| Filer CIK | 0000740906 |
| Filer CCC |
**********
|
| Is this a LIVE or TEST Filing? |  LIVE
TEST
|
| Would you like a Return Copy? |  |
Submission Contact Information | |
| Name | |
| Phone | |
| E-Mail Address | |
| Notify via Filing Website only? |  |
| Notification E-mail Address |
FORM SBSE-A
Application for Registration as a Security-based Date: Applicant NFA Number: 399337 |
|
| A. Full name of the applicant | WELLS FARGO BANK N A |
| B. IRS Empl. Ident. No.: | 94-1347393 |
| C. Applicant's NFA ID #: | 399337 |
Applicant's CIK #: | 0000740906 |
Applicant’s UIC # (if any): | KB1H1DSPRFMYMCUFXT09 |
| D. Applicant's Main Address: (Do not use a P.O. Box) | |
Street Address 1: | 3201 N 4TH AVE |
Street Address 2: | |
City: | SIOUX FALLS |
State/Province/Country: |
SOUTH DAKOTA
|
Zip/ Postal Code: | 57104 |
| E. Mailing Address, if different: | |
Street Address 1: | 3201 N 4TH AVE |
Street Address 2: | |
City: | SIOUX FALLS |
State/Province/Country: |
SOUTH DAKOTA
|
Zip/ Postal Code: | 57104 |
| F. Business Telephone Number: | 605-575-6900 |
| G. Website/URL: | www.wellsfargo.com |
| H. Contact Employee: | |
Prefix: | Mr |
First Name: | Chris |
Middle Name: | |
Last Name: | Ragsdale |
Suffix: | |
Title: | Compliance Senior Manager |
Phone: | 314-875-3294 |
Email Address: | chris.ragsdale@wellsfargoadvisors.com |
| I. Chief Compliance Officer designated by the applicant in accordance with Exchange Act Section 15F(k): | |
Prefix: | Mr |
First Name: | Peter |
Middle Name: | |
Last Name: | Macchio |
Suffix: | |
Title: | Chief Compliance Officer |
Phone: | 212-214-1109 |
Email Address: | Peter.Macchio@wellsfargo.com |
| Date | 09-19-2025 |
| Name of Applicant | WELLS FARGO BANK N A |
| By: Signature | Charlie Blume |
| Name of Person Signing on Applicant's behalf | Charlie Blume |
| Title of Person Signing on Applicant's behalf | Compliance Manager |
FORM SBSE-A
Application for Registration as a Security-based Swap Dealer
and Major Security-based Swap Participant that is Registered
or Registering with the CFTC as a Swap Dealer or Major Swap Participant
Applicant Name:
WELLS FARGO BANK N A
Date:
Applicant NFA No.:
399337
| A. The applicant is registering as a security-based swap dealer: |  Yes
No
|
| B. The applicant is registering as a major security-based swap participant: | Yes
No
|
| A. Is the applicant a foreign security-based swap dealer that intends to: | |
| Yes
No
|
| Yes
No
|
| with respect to the requirements of Section 15F of the Exchange Act of 1934 and the rules and regulations thereunder? |
| Does the applicant intend to compute capital or margin, or price customer or proprietary positions, using mathematical models? | Yes
No
|
| A. The applicant is currently registered with the Commodity Futures Trading Commission as a: | Swap Dealer
Major Swap Participant
|
| B. The applicant is registering with the Commodity Futures Trading Commission as a: | Swap Dealer
Major Swap Participant
|
| Is the applicant a U.S. branch of a non-resident entity? | Yes
No
|
| Briefly describe the applicant's business: | Wells Fargo Bank, National Association is a federally chartered bank. |
| Is the applicant subject to regulation by a prudential regulator, as defined in Section 1a(39) of the Commodity Exchange Act. | Yes
No
|
If "yes," identify the prudential regulator: | The Federal Reserve Board The Office of the Comptroller of the Currency The Federal Deposit Insurance Corporation The Farm Credit Administration The Federal Housing Finance Agency
|
| Is the applicant registered with the Commission as an investment adviser? | Yes
No
|
| A. Is the applicant registered with the Commodity Futures Trading Commission in any capacity other than as a swap dealer or major swap participant? | Yes
No
|
| Does applicant engage in any other non-securities, financial services industry-related business? | Yes
No
|
If "yes," describe each other business briefly on Schedule B, Section I.
| Does the applicant hold or maintain any funds or securities to collateralize counterparty transactions? | Yes
No
|
FORM SBSE-A
Application for Registration as a Security-based Swap Dealer
and Major Security-based Swap Participant that is Registered
or Registering with the CFTC as a Swap Dealer or Major Swap Participant
Applicant Name:
WELLS FARGO BANK N A
Date:
Applicant NFA No.:
399337
| Does the applicant have any arrangement: | |
| A. With any other person, firm, or organization under which any books or records of the applicant are kept, maintained, or audited by such other person, firm or organization? | Yes
No
|
| B. Under which such other person, firm or organization executes, trades, custodies, clears or settles on behalf of the applicant (including any SRO in which the applicant is a member)? | Yes
No
|
If "yes" to any part of Item 13, complete appropriate items on Schedule B, Section II.
| Does any person directly or indirectly control the management or policies of the applicant through agreement or otherwise? | Yes
No
|
If "yes," complete appropriate item on Schedule B, Section II.
| Does any person directly or indirectly finance (wholly or partially) the business of the applicant? Do not answer "Yes" to Item 15 if the person finances the business of the applicant through: 1) a public offering of securities made pursuant to the Securities Act of 1933; or 2) credit extended in the ordinary course of business by suppliers, banks, and others. | Yes
No
|
If "yes," complete appropriate item on Schedule B, Section II.
| Is the applicant at the time of this filing succeeding to the business of a currently registered SBS Entity? | Yes
No
|
If "yes," complete appropriate items on Schedule B, Section Ill.
| Is the applicant registered with a foreign financial regulatory authority? | Yes
No
|
If "yes," list all such registrations on Schedule F, Page 1, Section II.
| The applicant has ___ principals who are individuals. | 40 |
Please list all principals who are individuals on Schedule A.
| Does any principal not identified in Item 18 and Schedule A effect, or is any principal not identified in Item 18 and Schedule A involved in effecting security-based swaps on behalf of the applicant, or will such principals effect or be involved in effecting such business on the applicant's behalf? | Yes
No
|
If "yes," complete appropriate item on Schedule B, Section IV.
FORM SBSE-A
Application for Registration as a Security-based Swap Dealer
and Major Security-based Swap Participant that is Registered
or Registering with the CFTC as a Swap Dealer or Major Swap Participant
Applicant Name:
WELLS FARGO BANK N A
Date:
Applicant NFA No.:
399337
Use Schedule A to identify all principals of the applicant who are individuals.
Complete the "Title or Status" column by entering board/management titles;
status as partner, trustee, sole proprietor, or shareholder; and for shareholders,
the class of securities owned (if more than one is issued).
Ownership Codes are:
NA - less than 5%
A - 5% but less than 10%
B - 10% but less than 25%
C - 25% but less than 50%
D - 50% but less than 75%
E - 75% or more
| Prefix | |
| Individuals: Last Name | Bonner |
| Individuals: First Name | Benjamin |
| Individuals: Middle Name | Thomas |
| Suffix | |
| Title or Status | Head of business unit, division or function |
| Date Title or Status Acquired(MM/YYYY) | 05/2014 |
| Date Individual began working for applicant (MM/YYYY) | 06/2001 |
| Does person have an ownership interest in the applicant | Yes
No
|
| NFA Identification No. | 477406 |
| CRD No. | 004905411 |
| IARD No. | |
| For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service): |
| Prefix | |
| Individuals: Last Name | Chancy |
| Individuals: First Name | Mark |
| Individuals: Middle Name | Alan |
| Suffix | |
| Title or Status | Director |
| Date Title or Status Acquired(MM/YYYY) | 10/2020 |
| Date Individual began working for applicant (MM/YYYY) | 08/2020 |
| Does person have an ownership interest in the applicant | Yes
No
|
| NFA Identification No. | 303002 |
| CRD No. | |
| IARD No. | |
| For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service): |
| Prefix | |
| Individuals: Last Name | Craver |
| Individuals: First Name | Theodore |
| Individuals: Middle Name | F |
| Suffix | Jr |
| Title or Status | Director |
| Date Title or Status Acquired(MM/YYYY) | 08/2019 |
| Date Individual began working for applicant (MM/YYYY) | 12/2017 |
| Does person have an ownership interest in the applicant | Yes
No
|
| NFA Identification No. | 200242 |
| CRD No. | |
| IARD No. | |
| For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service): |
| Prefix | |
| Individuals: Last Name | Kohn |
| Individuals: First Name | Mark |
| Individuals: Middle Name | Jonathan |
| Suffix | |
| Title or Status | Head of business unit, division or function |
| Date Title or Status Acquired(MM/YYYY) | 04/2019 |
| Date Individual began working for applicant (MM/YYYY) | 07/2013 |
| Does person have an ownership interest in the applicant | Yes
No
|
| NFA Identification No. | 300619 |
| CRD No. | 003108930 |
| IARD No. | |
| For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service): |
| Prefix | |
| Individuals: Last Name | Morris |
| Individuals: First Name | Maria |
| Individuals: Middle Name | |
| Suffix | |
| Title or Status | Director |
| Date Title or Status Acquired(MM/YYYY) | 10/2019 |
| Date Individual began working for applicant (MM/YYYY) | 12/2017 |
| Does person have an ownership interest in the applicant | Yes
No
|
| NFA Identification No. | 524015 |
| CRD No. | |
| IARD No. | |
| For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service): |
| Prefix | |
| Individuals: Last Name | Mullins |
| Individuals: First Name | Timothy |
| Individuals: Middle Name | Paul |
| Suffix | |
| Title or Status | Head of a business unit, division or function |
| Date Title or Status Acquired(MM/YYYY) | 05/2018 |
| Date Individual began working for applicant (MM/YYYY) | 04/2002 |
| Does person have an ownership interest in the applicant | Yes
No
|
| NFA Identification No. | 452535 |
| CRD No. | 001591930 |
| IARD No. | |
| For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service): |
| Prefix | |
| Individuals: Last Name | Papson |
| Individuals: First Name | Alexander |
| Individuals: Middle Name | Francis |
| Suffix | |
| Title or Status | Head of business unit, division or function |
| Date Title or Status Acquired(MM/YYYY) | 03/2021 |
| Date Individual began working for applicant (MM/YYYY) | 04/2011 |
| Does person have an ownership interest in the applicant | Yes
No
|
| NFA Identification No. | 537698 |
| CRD No. | 004911130 |
| IARD No. | |
| For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service): |
| Prefix | |
| Individuals: Last Name | Santomassimo |
| Individuals: First Name | Michael |
| Individuals: Middle Name | |
| Suffix | |
| Title or Status | Chief Financial Officer |
| Date Title or Status Acquired(MM/YYYY) | 11/2020 |
| Date Individual began working for applicant (MM/YYYY) | 10/2020 |
| Does person have an ownership interest in the applicant | Yes
No
|
| NFA Identification No. | 534329 |
| CRD No. | 002812336 |
| IARD No. | |
| For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service): |
| Prefix | |
| Individuals: Last Name | Scharf |
| Individuals: First Name | Charles |
| Individuals: Middle Name | William |
| Suffix | |
| Title or Status | Chief Executive Officer |
| Date Title or Status Acquired(MM/YYYY) | 10/2019 |
| Date Individual began working for applicant (MM/YYYY) | 10/2019 |
| Does person have an ownership interest in the applicant | Yes
No
|
| NFA Identification No. | 288529 |
| CRD No. | 002123354 |
| IARD No. | |
| For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service): |
| Prefix | |
| Individuals: Last Name | Sharrett |
| Individuals: First Name | Thad |
| Individuals: Middle Name | Marcus |
| Suffix | |
| Title or Status | Head of business unit, division or function |
| Date Title or Status Acquired(MM/YYYY) | 10/2020 |
| Date Individual began working for applicant (MM/YYYY) | 01/1997 |
| Does person have an ownership interest in the applicant | Yes
No
|
| NFA Identification No. | 482001 |
| CRD No. | 002853919 |
| IARD No. | |
| For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service): |
| Prefix | |
| Individuals: Last Name | Wan |
| Individuals: First Name | Man Yi Mandy |
| Individuals: Middle Name | |
| Suffix | |
| Title or Status | Head of business unit, division or function |
| Date Title or Status Acquired(MM/YYYY) | 01/2021 |
| Date Individual began working for applicant (MM/YYYY) | 03/2014 |
| Does person have an ownership interest in the applicant | Yes
No
|
| NFA Identification No. | 534066 |
| CRD No. | 006311797 |
| IARD No. | |
| For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service): |
| Prefix | |
| Individuals: Last Name | Gnall |
| Individuals: First Name | James |
| Individuals: Middle Name | William |
| Suffix | |
| Title or Status | Principal |
| Date Title or Status Acquired(MM/YYYY) | 12/2021 |
| Date Individual began working for applicant (MM/YYYY) | 06/2020 |
| Does person have an ownership interest in the applicant | Yes
No
|
| NFA Identification No. | 427087 |
| CRD No. | 002559685 |
| IARD No. | |
| For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service): |
| Prefix | |
| Individuals: Last Name | Kearns |
| Individuals: First Name | William |
| Individuals: Middle Name | Joseph |
| Suffix | |
| Title or Status | head of a Business Unit, Division or Function |
| Date Title or Status Acquired(MM/YYYY) | 02/2022 |
| Date Individual began working for applicant (MM/YYYY) | 09/2013 |
| Does person have an ownership interest in the applicant | Yes
No
|
| NFA Identification No. | 546565 |
| CRD No. | 002127701 |
| IARD No. | |
| For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service): |
| Prefix | |
| Individuals: Last Name | Marriott |
| Individuals: First Name | James |
| Individuals: Middle Name | Douglas |
| Suffix | |
| Title or Status | Head of a Business Unit, Division or Function |
| Date Title or Status Acquired(MM/YYYY) | 04/2022 |
| Date Individual began working for applicant (MM/YYYY) | 09/2021 |
| Does person have an ownership interest in the applicant | Yes
No
|
| NFA Identification No. | 547721 |
| CRD No. | |
| IARD No. | |
| For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service): |
| Prefix | |
| Individuals: Last Name | Peck |
| Individuals: First Name | Charles |
| Individuals: Middle Name | |
| Suffix | |
| Title or Status | HEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION |
| Date Title or Status Acquired(MM/YYYY) | 07/2022 |
| Date Individual began working for applicant (MM/YYYY) | 04/2018 |
| Does person have an ownership interest in the applicant | Yes
No
|
| NFA Identification No. | 548924 |
| CRD No. | 005157963 |
| IARD No. | |
| For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service): |
| Prefix | |
| Individuals: Last Name | Marchal |
| Individuals: First Name | Christopher |
| Individuals: Middle Name | |
| Suffix | |
| Title or Status | Head of a Business Unit, Division, or Function |
| Date Title or Status Acquired(MM/YYYY) | 09/2022 |
| Date Individual began working for applicant (MM/YYYY) | 07/2015 |
| Does person have an ownership interest in the applicant | Yes
No
|
| NFA Identification No. | 550747 |
| CRD No. | 005369737 |
| IARD No. | |
| For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service): |
| Prefix | |
| Individuals: Last Name | Oneill |
| Individuals: First Name | James |
| Individuals: Middle Name | Patrick |
| Suffix | |
| Title or Status | Head of a Business Unit, Division, or Function |
| Date Title or Status Acquired(MM/YYYY) | 10/2022 |
| Date Individual began working for applicant (MM/YYYY) | 12/2019 |
| Does person have an ownership interest in the applicant | Yes
No
|
| NFA Identification No. | 264809 |
| CRD No. | |
| IARD No. | |
| For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service): |
| Prefix | |
| Individuals: Last Name | Macchio |
| Individuals: First Name | Peter |
| Individuals: Middle Name | |
| Suffix | |
| Title or Status | Chief Compliance Officer |
| Date Title or Status Acquired(MM/YYYY) | 10/2022 |
| Date Individual began working for applicant (MM/YYYY) | 10/2022 |
| Does person have an ownership interest in the applicant | Yes
No
|
| NFA Identification No. | 552260 |
| CRD No. | 002124187 |
| IARD No. | |
| For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service): |
| Prefix | |
| Individuals: Last Name | Barry |
| Individuals: First Name | Judith |
| Individuals: Middle Name | |
| Suffix | |
| Title or Status | HEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION |
| Date Title or Status Acquired(MM/YYYY) | 01/2023 |
| Date Individual began working for applicant (MM/YYYY) | 07/2017 |
| Does person have an ownership interest in the applicant | Yes
No
|
| NFA Identification No. | 244096 |
| CRD No. | 002123145 |
| IARD No. | |
| For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service): |
| Prefix | |
| Individuals: Last Name | Heitman |
| Individuals: First Name | Bradford |
| Individuals: Middle Name | Jack |
| Suffix | |
| Title or Status | HEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION |
| Date Title or Status Acquired(MM/YYYY) | 12/2022 |
| Date Individual began working for applicant (MM/YYYY) | 06/2010 |
| Does person have an ownership interest in the applicant | Yes
No
|
| NFA Identification No. | 552982 |
| CRD No. | 002056247 |
| IARD No. | |
| For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service): |
| Prefix | |
| Individuals: Last Name | Hindman |
| Individuals: First Name | Vincent |
| Individuals: Middle Name | Paul |
| Suffix | |
| Title or Status | Head of a Business Unit, Division or Function |
| Date Title or Status Acquired(MM/YYYY) | 02/2023 |
| Date Individual began working for applicant (MM/YYYY) | 06/1999 |
| Does person have an ownership interest in the applicant | Yes
No
|
| NFA Identification No. | 554229 |
| CRD No. | 005891152 |
| IARD No. | |
| For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service): |
| Prefix | |
| Individuals: Last Name | Morante |
| Individuals: First Name | Alessandro |
| Individuals: Middle Name | Al |
| Suffix | |
| Title or Status | Head of a Business Unit, Division or Function |
| Date Title or Status Acquired(MM/YYYY) | 10/2023 |
| Date Individual began working for applicant (MM/YYYY) | 06/2007 |
| Does person have an ownership interest in the applicant | Yes
No
|
| NFA Identification No. | 559619 |
| CRD No. | 005416458 |
| IARD No. | |
| For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service): |
| Prefix | |
| Individuals: Last Name | Mcevoy |
| Individuals: First Name | Graeme |
| Individuals: Middle Name | E |
| Suffix | |
| Title or Status | Chief Operating Officer |
| Date Title or Status Acquired(MM/YYYY) | 11/2023 |
| Date Individual began working for applicant (MM/YYYY) | 02/2023 |
| Does person have an ownership interest in the applicant | Yes
No
|
| NFA Identification No. | 422776 |
| CRD No. | 005595318 |
| IARD No. | |
| For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service): |
| Prefix | |
| Individuals: Last Name | Davis |
| Individuals: First Name | Richard |
| Individuals: Middle Name | K |
| Suffix | |
| Title or Status | Director |
| Date Title or Status Acquired(MM/YYYY) | 06/2023 |
| Date Individual began working for applicant (MM/YYYY) | 04/2022 |
| Does person have an ownership interest in the applicant | Yes
No
|
| NFA Identification No. | 452324 |
| CRD No. | |
| IARD No. | |
| For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service): |
| Prefix | |
| Individuals: Last Name | Iannuzzi |
| Individuals: First Name | Christopher |
| Individuals: Middle Name | R |
| Suffix | |
| Title or Status | Head of a Business Unit, Division or Function |
| Date Title or Status Acquired(MM/YYYY) | 09/2023 |
| Date Individual began working for applicant (MM/YYYY) | 04/2013 |
| Does person have an ownership interest in the applicant | Yes
No
|
| NFA Identification No. | 305359 |
| CRD No. | 003253713 |
| IARD No. | |
| For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service): |
| Prefix | |
| Individuals: Last Name | Foley |
| Individuals: First Name | Chris |
| Individuals: Middle Name | M |
| Suffix | |
| Title or Status | Head of a Business Unit, Division or Function |
| Date Title or Status Acquired(MM/YYYY) | 12/2023 |
| Date Individual began working for applicant (MM/YYYY) | 05/2014 |
| Does person have an ownership interest in the applicant | Yes
No
|
| NFA Identification No. | |
| CRD No. | 002936645 |
| IARD No. | |
| For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service): |
| Prefix | |
| Individuals: Last Name | Pryor |
| Individuals: First Name | Michael |
| Individuals: Middle Name | S |
| Suffix | |
| Title or Status | Head of a Business Unit, Division or Function |
| Date Title or Status Acquired(MM/YYYY) | 03/2024 |
| Date Individual began working for applicant (MM/YYYY) | 08/1998 |
| Does person have an ownership interest in the applicant | Yes
No
|
| NFA Identification No. | |
| CRD No. | 005300297 |
| IARD No. | |
| For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service): |
| Prefix | |
| Individuals: Last Name | Durham |
| Individuals: First Name | Josh |
| Individuals: Middle Name | L |
| Suffix | |
| Title or Status | Head of a Business Unit, Division or Function |
| Date Title or Status Acquired(MM/YYYY) | 03/2024 |
| Date Individual began working for applicant (MM/YYYY) | 06/2003 |
| Does person have an ownership interest in the applicant | Yes
No
|
| NFA Identification No. | |
| CRD No. | 005298802 |
| IARD No. | |
| For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service): |
| Prefix | |
| Individuals: Last Name | Lee |
| Individuals: First Name | Chris |
| Individuals: Middle Name | M |
| Suffix | |
| Title or Status | Head of a Business Unit, Division or Function |
| Date Title or Status Acquired(MM/YYYY) | 04/2024 |
| Date Individual began working for applicant (MM/YYYY) | 09/2006 |
| Does person have an ownership interest in the applicant | Yes
No
|
| NFA Identification No. | 563196 |
| CRD No. | 005193257 |
| IARD No. | |
| For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service): |
| Prefix | |
| Individuals: Last Name | Ford |
| Individuals: First Name | Jill |
| Individuals: Middle Name | |
| Suffix | |
| Title or Status | Head of a Business Unit, Division or Function |
| Date Title or Status Acquired(MM/YYYY) | 03/2024 |
| Date Individual began working for applicant (MM/YYYY) | 09/2023 |
| Does person have an ownership interest in the applicant | Yes
No
|
| NFA Identification No. | |
| CRD No. | 002617191 |
| IARD No. | |
| For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service): |
| Prefix | |
| Individuals: Last Name | Perry |
| Individuals: First Name | James |
| Individuals: Middle Name | Lafayette |
| Suffix | |
| Title or Status | Head of a Business Unit, Division or Function |
| Date Title or Status Acquired(MM/YYYY) | 08/2024 |
| Date Individual began working for applicant (MM/YYYY) | 07/2018 |
| Does person have an ownership interest in the applicant | Yes
No
|
| NFA Identification No. | 564965 |
| CRD No. | 005541300 |
| IARD No. | |
| For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service): |
| Prefix | |
| Individuals: Last Name | Burns |
| Individuals: First Name | Mark |
| Individuals: Middle Name | Christopher |
| Suffix | |
| Title or Status | Head of a Business Unit, Division or Function |
| Date Title or Status Acquired(MM/YYYY) | 08/2024 |
| Date Individual began working for applicant (MM/YYYY) | 06/2004 |
| Does person have an ownership interest in the applicant | Yes
No
|
| NFA Identification No. | 564962 |
| CRD No. | 003157664 |
| IARD No. | |
| For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service): |
| Prefix | |
| Individuals: Last Name | Morken |
| Individuals: First Name | Cecelia |
| Individuals: Middle Name | Glenn |
| Suffix | |
| Title or Status | Director |
| Date Title or Status Acquired(MM/YYYY) | 06/2024 |
| Date Individual began working for applicant (MM/YYYY) | 04/2022 |
| Does person have an ownership interest in the applicant | Yes
No
|
| NFA Identification No. | 563771 |
| CRD No. | |
| IARD No. | |
| For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service): |
| Prefix | |
| Individuals: Last Name | Rivas |
| Individuals: First Name | Fernando |
| Individuals: Middle Name | |
| Suffix | |
| Title or Status | Head of a Business Unit, Division or Function" |
| Date Title or Status Acquired(MM/YYYY) | 08/2024 |
| Date Individual began working for applicant (MM/YYYY) | 05/2024 |
| Does person have an ownership interest in the applicant | Yes
No
|
| NFA Identification No. | 550221 |
| CRD No. | 004803269 |
| IARD No. | |
| For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service): |
| Prefix | |
| Individuals: Last Name | Saba |
| Individuals: First Name | Sharif |
| Individuals: Middle Name | Maurice |
| Suffix | |
| Title or Status | Head of a Business Unit, Division or Function |
| Date Title or Status Acquired(MM/YYYY) | 10/2024 |
| Date Individual began working for applicant (MM/YYYY) | 06/2015 |
| Does person have an ownership interest in the applicant | Yes
No
|
| NFA Identification No. | 566602 |
| CRD No. | 004220293 |
| IARD No. | |
| For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service): |
| Prefix | |
| Individuals: Last Name | Trainor |
| Individuals: First Name | Jill |
| Individuals: Middle Name | D |
| Suffix | |
| Title or Status | Head of a Business Unit, Division or Function |
| Date Title or Status Acquired(MM/YYYY) | 10/2024 |
| Date Individual began working for applicant (MM/YYYY) | 06/2019 |
| Does person have an ownership interest in the applicant | Yes
No
|
| NFA Identification No. | 566604 |
| CRD No. | 005810677 |
| IARD No. | |
| For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service): |
| Prefix | |
| Individuals: Last Name | Wang |
| Individuals: First Name | James |
| Individuals: Middle Name | L |
| Suffix | |
| Title or Status | Head of a Business Unit, Division or Function |
| Date Title or Status Acquired(MM/YYYY) | 10/2024 |
| Date Individual began working for applicant (MM/YYYY) | 06/2005 |
| Does person have an ownership interest in the applicant | Yes
No
|
| NFA Identification No. | 566603 |
| CRD No. | 004901051 |
| IARD No. | |
| For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service): |
| Prefix | |
| Individuals: Last Name | Smith |
| Individuals: First Name | Danny |
| Individuals: Middle Name | David |
| Suffix | |
| Title or Status | Head of a Business Unit, Division or Function |
| Date Title or Status Acquired(MM/YYYY) | 10/2024 |
| Date Individual began working for applicant (MM/YYYY) | 09/2024 |
| Does person have an ownership interest in the applicant | Yes
No
|
| NFA Identification No. | 547697 |
| CRD No. | 005500659 |
| IARD No. | |
| For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service): |
| Prefix | |
| Individuals: Last Name | Gruber |
| Individuals: First Name | Gregory |
| Individuals: Middle Name | Joseph |
| Suffix | |
| Title or Status | Head of a Business Unit, Division or Function |
| Date Title or Status Acquired(MM/YYYY) | 10/2024 |
| Date Individual began working for applicant (MM/YYYY) | 06/2013 |
| Does person have an ownership interest in the applicant | Yes
No
|
| NFA Identification No. | |
| CRD No. | 002834249 |
| IARD No. | |
| For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service): |
| Prefix | |
| Individuals: Last Name | Dyble |
| Individuals: First Name | Nigel |
| Individuals: Middle Name | |
| Suffix | |
| Title or Status | Head of a Business Unit, Division or Function |
| Date Title or Status Acquired(MM/YYYY) | 03/2025 |
| Date Individual began working for applicant (MM/YYYY) | 07/2005 |
| Does person have an ownership interest in the applicant | Yes
No
|
| NFA Identification No. | 570307 |
| CRD No. | |
| IARD No. | |
| For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service): |
FORM SBSE-A
Application for Registration as a Security-based Swap Dealer
and Major Security-based Swap Participant that is Registered
or Registering with the CFTC as a Swap Dealer or Major Swap Participant
Applicant Name:
WELLS FARGO BANK N A
Date:
Applicant NFA No.:
399337
Use this Schedule B to report details for items listed below. Report only new information or changes/updates to previously submitted details. Do not repeat previously submitted information.
| This is an INITIAL / AMENDED detail filing for the Form SBSE-A items checked below: | Initial
Amended
|
| UIC (if any), or other Unique Identification Number(s): | LEI -KB1H1DSPRFMYMCUFXT09 |
| Assigning Regulator(s)/Entity(s): | DTC/Global Market Entity Identifier Utility (GMEI) |
| Briefly describe any other financial services industry-related, non-securities business in which the applicant is engaged: | Wells Fargo Bank, National Association is a federally chartered bank. |
| UIC (if any), or other Unique Identification Number(s): | Charter #1 |
| Assigning Regulator(s)/Entity(s): | OCC |
| Briefly describe any other financial services industry-related, non-securities business in which the applicant is engaged: | Wells Fargo Bank, National Association is a federally chartered bank. |
| UIC (if any), or other Unique Identification Number(s): | 3511 |
| Assigning Regulator(s)/Entity(s): | FDIC Certificate |
| Briefly describe any other financial services industry-related, non-securities business in which the applicant is engaged: | Wells Fargo Bank, National Association is a federally chartered bank. |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | Iron Mountain Information Management, LLC |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | 1 Federal Street |
Street Address 2 | |
City | Boston |
State/Country |
MASSACHUSETTS
|
Zip + 4 Postal Code | 02110-2012 |
| Effective Date MM DD YYYY | 10-30-2009 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Custodial Arrangement |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | RegEd |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | 2100 Gateway Centre Blvd |
Street Address 2 | Suite 200 |
City | Moorisville |
State/Country |
NORTH CAROLINA
|
Zip + 4 Postal Code | 27560-6228 |
| Effective Date MM DD YYYY | 08-23-2019 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Custodial Arrangement |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | Cisive |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | 5000 Corporate Court |
Street Address 2 | Suite 203 |
City | Holtsville |
State/Country |
NEW YORK
|
Zip + 4 Postal Code | 11742-2010 |
| Effective Date MM DD YYYY | 09-15-2021 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Custodial Arrangement |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | DTCC ITP, LLC (formerly Omgeo, LLC) |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | 55 Thomson Place |
Street Address 2 | |
City | Boston |
State/Country |
MASSACHUSETTS
|
Zip + 4 Postal Code | 02210-1244 |
| Effective Date MM DD YYYY | 08-16-2010 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Custodial Arrangement |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | J.P. Morgan Securities LLC |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | 0000815 |
IARD (if any) | |
UIC (if any) | |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | 383 Madison Ave |
Street Address 2 | 11th Floor |
City | New York |
State/Country |
NEW YORK
|
Zip + 4 Postal Code | 10179-3217 |
| Effective Date MM DD YYYY | 06-12-2002 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | FCM Agreement |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | Wells Fargo Securities, LLC. |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | 008-65876 |
CRD (if any) | 000126292 |
NFA (if any) | 0336875 |
IARD (if any) | |
UIC (if any) | LEI-VYVVCKR63DVZZN70PB21 |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | 550 S. Tryon Street |
Street Address 2 | 10th Floor |
City | Charlotte |
State/Country |
NORTH CAROLINA
|
Zip + 4 Postal Code | 28202-4200 |
| Effective Date MM DD YYYY | 12-21-2016 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | FCM Agreement |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | SG Americas Securities, LLC |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | 0344862 |
IARD (if any) | |
UIC (if any) | |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | 245 Park Ave |
Street Address 2 | |
City | New York |
State/Country |
NEW YORK
|
Zip + 4 Postal Code | 10167-0002 |
| Effective Date MM DD YYYY | 04-20-2017 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | FCM Agreement |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | BGC Financial, L.P. |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | 008-39012 |
CRD (if any) | 000019801 |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | One Seaport Plaza |
Street Address 2 | 19th Floor |
City | New York |
State/Country |
NEW YORK
|
Zip + 4 Postal Code | 10038-3526 |
| Effective Date MM DD YYYY | 12-13-2016 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Broker Agreement |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | tpSEF Inc. |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | 0436576 |
IARD (if any) | |
UIC (if any) | |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | 1100 Plaza Five, Floor 11 |
Street Address 2 | Harborside Financial Center |
City | Jersey Citt |
State/Country |
NEW JERSEY
|
Zip + 4 Postal Code | 07311-4996 |
| Effective Date MM DD YYYY | 01-01-2016 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | SEF Agreement |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | ICE Clear Credit LLC |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | LEI-T33OE4AS4QXXS2TT7X50 |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | 353 N Clark St |
Street Address 2 | |
City | Chicago |
State/Country |
ILLINOIS
|
Zip + 4 Postal Code | 60654 |
| Effective Date MM DD YYYY | 05-17-2006 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Clearing Agreement |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | Bloomberg SEF LLC |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | 0435118 |
IARD (if any) | |
UIC (if any) | |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | 731 Lexington Ave |
Street Address 2 | |
City | New York |
State/Country |
NEW YORK
|
Zip + 4 Postal Code | 10022 |
| Effective Date MM DD YYYY | 03-26-2013 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | SEF Agreement |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | TW SEF LLC |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | 0436570 |
IARD (if any) | |
UIC (if any) | |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | 1177 Avenue of the Americas |
Street Address 2 | |
City | New York |
State/Country |
NEW YORK
|
Zip + 4 Postal Code | 10036-2714 |
| Effective Date MM DD YYYY | 09-27-2013 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | SEF Agreement |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | GFI Swaps Exchange LLC |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | 0435117 |
IARD (if any) | |
UIC (if any) | |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | 55 Water St |
Street Address 2 | |
City | New York |
State/Country |
NEW YORK
|
Zip + 4 Postal Code | 10041 |
| Effective Date MM DD YYYY | 10-31-2013 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | SEF Agreement |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | Tradition SEF, Inc |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | LEI-549300MBO45EHETL4438 |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | 255 Greenwich St. |
Street Address 2 | 4th Floor |
City | New York |
State/Country |
NEW YORK
|
Zip + 4 Postal Code | 10007 |
| Effective Date MM DD YYYY | 10-01-2007 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | SEF Agreement |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | BGC Derivatives Markets, L.P. |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | 499 Park Avenue |
Street Address 2 | |
City | New York |
State/Country |
NEW YORK
|
Zip + 4 Postal Code | 10022 |
| Effective Date MM DD YYYY | 10-29-2013 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | SEF Agreement |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | DW SEF LLC |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | 0465310 |
IARD (if any) | |
UIC (if any) | |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | 1177 Avenue of Americas |
Street Address 2 | |
City | New York |
State/Country |
NEW YORK
|
Zip + 4 Postal Code | 10036-2714 |
| Effective Date MM DD YYYY | 05-28-2014 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | SEF Agreement |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | Continuous Linked Settlements (CLS) |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | 32 Old Slip |
Street Address 2 | |
City | New York |
State/Country |
NEW YORK
|
Zip + 4 Postal Code | 10005 |
| Effective Date MM DD YYYY | 06-20-2016 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Settlement Agreement |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | Fedwire Funds Service |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | Customer Contact Center, Federal Reserve |
Street Address 2 | P.O. 219416 |
City | Kansas City |
State/Country |
MISSOURI
|
Zip + 4 Postal Code | 64121-9416 |
| Effective Date MM DD YYYY | 10-22-2008 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Settlement Agreement |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | The Bank of New York Mellon |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | LEI-WFLLPEPC7FZXENRZV188 |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | 240 Greenwich St |
Street Address 2 | |
City | New York |
State/Country |
NEW YORK
|
Zip + 4 Postal Code | 10286 |
| Effective Date MM DD YYYY | 11-04-2010 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Custodian Agreement |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | ICAP Global Derivatives Limited |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | 0471975 |
IARD (if any) | |
UIC (if any) | |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | 135 Bishopsgate |
Street Address 2 | |
City | London |
State/Country |
UNITED KINGDOM
|
Zip + 4 Postal Code | EC2M 3TP |
| Effective Date MM DD YYYY | 09-27-2013 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | SEF Agreement |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | Euroclear Bank SA/NV |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | 1 Blvd Du Roi Albert II |
Street Address 2 | |
City | Brussels, |
State/Country |
BELGIUM
|
Zip + 4 Postal Code | BE-BRU1210 |
| Effective Date MM DD YYYY | 11-06-2018 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Custodial Agreement |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | BGC Brokers US, LP |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | One Seaport Plaza |
Street Address 2 | 19th Floor |
City | New York |
State/Country |
NEW YORK
|
Zip + 4 Postal Code | 10038 |
| Effective Date MM DD YYYY | 12-13-2006 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Broker Agreement |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | BGC Capital Markets, L.P. |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | One Seaport Plaza |
Street Address 2 | 19th Floor |
City | New York |
State/Country |
NEW YORK
|
Zip + 4 Postal Code | 10038 |
| Effective Date MM DD YYYY | 12-13-2016 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Broker Agreement |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | Clearstream Banking S.A. |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | 42 Avenue J.F.K |
Street Address 2 | |
City | Luxembourg |
State/Country |
LUXEMBOURG
|
Zip + 4 Postal Code | L1855-LU |
| Effective Date MM DD YYYY | 05-25-2018 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Collateral Management Service Agreement |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | Tradition Securities & Derivatives Inc. |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | 008-43559 |
CRD (if any) | 000028269 |
NFA (if any) | 0458147 |
IARD (if any) | |
UIC (if any) | |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | 32 Old Slip |
Street Address 2 | 28th Floor |
City | New York |
State/Country |
NEW YORK
|
Zip + 4 Postal Code | 10005 |
| Effective Date MM DD YYYY | 10-20-2021 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Brokerage Rate Agreement |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | The Depository Trust Company |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | LEI-549300HBJLRO8YFMI370 |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | 55 Water St |
Street Address 2 | |
City | New York |
State/Country |
NEW YORK
|
Zip + 4 Postal Code | 10041-0099 |
| Effective Date MM DD YYYY | 03-01-2010 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Custodial Agreement |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | Bay Crest Partners, LLC |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | 008-48931 |
CRD (if any) | 000003944 |
NFA (if any) | 0393908 |
IARD (if any) | |
UIC (if any) | |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | 40 Wall Street, 42nd St. |
Street Address 2 | |
City | New York |
State/Country |
NEW YORK
|
Zip + 4 Postal Code | 10005 |
| Effective Date MM DD YYYY | 10-19-2021 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Broker Rate Agreement |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | FGC Securities, LLC |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | 008-68897 |
CRD (if any) | 000158399 |
NFA (if any) | 0457344 |
IARD (if any) | |
UIC (if any) | |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | 11 Broadway |
Street Address 2 | Suite 615 |
City | New York |
State/Country |
NEW YORK
|
Zip + 4 Postal Code | 10004 |
| Effective Date MM DD YYYY | 10-19-2021 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Broker Rate Agreement |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | Tullett Prebon Financial Services LLC |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | 008-43487 |
CRD (if any) | 000028196 |
NFA (if any) | 0333185 |
IARD (if any) | |
UIC (if any) | |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | 200 Vesey Street |
Street Address 2 | 5th Floor |
City | New York |
State/Country |
NEW YORK
|
Zip + 4 Postal Code | 10281-1008 |
| Effective Date MM DD YYYY | 10-21-2020 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Brokerage Rate Agreement |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | ICAP Corporates LLC |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | 008-12726 |
CRD (if any) | 000002762 |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | 200 Vesey Street |
Street Address 2 | 6th Floor |
City | New York |
State/Country |
NEW YORK
|
Zip + 4 Postal Code | 10281-1008 |
| Effective Date MM DD YYYY | 10-21-2021 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Brokerage Rate Agreement |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | Wallbachbeth Capital, LLC |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | 008-67936 |
CRD (if any) | 000147853 |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | 7999 North Federal Highway |
Street Address 2 | Suite 100 |
City | Boca Raton |
State/Country |
FLORIDA
|
Zip + 4 Postal Code | 33487 |
| Effective Date MM DD YYYY | 10-21-2021 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Brokerage Rate Agreement |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | WFC Holdings, LLC |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | LEI-OT19FZZ6Z7A27CCLDY33 |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | 420 Montgomery Street |
Street Address 2 | |
City | San Francisco |
State/Country |
CALIFORNIA
|
Zip + 4 Postal Code | 94104-1207 |
| Effective Date MM DD YYYY | 11-02-1998 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | WFC Holdings, LLC is the direct owner of Wells Fargo Bank N.A. |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | Wells Fargo & Company |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | LEI - PBLD0EJDB5FWOLXP3B7 |
CIK Number (if any) | 0000072971 |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | 420 Montgomery Street |
Street Address 2 | |
City | San Francisco |
State/Country |
CALIFORNIA
|
Zip + 4 Postal Code | 94104 |
| Effective Date MM DD YYYY | 11-02-1998 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Wells Fargo & Company is an indirect owner of Wells Fargo Bank N.A. |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | Wells Fargo & Company |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | LEI - PBLD0EJDB5FWOLXP3B7 |
CIK Number (if any) | 0000072971 |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | 420 Montgomery Street |
Street Address 2 | |
City | San Francisco |
State/Country |
CALIFORNIA
|
Zip + 4 Postal Code | 94104-1207 |
| Effective Date MM DD YYYY | 06-28-2017 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Wells Fargo & Company is a financial holding company. It is the direct parent of WFC Holdings, LLC, which is the direct parent of Wells Fargo Bank, N.A. {"WFBNA" ). From time to time, Wells Fargo & Company issues debt to third parties. Wells Fargo & Company lends, or makes equity contributions of, the proceeds from such debt issuances to WFC Holdings, LLC. In turn, WFC Holdings, LLC may make loans to its subsidiaries, including WFBNA, pursuant to one or more affiliate loan agreements issued from time to time and outstanding under a master affiliate funding arrangement dated effective 6/28/2017. |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | Wells Fargo Finance, LLC |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | LEI-549300B4EK2P19158U08 |
CIK Number (if any) | 0001738143 |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | 500 W. 33rd Street |
Street Address 2 | 30 Hudson Yards Floor 14 |
City | New York |
State/Country |
NEW YORK
|
Zip + 4 Postal Code | 10001-1301 |
| Effective Date MM DD YYYY | 07-17-2018 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Wells Fargo Finance LLC offers registered securities guaranteed by Wells Fargo & Company. Funds raised by Wells Fargo Finance LLC in connection with such issuances are loaned back to Wells Fargo & Company pursuant to a master funding arrangement dated effective as of 07/17/2018. Wells Fargo & Company may lend or make equity contributions of the proceeds from such debt issuances to WFC Holdings, LLC. In turn, WFC Holdings, LLC may make loans to its subsidiaries, including WFBNA, pursuant to one or more affiliate loan agreements issued from time to time and outstanding under a master affiliate funding arrangement dated effective 06/28/2017. |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | Peony Asset Management, Inc |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | LEI-549300LL6VD10M2ZBY31 |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | 3800 Howard Hughes Parkway |
Street Address 2 | Floor 9 |
City | Las Vegas |
State/Country |
NEVADA
|
Zip + 4 Postal Code | 89169 |
| Effective Date MM DD YYYY | 06-01-2004 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Peony Asset Management, Inc. is a Delaware corporation and an indirect, wholly owned subsidiary of WFBNA. It holds a significant portion of WFBNA's investment portfolio, including debt and equity securities considered HQLA. It also provides regular funding for WFBNA pursuant to two loan agreements, each dated effective 05/06/2021 and issued pursuant to a master affiliate funding arrangement dated effective 6/28/2017. It also from time to time lends securities to WFBNA pursuant to a securities lending arrangement dated effective 06/01/2004 for use as collateral in one or more WFBNA business transactions. |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | WFC Holdings, LLC |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | LEI-0T19FZZ6Z7A27CCLDZY33 |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | 420 Montgomery St |
Street Address 2 | |
City | San Francisco |
State/Country |
CALIFORNIA
|
Zip + 4 Postal Code | 94104 |
| Effective Date MM DD YYYY | 06-28-2017 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | WFC Holdings, LLC may make loans to its subsidiaries, including WFBNA, pursuant to one or more affiliate loan agreements issued from time to time and outstanding under a master affiliate funding arrangement dated effective as of 6/28/2017. |