOCUSN
|
|
|
RMK MARITIME CAPITAL, LLC
|
X-17A-5
|
|
|
VERIT ADVISORS CAPITAL MARKETS LLC
|
X-17A-5
|
|
|
SOVEREIGN GLOBAL ADVISORS LLC
|
X-17A-5
|
|
|
BRIDGEWOOD ADVISORS INC.
|
X-17A-5
|
|
|
INVESTORLINK CAPITAL MARKETS, LLC
|
X-17A-5
|
|
|
STOCKBLOCK SECURITIES LLC
|
X-17A-5
|
|
|
RINCON SECURITIES GROUP LLC
|
X-17A-5
|
|
|
G.DISTRIBUTORS, LLC
|
X-17A-5
|
|
|
MAINLINE WEST MUNICIPAL SECURITIES LLC
|
X-17A-5
|
|
|
SCH ENTERPRISES, INC.
|
X-17A-5
|
|
|
METLIFE INVESTORS DISTRIBUTION COMPANY
|
FOCUSN
|
|
|
GRV SECURITIES LLC
|
FOCUSN
|
|
|
INTERCAM SECURITIES, INC.
|
FOCUSN
|
|
|
BROADSPAN SECURITIES LLC
|
FOCUSN
|
|
|
INVEX, LLC.
|
FOCUSN
|
|
|
MAINLINE WEST MUNICIPAL SECURITIES LLC
|
FOCUSN
|
|
|
BRIDGEWOOD ADVISORS INC.
|
FOCUSN
|
|
|
PHILPOTT BALL & WERNER, LLC
|
FOCUSN
|
|
|
G.DISTRIBUTORS, LLC
|
FOCUSN
|
|
|
STOCKBLOCK SECURITIES LLC
|
FOCUSN
|
|
|
FUTU CLEARING INC
|
FOCUSN
|
|
|
TFA SECURITIES, INC.
|
FOCUSN
|
|
|
Cboe EDGX Exchange, Inc.
|
19B-4E
|
|
|
Cboe EDGA Exchange, Inc.
|
19B-4E
|
|
|
Cboe BZX Exchange, Inc.
|
19B-4E
|
|
|
Cboe BYX Exchange, Inc.
|
19B-4E
|
|
|
ARIA CAPITAL ADVISORS, LLC
|
FOCUSN
|
|
|
LIBUCKI & CO., LLC
|
X-17A-5
|
|
|
MTG, LLC
|
X-17A-5
|
|
|
FREDERICKS MICHAEL SECURITIES, INC.
|
X-17A-5
|
|
|
FLORIDA ATLANTIC SECURITIES CORP.
|
X-17A-5
|
|
|
ALEXANDER CAPITAL, L.P.
|
X-17A-5
|
|
|
LEIGH BALDWIN & CO., LLC
|
X-17A-5
|
|
|
BRIGHT TRADING, LLC
|
X-17A-5
|
|
|
ANDREW GARRETT INC.
|
X-17A-5
|
|
|
ARIVE CAPITAL MARKETS
|
X-17A-5
|
|
|
ASCENDIANT SECURITIES, LLC
|
X-17A-5
|
|
|
GWN SECURITIES INC.
|
X-17A-5
|
|
|
VCS VENTURE SECURITIES
|
X-17A-5
|
|
|
LONGSHIP ALTERNATIVE ASSET MANAGEMENT
|
X-17A-5
|
|
|
JOSEPH STONE CAPITAL L.L.C.
|
X-17A-5
|
|
|
MCNALLY CAPITAL SECURITIES, LLC
|
X-17A-5
|
|
|
LEXINGTON PARK CAPITAL MARKETS, LLC
|
X-17A-5
|
|
|
ASCENDIANT CAPITAL MARKETS, LLC
|
X-17A-5
|
|
|
FOURBRIDGES SECURITIES, LLC
|
X-17A-5
|
|
|
PHX FINANCIAL, INC.
|
X-17A-5
|
|
|
CITY CAPITAL ADVISORS, LLC
|
X-17A-5
|
|
|
COMPOSER SECURITIES LLC
|
X-17A-5
|
|
|
LATAM FINANCIAL PARTNERS LLC
|
X-17A-5
|
|
|
FARKAS CAPITAL LLC
|
X-17A-5
|
|
|
BOSONIC SECURITIES, LLC
|
X-17A-5
|
|
|
BGV SECURITIES USA, LLC
|
X-17A-5
|
|
|
MPA BD SERVICES LLC
|
X-17A-5
|
|
|
PAG FINANCIAL, LLC
|
X-17A-5
|
|
|
GREENBIRD CAPITAL, LLC
|
X-17A-5/A
|
|
|
GREENBIRD CAPITAL, LLC
|
X-17A-5
|
|
|
SECFI SECURITIES, LLC
|
X-17A-5
|
|
|
TRANSITIONAL BROKER LLC
|
X-17A-5
|
|
|
STAX CAPITAL
|
X-17A-5
|
|
|
MERAKI GLOBAL ADVISORS LLC
|
X-17A-5
|
|
|
GREEN VISTA CAPITAL, LLC
|
X-17A-5
|
|
|
VISION ONE PARTNERS, LLC
|
X-17A-5
|
|
|
SPRINKLEBROKERAGE, INC.
|
X-17A-5
|
|
|
SAF FINANCIAL SECURITIES LLC
|
X-17A-5
|
|
|
VNTR SECURITIES LLC
|
X-17A-5
|
|
|
ACCEPTUS CAPITAL CORP.
|
X-17A-5
|
|
|
YUKI-CO, LLC
|
X-17A-5
|
|
|
ANDREW GARRETT INC.
|
FOCUSN
|
|
|
BROOKS, HOUGHTON SECURITIES, INC.
|
FOCUSN
|
|
|
TFS SECURITIES, INC.
|
FOCUSN
|
|
|
SRT SECURITIES LLC
|
FOCUSN
|
|
|
AON SECURITIES LLC
|
FOCUSN
|
|
|
M&A CAPITAL HOLDINGS, LLC
|
FOCUSN
|
|
|
OPES BESPOKE SECURITIES LLC
|
FOCUSN
|
|
|
GWN SECURITIES INC.
|
FOCUSN
|
|
|
VCS VENTURE SECURITIES
|
FOCUSN
|
|
|
LIBUCKI & CO., LLC
|
FOCUSN
|
|
|
MMX GLOBAL PARTNERS, LLC
|
FOCUSN
|
|
|
VNTR SECURITIES LLC
|
FOCUSN
|
|
|
YUKI-CO, LLC
|
FOCUSN
|
|
|
ICG CAPITAL SECURITIES, LLC
|
FOCUSN
|
|
|
JOSEPH STONE CAPITAL L.L.C.
|
FOCUSN
|
|
|
GSA CAPITAL ASSOCIATES, LLC
|
FOCUSN
|
|
|
CCS TRANSACTIONS, LLC
|
FOCUSN
|
|
|
CAPITAL DYNAMICS BROKER DEALER LLC
|
FOCUSN
|
|
|
SYNAPSE BROKERAGE LLC
|
FOCUSN
|
|
|
SECFI SECURITIES, LLC
|
FOCUSN
|
|
|
EXOS SECURITIES LLC
|
FOCUSN
|
|
|
KCM SECURITIES, LLC
|
FOCUSN
|
|
|
PAG FINANCIAL, LLC
|
FOCUSN
|
|
|
CHILIAN PARTNERS, L.P.
|
X-17A-5
|
|
|
M&A CAPITAL HOLDINGS, LLC
|
X-17A-5
|
|
|
MONEY CONCEPTS CAPITAL CORP
|
FOCUSN
|
|
