schema version:

SBSE-A/A: Filer Information

SBSE-A/A: Applicant Data - Page 1

WARNING: Failure to keep this form current and to file accurate supplementary information on a timely basis, or the failure to keep accurate books and records or otherwise to comply with the provisions of law applying to the conduct of business as an SBS Entity, would violate the Federal securities laws and may result in disciplinary, administrative, injunctive or criminal action.

INTENTIONAL MISSTATEMENTS OR OMISSIONS OF FACTS MAY CONSTITUTE FEDERAL CRIMINAL VIOLATIONS.

See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a)

1. Exact name, principal business address, mailing address, if different, and telephone number of the applicant:

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:
101 NORTH PHILLIPS AVENUE
Street Address 2:
City:
SIOUX FALLS
State/Province/Country:
SOUTH DAKOTA
Zip/ Postal Code:
57104
E. Mailing Address, if different:
Street Address 1:
101 NORTH PHILLIPS AVENUE
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

SBSE-A/A: EXECUTION

EXECUTION:

The applicant consents that service of any civil action brought by or notice of any proceeding before the Securities and Exchange Commission in connection with the applicant's security-based swap activities, unless the applicant is a nonresident SBS Entity, may be given by registered or certified mail or confirmed telegram to the applicant's contact employee at the main address, or mailing address if different, given in Items 1E and 1F. If the applicant is a nonresident SBS Entity, it must complete Schedule F to designate a U.S. agent for service of process.

The undersigned certifies that he/she has executed this form on behalf of, and with the authority of, said applicant. The undersigned and applicant represent that the information and statements contained herein, including schedules attached hereto, and other information filed herewith are current, true and complete. The undersigned and applicant further represent that to the extent any information previously submitted is not amended such information is currently accurate and complete.

Date
04-09-2024
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

SBSE-A/A: Applicant Data - Page 2

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

2.

A. The applicant is registering as a security-based swap dealer: Radio button checked Yes Radio button not checked No
B. The applicant is registering as a major security-based swap participant: Radio button not checked Yes Radio button checked No

3.

A. Is the applicant a foreign security-based swap dealer that intends to:
  • work with the Commission and its primary regulator to have the Commission determine whether the requirements of its primary regulator's regulatory system are comparable to the Commission's
Radio button not checked Yes Radio button checked No
  • avail itself of a previously granted substituted compliance determination
Radio button not checked Yes Radio button checked No
with respect to the requirements of Section 15F of the Exchange Act of 1934 and the rules and regulations thereunder?

4.

Does the applicant intend to compute capital or margin, or price customer or proprietary positions, using mathematical models? Radio button checked Yes Radio button not checked No

5.

A. The applicant is currently registered with the Commodity Futures Trading Commission as a: Radio button checked Swap Dealer  Radio button not checked Major Swap Participant
B. The applicant is registering with the Commodity Futures Trading Commission as a: Radio button not checked Swap Dealer  Radio button not checked Major Swap Participant

6.

Is the applicant a U.S. branch of a non-resident entity? Radio button not checked Yes Radio button checked No

7.

Briefly describe the applicant's business:
Wells Fargo Bank, National Association is a federally chartered bank.

8.

Is the applicant subject to regulation by a prudential regulator, as defined in Section 1a(39) of the Commodity Exchange Act. Radio button checked Yes Radio button not checked No
If "yes," identify the prudential regulator:
Checkbox not checked The Federal Reserve Board
Checkbox checked The Office of the Comptroller of the Currency
Checkbox not checked The Federal Deposit Insurance Corporation
Checkbox not checked The Farm Credit Administration
Checkbox not checked The Federal Housing Finance Agency

9.

Is the applicant registered with the Commission as an investment adviser? Radio button not checked Yes Radio button checked No

10.

A. Is the applicant registered with the Commodity Futures Trading Commission in any capacity other than as a swap dealer or major swap participant? Radio button not checked Yes Radio button checked No

11.

Does applicant engage in any other non-securities, financial services industry-related business? Radio button checked Yes Radio button not checked No

If "yes," describe each other business briefly on Schedule B, Section I.

12.

Does the applicant hold or maintain any funds or securities to collateralize counterparty transactions? Radio button checked Yes Radio button not checked No

SBSE-A/A: Applicant Data - Page 3

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

13.

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? Radio button checked Yes Radio button not checked 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)? Radio button checked Yes Radio button not checked No

If "yes" to any part of Item 13, complete appropriate items on Schedule B, Section II.

14.

Does any person directly or indirectly control the management or policies of the applicant through agreement or otherwise? Radio button checked Yes Radio button not checked No

If "yes," complete appropriate item on Schedule B, Section II.

15.

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.Radio button checked Yes Radio button not checked No

If "yes," complete appropriate item on Schedule B, Section II.

16.

Is the applicant at the time of this filing succeeding to the business of a currently registered SBS Entity? Radio button not checked Yes Radio button checked No

If "yes," complete appropriate items on Schedule B, Section Ill.

17.

Is the applicant registered with a foreign financial regulatory authority? Radio button not checked Yes Radio button checked No

If "yes," list all such registrations on Schedule F, Page 1, Section II.

18.

The applicant has ___ principals who are individuals.
33

Please list all principals who are individuals on Schedule A.

19.

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? Radio button not checked Yes Radio button checked No

If "yes," complete appropriate item on Schedule B, Section IV.

SBSE-A/A: Schedule A of FORM SBSE-A

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

PRINCIPALS THAT ARE INDIVIDUALS (Answer for Form SBSE-A Item 18)

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

FULL LEGAL NAME

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 Radio button not checked Yes Radio button checked No

NFA Identification No., CRD No. and/or IARD 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):

FULL LEGAL NAME

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 Radio button not checked Yes Radio button checked No

NFA Identification No., CRD No. and/or IARD 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):

FULL LEGAL NAME

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 Radio button not checked Yes Radio button checked No

NFA Identification No., CRD No. and/or IARD 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):

FULL LEGAL NAME

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 Radio button not checked Yes Radio button checked No

NFA Identification No., CRD No. and/or IARD 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):

FULL LEGAL NAME

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 Radio button not checked Yes Radio button checked No

NFA Identification No., CRD No. and/or IARD 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):

FULL LEGAL NAME

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 Radio button not checked Yes Radio button checked No

NFA Identification No., CRD No. and/or IARD 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):

FULL LEGAL NAME

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 Radio button not checked Yes Radio button checked No

NFA Identification No., CRD No. and/or IARD 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):

FULL LEGAL NAME

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 Radio button not checked Yes Radio button checked No

NFA Identification No., CRD No. and/or IARD 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):

FULL LEGAL NAME

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 Radio button not checked Yes Radio button checked No

NFA Identification No., CRD No. and/or IARD 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):

FULL LEGAL NAME

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 Radio button not checked Yes Radio button checked No

NFA Identification No., CRD No. and/or IARD 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):

FULL LEGAL NAME

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 Radio button not checked Yes Radio button checked No

NFA Identification No., CRD No. and/or IARD 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):

FULL LEGAL NAME

Prefix
Individuals: Last Name
Weiss
Individuals: First Name
Jonathan
Individuals: Middle Name
Geoffrey
Suffix
Title or Status
Head of Business unit, division or function
Date Title or Status Acquired(MM/YYYY)
04/2021
Date Individual began working for applicant (MM/YYYY)
06/2005
Does person have an ownership interest in the applicant Radio button not checked Yes Radio button checked No

NFA Identification No., CRD No. and/or IARD No.

NFA Identification No.
457027
CRD No.
002362764
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):

FULL LEGAL NAME

Prefix
Individuals: Last Name
Payne
Individuals: First Name
Richard
Individuals: Middle Name
Banks
Suffix
Jr
Title or Status
Director
Date Title or Status Acquired(MM/YYYY)
07/2020
Date Individual began working for applicant (MM/YYYY)
10/2019
Does person have an ownership interest in the applicant Radio button not checked Yes Radio button checked No

NFA Identification No., CRD No. and/or IARD No.

NFA Identification No.
453848
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):

FULL LEGAL NAME

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 Radio button not checked Yes Radio button checked No

NFA Identification No., CRD No. and/or IARD 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):

FULL LEGAL NAME

Prefix
Individuals: Last Name
Primavera
Individuals: First Name
Todd
Individuals: Middle Name
Gerald
Suffix
Title or Status
Head of Business unit, division, or function
Date Title or Status Acquired(MM/YYYY)
01/2022
Date Individual began working for applicant (MM/YYYY)
11/2005
Does person have an ownership interest in the applicant Radio button not checked Yes Radio button checked No

NFA Identification No., CRD No. and/or IARD No.

NFA Identification No.
544708
CRD No.
002416001
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):

FULL LEGAL NAME

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 Radio button not checked Yes Radio button checked No

NFA Identification No., CRD No. and/or IARD 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):

FULL LEGAL NAME

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 Radio button not checked Yes Radio button checked No

NFA Identification No., CRD No. and/or IARD 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):

FULL LEGAL NAME

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 Radio button not checked Yes Radio button checked No

NFA Identification No., CRD No. and/or IARD 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):

FULL LEGAL NAME

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 Radio button not checked Yes Radio button checked No

NFA Identification No., CRD No. and/or IARD 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):

FULL LEGAL NAME

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 Radio button not checked Yes Radio button checked No

NFA Identification No., CRD No. and/or IARD 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):

FULL LEGAL NAME

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 Radio button not checked Yes Radio button checked No

NFA Identification No., CRD No. and/or IARD 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):

FULL LEGAL NAME

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 Radio button not checked Yes Radio button checked No

NFA Identification No., CRD No. and/or IARD 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):

FULL LEGAL NAME

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 Radio button not checked Yes Radio button checked No

NFA Identification No., CRD No. and/or IARD 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):

FULL LEGAL NAME

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 Radio button not checked Yes Radio button checked No

NFA Identification No., CRD No. and/or IARD 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):

FULL LEGAL NAME

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 Radio button not checked Yes Radio button checked No

NFA Identification No., CRD No. and/or IARD 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):

FULL LEGAL NAME

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 Radio button not checked Yes Radio button checked No

NFA Identification No., CRD No. and/or IARD 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):

FULL LEGAL NAME

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 Radio button not checked Yes Radio button checked No

NFA Identification No., CRD No. and/or IARD 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):

FULL LEGAL NAME

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 Radio button not checked Yes Radio button checked No

NFA Identification No., CRD No. and/or IARD 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):

FULL LEGAL NAME

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 Radio button not checked Yes Radio button checked No

NFA Identification No., CRD No. and/or IARD 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):

FULL LEGAL NAME

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 Radio button not checked Yes Radio button checked No

NFA Identification No., CRD No. and/or IARD 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):

FULL LEGAL NAME

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 Radio button not checked Yes Radio button checked No

NFA Identification No., CRD No. and/or IARD 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):

FULL LEGAL NAME

Prefix
Individuals: Last Name
Senoglu
Individuals: First Name
Baris
Individuals: Middle Name
Baris
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)
10/2016
Does person have an ownership interest in the applicant Radio button not checked Yes Radio button checked No

NFA Identification No., CRD No. and/or IARD No.

NFA Identification No.
CRD No.
006001404
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):

FULL LEGAL NAME

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)
06/2003
Does person have an ownership interest in the applicant Radio button not checked Yes Radio button checked No

NFA Identification No., CRD No. and/or IARD 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):

SBSE-A/A: Schedule B of FORM SBSE-A

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: Radio button checked Initial   Radio button not checked Amended

Section I

Other Business

Item 11: Does applicant engage in any other non-securities, financial services industry-related business?

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.

Section II

Record Maintenance Arrangements I Business Arrangements I Control Persons I Financings

(Check one)Radio button checked Item 13A   Radio button not checked Item 13B   Radio button not checked Item 14   Radio button not checked 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)Radio button checked Item 13A   Radio button not checked Item 13B   Radio button not checked Item 14   Radio button not checked 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)Radio button checked Item 13A   Radio button not checked Item 13B   Radio button not checked Item 14   Radio button not checked 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)Radio button checked Item 13A   Radio button not checked Item 13B   Radio button not checked Item 14   Radio button not checked 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)Radio button not checked Item 13A   Radio button checked Item 13B   Radio button not checked Item 14   Radio button not checked 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)Radio button not checked Item 13A   Radio button checked Item 13B   Radio button not checked Item 14   Radio button not checked 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)Radio button not checked Item 13A   Radio button checked Item 13B   Radio button not checked Item 14   Radio button not checked 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)Radio button not checked Item 13A   Radio button checked Item 13B   Radio button not checked Item 14   Radio button not checked 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)Radio button not checked Item 13A   Radio button checked Item 13B   Radio button not checked Item 14   Radio button not checked 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)Radio button not checked Item 13A   Radio button checked Item 13B   Radio button not checked Item 14   Radio button not checked 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)Radio button not checked Item 13A   Radio button checked Item 13B   Radio button not checked Item 14   Radio button not checked 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)Radio button not checked Item 13A   Radio button checked Item 13B   Radio button not checked Item 14   Radio button not checked 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)Radio button not checked Item 13A   Radio button checked Item 13B   Radio button not checked Item 14   Radio button not checked 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)Radio button not checked Item 13A   Radio button checked Item 13B   Radio button not checked Item 14   Radio button not checked 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)Radio button not checked Item 13A   Radio button checked Item 13B   Radio button not checked Item 14   Radio button not checked 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)Radio button not checked Item 13A   Radio button checked Item 13B   Radio button not checked Item 14   Radio button not checked 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)Radio button not checked Item 13A   Radio button checked Item 13B   Radio button not checked Item 14   Radio button not checked 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)Radio button not checked Item 13A   Radio button checked Item 13B   Radio button not checked Item 14   Radio button not checked 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)Radio button not checked Item 13A   Radio button checked Item 13B   Radio button not checked Item 14   Radio button not checked 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)Radio button not checked Item 13A   Radio button checked Item 13B   Radio button not checked Item 14   Radio button not checked 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)Radio button not checked Item 13A   Radio button checked Item 13B   Radio button not checked Item 14   Radio button not checked 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)Radio button not checked Item 13A   Radio button checked Item 13B   Radio button not checked Item 14   Radio button not checked 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)Radio button not checked Item 13A   Radio button checked Item 13B   Radio button not checked Item 14   Radio button not checked 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)Radio button not checked Item 13A   Radio button checked Item 13B   Radio button not checked Item 14   Radio button not checked 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)Radio button not checked Item 13A   Radio button checked Item 13B   Radio button not checked Item 14   Radio button not checked 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)Radio button not checked Item 13A   Radio button checked Item 13B   Radio button not checked Item 14   Radio button not checked 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)Radio button not checked Item 13A   Radio button checked Item 13B   Radio button not checked Item 14   Radio button not checked 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)Radio button not checked Item 13A   Radio button checked Item 13B   Radio button not checked Item 14   Radio button not checked 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)Radio button not checked Item 13A   Radio button checked Item 13B   Radio button not checked Item 14   Radio button not checked 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)Radio button not checked Item 13A   Radio button checked Item 13B   Radio button not checked Item 14   Radio button not checked 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)Radio button not checked Item 13A   Radio button checked Item 13B   Radio button not checked Item 14   Radio button not checked 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)Radio button not checked Item 13A   Radio button not checked Item 13B   Radio button checked Item 14   Radio button not checked 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)Radio button not checked Item 13A   Radio button not checked Item 13B   Radio button checked Item 14   Radio button not checked 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)Radio button not checked Item 13A   Radio button not checked Item 13B   Radio button not checked Item 14   Radio button checked 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)Radio button not checked Item 13A   Radio button not checked Item 13B   Radio button not checked Item 14   Radio button checked 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)Radio button not checked Item 13A   Radio button not checked Item 13B   Radio button not checked Item 14   Radio button checked 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)Radio button not checked Item 13A   Radio button not checked Item 13B   Radio button not checked Item 14   Radio button checked 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.