Chief Compliance Officer

0001484219-21-000001.txt : 20210218 0001484219-21-000001.hdr.sgml : 20210218 20210218131209 ACCESSION NUMBER: 0001484219-21-000001 CONFORMED SUBMISSION TYPE: MA/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20210115 DATE AS OF CHANGE: 20210218 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Barclays Capital INC CENTRAL INDEX KEY: 0001484219 IRS NUMBER: 000000000 FILING VALUES: FORM TYPE: MA/A SEC ACT: 1934 Act SEC FILE NUMBER: 867-01287 FILM NUMBER: 21648749 BUSINESS ADDRESS: STREET 1: 745 SEVENTH AVENUE CITY: NEW YORK STATE: NY ZIP: 10019 BUSINESS PHONE: 001 212 526 1755 MAIL ADDRESS: STREET 1: 745 SEVENTH AVENUE CITY: NEW YORK STATE: NY ZIP: 10019 MA/A 1 primary_doc.xml MA/A 0001484219 XXXXXXXX Mary Beth Coffey 212-412-3206 marybeth.coffey@barclays.com marybeth.coffey@barclays.com amber.humayun@barclays.com Barclays Capital INC 19714 06-1031656 866-00522-00 867-01287 008-41342 19714 801-69700 19714 SWAP FIRM 0228758 COMMODITY POOL OPERATOR 0228758 COMMODITY TRADING ADVISOR 0228758 EXEMPT FOREIGN FIRM AGENT 0228758 FUTURES COMMISSION MERCHANT 0228758 Municipal Securities Dealer -- MSRB A6566 745 SEVENTH AVENUE NEW YORK NY 10019 212-526-7000 N www.barcap.com Add WWW.BARCLAYSWEALTH.COM Add WWW.BARCLAYS.COM Add WWW.INVESTMENTPHILOSOPHY.COM Edvard S Olsen Chief Compliance Officer

745 7th Avenue 13th Floor New York NY 10019

212-526-2423 Edvard.Olsen@barclays.com Matthew HEALY Eisenberg Regulatory Relations

745 7th Avenue, 14th floor New York NY 10019

212-526-6967 matthew.eisenberg@barclays.com Add IRON MOUNTAIN (MULITPLE LOCATIONS) 745 ATLANTIC AVENUE BOSTON MA 02111 212-526-6967

IRON MOUNTAIN IS A THIRD PARTY VENDOR THAT SERVES AS A DOCUMENT REPOSITORY. BARCLAYS CORRETORA DE TITULOS E VALORES MOBILIARIOS S.A. N BARCLAYS CAPITAL SECURITIES LIMITED Y Financial Conduct Authority 124431 X0 BARCLAYS CAPITAL ASIA LIMITED Y Securities and Futures Commission AAC257 K3 BARCLAYS CAPITAL JAPAN LIMITED Y Japan Securities Dealers Association M0 DURLACHER NOMINEES LTD. N BARCLAYS STOCKBROKERS LTD. Y Financial Conduct Authority 124247 X0 BARCLAYS METALS LTD. N BARCLAYS PHYSICAL TRADING LIMITED N WESTFERRY INVESTMENTS LTD N BARCLAYS BANK TRUST CO.LTD Y Financial Conduct Authority; Prudential Regulatory Authority 119184 X0 BARCLAYS ASIA LIMITED N BARCLAYS CAPITAL CANADA INC Y Investment Industry Regulatory Organization of Canada 23970 Z4 BARCLAYS CAPITAL CASA DE BOLSA, S.A. DE C.V. Y National Banking and Securities Commission BCC06031613A O5 BARCLAYS CAPITAL FUTURES (SINGAPORE) PRIVATE LTD. Y Monetary Authority of Singapore U0 BARCLAYS CAPITAL MARKETS MALAYSIA SDN. BHD. N BARCLAYS CAPITAL MAURITIUS LIMITED N BARCLAYS CAPITAL SECURITIES (THAILAND) LTD Y Securities and Exchange Commission of Thailand 105539027328 W1 BARCLAYS INTERNATIONAL FUNDS GROUP LIMITED N BARCLAYS PRESTACADO DE SERVICOS - ACE N BARCLAYS PRIVATE CLIENTS INTERNATIONAL LIMITED Y Financial Conduct Authority 305405 Y8 BARCLAYS SHAREDEALING Y Financial Conduct Authority 139258 X0 BARCLAYS VIE S.A. Y French Prudential Supervisory Authority RCS PARIS B 384532172 I0 BARREP PTY LIMITED N GERRARD INVESTMENT MANAGEMENT LIMITED Y Financial Conduct Authority 155595 X0 PT BARCLAYS CAPITAL SECURITIES INDONESIA N WOOLWOCH PLAN MANAGERS LIMITED Y Financial Conduct Authority 183887 X0 EQUITY VALUE INVESTMENTS LLP N BARCLAYS PLC N BARCLAYS BANK PLC. Y Financial Conduct Authority; Prudential Regulation Authority 122702 X0 December CT 03-30-1998 N 2707 3 6 6 0 0 1 Municipal Entities 0 0 0 Not Applicable Fixed Fees Contingent Fees Not Applicable Advice Insurance Of MS Advice On Selection Y Y Y Y Y Y Y APPLICANT ACTS AS AN AGENT ON A FULLY DISCLOSED BASIS FOR COMMODITIES. APPLICANT ACTS AS MARKETER FOR OVER-THE-COUNTER DERIVATIVES, FOREIGN EXCHANGE CONTRACTS, AND OTHER FINANCIAL INSTRUMENTS AND EFFECTS SECURITIES TRANSACTIONS PURSUANT TO SEC RULE 15A-6 THROUGH ITS AFFILIATES. APPLICANT ENGAGES IN THE BUSINESS OF PRIVATE EQUITY AND BUSINESS TRANSACTION FINANCIAL ADVISORY SERVICES. Broker-dealer municipal securities dealer or government securities broker or dealer Investment Company Investment Adviser Swap Dealer Security-based swap dealer Commodity pool operator Commodity trading advisor Futures commission merchant Banking/Thrift institution Trust Company 23 Add Broker-dealer municipal securities dealer or government securities broker or dealer Barclays Capital Securities Limited Barclays Capital Securities Limited N Y Y Financial Conduct Authority; Prudential Regulation Authority 124431 X0 Add Broker-dealer municipal securities dealer or government securities broker or dealer BARCLAYS CORRETORA DE TITULOS E VALORES MOBILIARIOS S.A. BARCLAYS CORRETORA DE TITULOS E VALORES MOBILIARIOS S.A. N Y N Add Investment Adviser Futures commission merchant BARCLAYS CAPITAL ASIA LIMITED BARCLAYS CAPITAL ASIA LIMITED N Y Y Securities and Futures Commission AAC257 K3 Add Broker-dealer municipal securities dealer or government securities broker or dealer Investment Adviser BARCLAYS STOCKBROKERS LTD. BARCLAYS STOCKBROKERS LTD. N Y Y Financial Conduct Authority 124247 X0 Add Investment Company BARCLAYS METALS LTD. BARCLAYS METALS LTD. N Y N Add Commodity trading advisor BARCLAYS PHYSICAL TRADING LIMITED BARCLAYS PHYSICAL TRADING LIMITED N Y N Add Investment Company WESTFERRY INVESTMENTS LTD WESTFERRY INVESTMENTS LTD N Y N Add Investment Adviser Trust Company BARCLAYS BANK TRUST CO.LTD BARCLAYS BANK TRUST CO.LTD N Y Y Financial Conduct Authority; Prudential Regulatory Authority 119184 X0 Add Broker-dealer municipal securities dealer or government securities broker or dealer Investment Adviser BARCLAYS CAPITAL CANADA INC BARCLAYS CAPITAL CANADA INC N Y Y Investment Industry Regulatory Organization of Canada 23970 Z4 Add Broker-dealer municipal securities dealer or government securities broker or dealer BARCLAYS CAPITAL CASA DE BOLSA, S.A. DE C.V. BARCLAYS CAPITAL CASA DE BOLSA, S.A. DE C.V. N Y Y National Banking and Securities Commission BCC06031613A O5 Add Futures commission merchant BARCLAYS CAPITAL FUTURES (SINGAPORE) PRIVATE LTD. BARCLAYS CAPITAL FUTURES (SINGAPORE) PRIVATE LTD. N Y Y Monetary Authority of Singapore U0 Add Investment Adviser BARCLAYS CAPITAL MARKETS MALAYSIA SDN. BHD. BARCLAYS CAPITAL MARKETS MALAYSIA SDN. BHD. N Y N Add Broker-dealer municipal securities dealer or government securities broker or dealer BARCLAYS CAPITAL MAURITIUS LIMITED BARCLAYS CAPITAL MAURITIUS LIMITED N Y N Add Broker-dealer municipal securities dealer or government securities broker or dealer BARCLAYS CAPITAL SECURITIES (THAILAND) LTD BARCLAYS CAPITAL SECURITIES (THAILAND) LTD N Y Y "Securities and Exchange 105539027328 W1 Add Banking/Thrift institution BARCLAYS PRIVATE CLIENTS INTERNATIONAL LIMITED BARCLAYS PRIVATE CLIENTS INTERNATIONAL LIMITED N Y Y Financial Conduct Authority 305405 X0 Add Broker-dealer municipal securities dealer or government securities broker or dealer BARCLAYS SHAREDEALING BARCLAYS SHAREDEALING N Y Y Financial Conduct Authority 139258 X0 Add Investment Company Investment Adviser Insurance company or agency BARCLAYS VIE S.A. BARCLAYS VIE S.A. N Y Y French Prudential Supervisory Authority RCS PARIS B 384532172 I0 Add Banking/Thrift institution BARREP PTY LIMITED BARREP PTY LIMITED N Y N Add Investment Company Investment Adviser GERRARD INVESTMENT MANAGEMENT LIMITED GERRARD INVESTMENT MANAGEMENT LIMITED N Y Y Financial Conduct Authority 155595 X0 Add Broker-dealer municipal securities dealer or government securities broker or dealer Investment Company PT BARCLAYS CAPITAL SECURITIES INDONESIA PT BARCLAYS CAPITAL SECURITIES INDONESIA N Y N Add Investment Adviser WOOLWOCH PLAN MANAGERS LIMITED WOOLWOCH PLAN MANAGERS LIMITED N Y Y Financial Conduct Authority 183887 X0 Add Investment Company Investment Adviser EQUITY VALUE INVESTMENTS LLP EQUITY VALUE INVESTMENTS LLP N Y N Add Swap Dealer Security-based swap dealer Banking/Thrift institution BARCLAYS BANK PLC. BARCLAYS BANK PLC. N Y Y Financial Conduct Authority; Prudential Regulation Authority 122702 X0 N N N N N N N N N N N N N BARCLAYS BANK PLC 0000312070 Schedule B BARCLAYS PLC 0000312069 Schedule B Y Y N N Y Y N Y Y Y Y Y Y Y N Y N N N Y Y Y Y Y N Y BARCLAYS GROUP US INC. N 13-3249618 OWNS BARCLAYS CAPITAL INC 12-21-1999 E Y GERARD SEBASTIAN LAROCCA BOARD DIRECTOR 10-31-2005 NA Y 2683227 GERARD SEBASTIAN LAROCCA PRESIDENT 01-01-2011 NA Y 2683227 RAHUL NMN JAISING REGISTERED OPTIONS SECURITIES FUTURES PRINCIPAL - PRIME SERVICES 08-06-2013 NA N 4754959 ANTHONY NMN BANCONE REGISTERED OPTIONS SECURITIES FUTURES PRINCIPAL - DISTRIBUTION 08-06-2013 NA N 1790892 MONTY LEE FORREST Chief Operations Officer 05-11-2015 NA Y 5812639 MONTY LEE FORREST BOARD DIRECTOR 05-11-2015 NA Y 5812639 JEFFREY ANTHONY MELI CO-HEAD OF RESEARCH 07-24-2015 NA N 4477654 Matthew Scott Larson Chief Financial Officer 06-16-2017 NA Y 2605152 Matthew Scott Larson Board Director 06-16-2017 NA Y 2605152 Michael NMN Lublinsky Board Director 02-05-2018 NA Y 2655249 Murray Charles Barnes BOARD DIRECTOR 04-11-2018 NA Y 5773694 Edvard S Olsen CHIEF COMPLIANCE OFFICER - BD 06-01-2018 NA N 4584109 James Bertrum Fuqua Cheif Legal Officer 11-26-2018 NA N 2933658 Joseph Charles Noto Board Director 09-27-2018 NA N 4688658 Claire Scholz O'Connor Board Director 09-27-2018 NA N 1907247 Zack - Zacharia CHIEF COMPLIANCE OFFICER - SECURITIES TRADING 05-10-2019 NA N 2440444 BARCLAYS US LLC BARCLAYS BANK PLC Y 13-4942190 SOLE SHAREHOLDER 03-17-2016 E Y BARCLAYS BANK PLC BARCLAYS PLC Y SOLE SHAREHOLDER 01-01-1985 E Y FOREIGN BARCLAYS GROUP US INC. BARCLAYS US LLC N 47-3808943 SOLE SHAREHOLDER 04-27-2016 E Y BARCLAYS GROUP US INC. N 13-3249618 OWNS BARCLAYS CAPITAL INC 12-21-1999 E Y GERARD SEBASTIAN LAROCCA BOARD DIRECTOR 10-31-2005 NA Y 2683227 GERARD SEBASTIAN LAROCCA PRESIDENT 01-01-2011 NA Y 2683227 RAHUL NMN JAISING REGISTERED OPTIONS SECURITIES FUTURES PRINCIPAL - PRIME SERVICES 08-06-2013 NA N 4754959 ANTHONY NMN BANCONE REGISTERED OPTIONS SECURITIES FUTURES PRINCIPAL - DISTRIBUTION 08-06-2013 NA N 1790892 MONTY LEE FORREST Chief Operations Officer 05-11-2015 NA Y 5812639 MONTY LEE FORREST BOARD DIRECTOR 05-11-2015 NA Y 5812639 JEFFREY ANTHONY MELI CO-HEAD OF RESEARCH 07-24-2015 NA N 4477654 Delete Matthew Scott Larson Chief Financial Officer 06-16-2017 NA Y 2605152 Delete Matthew Scott Larson Board Director 06-16-2017 NA Y 2605152 Michael NMN Lublinsky Board Director 02-05-2018 NA Y 2655249 Delete Murray Charles Barnes BOARD DIRECTOR 04-11-2018 NA Y 5773694 Edvard S Olsen CHIEF COMPLIANCE OFFICER - BD 06-01-2018 NA N 4584109 James Bertrum Fuqua Cheif Legal Officer 11-26-2018 NA N 2933658 Joseph Charles Noto Board Director 09-27-2018 NA N 4688658 Claire Scholz O'Connor Board Director 09-27-2018 NA N 1907247 Zack - Zacharia CHIEF COMPLIANCE OFFICER - SECURITIES TRADING 05-10-2019 NA N 2440444 NewAdd Carol Pedersen Mathis CHIEF FINANCIAL OFFICER 01-04-2021 NA N 4322657 NewAdd Marc Jason Glogoff BOARD DIRECTOR 01-15-2021 NA Y 5861911 BARCLAYS US LLC BARCLAYS BANK PLC Y 13-4942190 SOLE SHAREHOLDER 03-17-2016 E Y BARCLAYS BANK PLC BARCLAYS PLC Y SOLE SHAREHOLDER 01-01-1985 E Y FOREIGN BARCLAYS GROUP US INC. BARCLAYS US LLC N 47-3808943 SOLE SHAREHOLDER 04-27-2016 E Y 1 9-A1 9-A2 Barclays PLC N BARCLAYS CAPITAL INC. 19714 1786349 1 9-A1 9-A2 Barclays PLC N Barclays Capital, Inc 19714 1786349 1 9-A2 Barclays Capital, Inc 19714 1942747 Barclays PLC N Barclays Capital, Inc 19714 1942747 1 9-A2 Barclays Bank PLC N Barclays Capital, Inc 19714 1971584 9-C2 9-C4 9-C5 BARCLAYS CAPITAL INC. 19714 121562 1 9-C2 9-C4 9-C5 BARCLAYS BANK PLC N BARCLAYS CAPITAL INC. 19714 661887 9-E2 BARCLAYS CAPITAL INC. 19714 661888 9-E2 BARCLAYS CAPITAL INC. 19714 661889 9-E2 BARCLAYS CAPITAL INC. 19714 232184 9-E2 BARCLAYS CAPITAL INC. 19714 1169498 9-E2 BARCLAYS CAPITAL INC. 19714 1230813 9-E2 BARCLAYS CAPITAL INC. 19714 1292950 9-E2 BARCLAYS CAPITAL INC. 19714 1302267 9-E2 BARCLAYS CAPITAL INC. 19714 1377638 9-E2 BARCLAYS CAPITAL INC. 19714 1423960 9-E2 BARCLAYS CAPITAL INC. 19714 1479997 9-E2 BARCLAYS CAPITAL INC. 19714 1501367 1 9-D4 BARCLAYS BANK PLC N BARCLAYS CAPITAL INC. 19714 1527472 9-E2 BARCLAYS CAPITAL INC. 19714 1536027 9-E2 BARCLAYS CAPITAL INC. 19714 1541779 1 9-D2 BARCLAYS CAPITAL SECURITIES LTD. 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INC. 19714 1677554 9-E2 BARCLAYS CAPITAL INC. 19714 1679221 9-E2 BARCLAYS CAPITAL INC. 19714 1680347 9-E2 BARCLAYS CAPITAL INC. 19714 1680149 1 9-G BARCLAYS BANK PLC N BARCLAYS CAPITAL INC. 19714 1683302 9-E2 BARCLAYS CAPITAL INC. 19714 1686202 9-E2 BARCLAYS CAPITAL INC. 19714 1687100 9-E2 BARCLAYS CAPITAL INC. 19714 1688826 9-E2 BARCLAYS CAPITAL INC. 19714 1702248 9-E2 BARCLAYS CAPITAL INC. 19714 1702485 9-E2 BARCLAYS CAPITAL INC. 19714 1707531 9-E2 BARCLAYS CAPITAL INC. 19714 1708662 1 9-D2 BARCLAYS BANK PLC N BARCLAYS CAPITAL INC. 19714 1710329 9-E2 BARCLAYS CAPITAL INC. 19714 1710965 9-E2 BARCLAYS CAPITAL INC. 19714 1710212 9-E2 BARCLAYS CAPITAL INC. 19714 1717797 9-C1 9-C2 9-C4 9-C5 BARCLAYS CAPITAL INC. 19714 1724254 9-E2 BARCLAYS CAPITAL INC. 19714 1723395 1 9-D2 BARCLAYS BANK PLC N BARCLAYS CAPITAL INC. 19714 1724926 9-E2 BARCLAYS CAPITAL INC. 19714 1732899 9-E2 BARCLAYS CAPITAL INC. 19714 1734623 9-E2 BARCLAYS CAPITAL INC. 19714 1736351 9-E2 BARCLAYS CAPITAL INC. 19714 1740501 9-E2 BARCLAYS CAPITAL INC. 19714 1771735 1 9-C1 9-C2 9-C4 9-C5 Barclays Bank PLC N BARCLAYS CAPITAL INC. 19714 1786350 2 9-C1 9-C2 9-C4 9-C5 BARCLAYS CAPITAL INC. 19714 1774522 Barclays PLC N BARCLAYS CAPITAL INC. 19714 1774522 Barclays Bank PLC N BARCLAYS CAPITAL INC. 19714 1774522 1 9-D1 9-D2 9-D4 Barclays Bank PLC N BARCLAYS CAPITAL INC. 19714 1786357 2 9-D1 9-D2 9-D4 Barclays Bank PLC N BARCLAYS CAPITAL INC. 19714 1786358 Barclays Bank PLC, New York Branch N BARCLAYS CAPITAL INC. 19714 1786358 2 9-D1 9-D2 9-D4 Barclays Bank PLC N BARCLAYS CAPITAL INC. 19714 1786359 Barclays Bank PLC, New York Branch N BARCLAYS CAPITAL INC. 19714 1786359 9-E2 BARCLAYS CAPITAL INC. 19714 1789028 9-E2 BARCLAYS CAPITAL INC. 19714 1793634 9-E2 BARCLAYS CAPITAL INC. 19714 1796827 9-E2 BARCLAYS CAPITAL INC. 19714 1797971 9-E2 BARCLAYS CAPITAL INC. 19714 1796828 9-E2 BARCLAYS CAPITAL INC. 19714 1800637 9-E2 BARCLAYS CAPITAL INC. 19714 1796826 9-E2 BARCLAYS CAPITAL INC. 19714 1795262 9-E2 BARCLAYS CAPITAL INC. 19714 1815873 9-E2 Barclays Capital, Inc 19714 1827780 9-E2 Barclays Capital, Inc 19714 1833219 9-E2 Barclays Capital, Inc 19714 1845255 2 9-D2 9-D4 BARCLAYS BANK PLC N BARCLAYS CAPITAL INC. 19714 1855026 BARCLAYS BANK PLC NEW YORK BRANCH N BARCLAYS CAPITAL INC. 19714 1855026 9-E2 Barclays Capital, Inc 19714 1822936 9-E2 Barclays Capital, Inc 19714 1821633 9-E2 Barclays Capital Inc. 19714 1858546 9-E2 Barclays Capital Inc. 19714 1859484 9-E2 Barclays Capital Inc. 19714 1858552 9-C1 9-C2 9-C4 9-C5 Barclays Capital Inc. 19714 1864046 9-C2 9-C4 9-C5 Barclays Capital Inc. 19714 1864058 9-E2 Barclays Capital Inc. 19714 1862621 9-E2 Barclays Capital, Inc 19714 1883572 9-E2 Barclays Capital, Inc 19714 1886207 9-E3 Barclays Capital, Inc 19714 1889768 9-C2 9-C4 9-C5 Barclays Capital, Inc 19714 1893501 9-C2 Barclays Capital, Inc 19714 1894556 9-E2 Barclays Capital, Inc 19714 1894137 1 9-C2 Barclays Capital, Inc 19714 1903220 Barclays Bank PlC N Barclays Capital, Inc 19714 1903220 9-E2 Barclays Capital, Inc 19714 1909678 1 9-D1 9-D2 9-D4 Barclays Bank PLC N Barclays Capital, Inc 19714 1918315 1 9-D2 Barclays PLC N Barclays Capital, Inc 19714 1920232 9-E2 Barclays Capital, Inc 19714 1929201 9-E2 Barclays Capital, Inc 19714 1929380 9-E2 Barclays Capital, Inc 19714 1929388 9-C2 9-C4 9-C5 Barclays Capital, Inc 19714 1932764 9-C1 9-C2 9-C4 9-C5 Barclays Capital, Inc 19714 1934852 9-E2 Barclays Capital, Inc 19714 1947461 9-E2 Barclays Capital, Inc 19714 1954556 9-E2 Barclays Capital, Inc 19714 1954404 9-E2 Barclays Capital, Inc 19714 1954400 9-E2 Barclays Capital, Inc 19714 1953823 9-E2 Barclays Capital, Inc 19714 1966889 9-E2 Barclays Capital, Inc 19714 1978804 9-E2 Barclays Capital, Inc 19714 1978830 9-E2 Barclays Capital, Inc 19714 1978833 9-E2 Barclays Capital Inc 19714 2009341 9-E2 Barclays Capital Inc 19714 2009498 1 9-C2 Barclays PLC N Barclays Capital Inc 19714 2049497 9-E2 Barclays Capital, Inc 19714 2075435 9-E2 Barclays Capital, Inc 19714 2085318 9-E2 Barclays Capital, Inc 19714 2098775 9-E2 Barclays Capital, Inc 19714 2099017 1 9-H1a 9-H1b BARCLAYS BANK PLC N BARCLAYS CAPITAL INC. 19714 1357207 1 9-H1c BARCLAYS CAPITAL INC. 19714 1737351 BARCLAYS PLC N BARCLAYS CAPITAL INC. 19714 1737351 1 9-H2 BARCLAYS BANK PLC N BARCLAYS CAPITAL INC. 19714 1801820 1 9-H2 Barclays Capital, Inc 19714 1918329 Barclays Bank PLC N Barclays Capital, Inc 19714 1918329 1 9-H1c Barclays Bank PLC N Barclays Capital, Inc 19714 1964931 Hiran Cantu Hiran Cantu Director 01-15-2021 N N N N N Y Y N N Y Y N Y N N N N Y Y N Y