Capital Acquisition Brokers We Regulate

Capital Acquisition Brokers (CABs) are firms that engage in a limited range of activities, which can include advising companies and private equity funds on capital raising and corporate restructuring and acting as placement agents for the sale of unregistered securities to institutional investors under limited conditions. CABs are not permitted, among other things, to carry or maintain customer accounts, handle customers’ funds or securities, accept customers’ trading orders, or engage in proprietary trading or market-making. FINRA has established a separate, narrower set of rules that governs firms that meet the CAB definition and elect to be so governed. Those firms are listed below. CABs are also included in the Firms We Regulate page list because CABs are still registered broker-dealers under federal securities laws and SEC rules.

ACQUEST SECURITIES LLC
3039 ELLA LEE LANE, HOUSTON, TX 77019
Mailing Address: P.O. BOX 131605, HOUSTON, TX 77219

ALBRIGHT SECURITIES LLC
1101 WILSON BLVD., 6TH FLOOR, ARLINGTON, VA 22209

ARTEMIS SECURITIES CLEARING, LLC
225 W. WACKER DRIVE, SUITE 1575, CHICAGO, IL 60606

AUSTIN GROWTH CAPITAL, LLC
706 GUADALUPE STREET, AUSTIN, TX 78701

AXIA CAPITAL MARKETS, LLC
555 MADISON AVENUE, SUITE 11A, NEW YORK, NY 10022

BELZBERG CAPITAL
589 FIFTH AVENUE, SUITE 1602, NEW YORK, NY 10017

BREVAN HOWARD US LLC
1345 AVENUE OF THE AMERICAS, 28TH FLOOR, NEW YORK, NY 10105

CAMBRIDGE INTERNATIONAL PARTNERS LLC
780 THIRD AVENUE - 11TH FLOOR, NEW YORK, NY 10017-2024

CAPITALA SECURITIES, LLC
4201 CONGRESS STREET, SUITE 360C, CHARLOTTE, NC 28209

CASCADIA CAPITAL, LLC
1000 2ND AVENUE, SUITE 1200, SEATTLE, WA 98104

CEIBA FINANCIAL, LLC
1831 LEXINGTON DR., FULLERTON, CA 92835

COLONNADE ISLAND LLC
7000 BAHIA BEACH BLVD., LAS VENTANAS II-314, RIO GRANDE, PR 00745-2900
Mailing Address: 7000 BAHIA BEACH BLVD., APT. 314, RIO GRANDE, PR 00745-2900

COLONNADE SECURITIES LLC
600 CLEVELAND STREET, SUITE 272, CLEARWATER, FL 33755

D.E. SHAW SECURITIES, L.L.C.
1166 AVENUE OF THE AMERICAS, 9TH FLOOR, NEW YORK, NY 10036

EGWELE SECURITIES LLC
155 NORTH WACKER DRIVE, SUITE 4250, CHICAGO, IL 60606

EQUITEQ SECURITIES LLC
460 PARK AVENUE SOUTH, SUITE 1102, NEW YORK, NY 10016

EUROSCOPE CAPITAL, LLC
9036 JACKSON LN, GREAT FALLS, VA 22066

FENNEBRESQUE & CO., LLC
2025 CASSAMIA PLACE, CHARLOTTE, NC 28211

FORO CAPITAL MARKETS, LLC
2173 HAWKINS STREET, SUITE D, CHARLOTTE, NC 28203
Mailing Address: 2173 HAWKINS STREET, SUITE D, SUITE D, CHARLOTTE, NC 28203

FORTRESS CAPITAL FORMATION LLC
1345 AVENUE OF THE AMERICAS, 45TH FLOOR, NEW YORK, NY 10105

FREDERICKS MICHAEL SECURITIES, INC.
430 PARK AVENUE, 8TH FLOOR, NEW YORK, NY 10022

GPP SECURITIES, LLC
165 MASON STREET, 3RD FLOOR, GREENWICH, CT 06830

GQR SECURITIES LLC
500 W PUTNAM AVE, SUITE 400, GREENWICH, CT 06830

GRAFINE CAPITAL PARTNERS LLC
654 MADISON AVENUE, SUITE 1201, NEW YORK, NY 10065

HENRIES SECURITIES
1667 SAINT MARKS AVENUE, BROOKLYN, NY 11233

HERITAGE CAPITAL GROUP, INC.
5210 BELFORT RD., # 300, JACKSONVILLE, FL 32256

HIGHWOOD SECURITIES LLC
62 OAK HILL DRIVE, OYSTER BAY, NY 11771

HUDSONWEST LLC
255 SAINT PAUL ST, #207, DENVER, CO 80206

INCLINE ADVISORS
655 TYNER WAY, INCLINE VILLAGE, NV 89451

INFINITY CAPITAL SECURITIES, LLC
201 NW 10TH STREET, SUITE 200, OKLAHOMA CITY, OK 73103

INNER CIRCLE SPORTS LLC
6501 CONGRESS AVENUE, 6501, BOCA RATON, FL 33487
Mailing Address: 6501 CONGRESS AVENUE, BOCA RATON, FL 33487

J.C. FLOWERS SECURITIES CO. LLC
767 FIFTH AVENUE, 23RD FLOOR, NEW YORK, NY 10153

JAVCAP SECURITIES LLC
420 LEXINGTON AVENUE, SUITE 1810, NEW YORK, NY 10170

JEGI LLC
150 EAST 52ND STREET-18TH FLOOR, NEW YORK, NY 10022

KCR CAPITAL, LLC
LAKEWOOD-GREEN MOIUNTAIN BUILDING, 12340 WEST ALAMEDA PARKWAY, SUITE 211, LAKEWOOD, CO 80228
Mailing Address: LAKEWOOD-GREEN MOUNTAIN BUILDING, 12340 WEST ALAMEDA PARKWAY, SUITE 211, LAKEWOOD, CO 80228

KEYSTONE GLOBAL
390 NORTH BROADWAY, 3RD FLOOR, JERICHO, NY 11753

KOREFUSION CAPITAL LLC
1467 FUNSTON STREET, SAN FRANCISCO, CA 94122

LATAM FINANCIAL PARTNERS
777 BRICKELL AVENUE, SUITE 547, MIAMI, FL 33131

LONG NECK SERVICES LLC
1025 BOSTON POST ROAD, SUITE 200, DARIEN, CT 06820

M.J. GROSSNICKLE, LLC
157 MAIN STREET, DAMARISCOTTA, ME 04543
Mailing Address: PO BOX 1141, DAMARISCOTTA, ME 04543

MERIDIAN INVESTMENTS, INC.
6550 ROCK SPRING DRIVE, 250, BETHESDA, MD 20817

MONTMINY SECURITIES, LLC
201 SANTA MONICA BLVD, SUITE 480, SANTA MONICA, CA 90401

MORGAN PARTNERS LLC
100 WORCESTER STREET, SUITE 202, WELLESLEY HILLS, MA 02481

NEW CENTURY CAPITAL PARTNERS, INC.
1707 GLENDON AVENUE, SUITE 3, LOS ANGELES, CA 90024
Mailing Address: 1112 MONTANA AVENUE, STE 465, SANTA MONICA, CA 90403

PAF SECURITIES, LLC
601 BRICKELL KEY DRIVE, SUITE 604, MIAMI, FL 33131

PELOTON SECURITIES LLC
10 COMMERCIAL ALLEY, SUITE 4, PORTSMOUTH, NH 03801

PGB SECURITIES LLC
500 HILLS DRIVE, BEDMINSTER, NJ 07921

PPHB SECURITIES LP
1885 ST. JAMES PLACE, SUITE 900, HOUSTON, TX 77056

REAGAN SECURITIES, INC.
3495 PIEDMONT ROAD, NE, BUILDING 10, SUITE 920, ATLANTA, GA 30305

REDBIRD BD LLC
667 MADISON AVE, 16TH FLOOR, NEW YORK, NY 10065

ROBUS CAPITAL PARTNERS LLC
301 RECINTO SUR STREET, STE 202, SAN JUAN, PR 00901

ROCKDALE SECURITIES, LLC
1123 BROADWAY, SUITE 1200, NEW YORK, NY 10010

ROW ASSOCIATES, LLC
1222 16TH AVENUE SOUTH, SUITE 21, NASHVILLE, TN 37212

SHANNON ADVISORS LLC
272 E. DEERPATH ROAD, SUITE 254, LAKE FOREST, IL 60045-5328

STONINGTON DRIVE SECURITIES LLC
51 JFK PARKWAY FIRST FLOOR WEST, SHORT HILLS, NJ 07078

STRATHMORE GROUP LLC
263 LITTLE PLAINS ROAD, SOUTHAMPTON, NY 11968-4946

STRAUS CAPITAL, LLC
50 PRINCETON-HIGHTSTOWN ROAD, (SUITE J), PRINCETON JUNCTION, NJ 08550

TAYLOR GREY, INC.
3158 SCHOLARSHIP, NEWPORT BEACH, CA 92612

TELEGRAPH HILL BD LLC
535 MISSION STREET, 14TH FLOOR, SAN FRANCISCO, CA 94105

TFA SECURITIES, INC.
201 CONTINENTAL BLVD., SUITE 110, EL SEGUNDO, CA 90245

THE FORBES SECURITIES GROUP LLC
6400 S. FIDDLERS GREEN CIRCLE, SUITE 850, GREENWOOD VILLAGE, CO 80111

THE GROWTH STAGE INC.
2911 TURTLE CREEK BOULEVARD, SUITE 300, DALLAS, TX 75219

THREADSTONE CAPITAL, LLC
477 MADISON AVE., 18TH FLOOR, NEW YORK, NY 10022

VERIT ADVISORS CAPITAL MARKETS LLC
181 W. MADISON STREET, SUITE 3745, CHICAGO, IL 60602

W G SECURITIES, LLC
1764 LITCHFIELD TURNPIKE, SUITE 250, WOODBRIDGE, CT 06525

WATERVIEW SECURITIES, INC.
12770 COIT ROAD, SUITE 1218, DALLAS, TX 75251

WITHUM CAPITAL, LLC
200 JEFFERSON PARK, SUITE 400, WHIPPANY, NJ 07981

ZATARA CAPITAL SECURITIES L.P.
3 CORPORATE PLAZA DRIVE, SUITE 101, NEWPORT BEACH, CA 92660

Last updated: 1/17/24