©2022 Financial Industry Regulatory Authority, Inc. (FINRA). All rights reserved. Materials may not be reprinted or republished without the express permission of FINRA. This document contains FINRA Confidential and Proprietary information. FINRA provides this information to member firms only for the firms' internal assessment or use of the FINRA CRD Batch Filing and Data Download transfer program. Any other use is strictly prohibited by FINRA. FINRA reserves the right to seek all injunctive and equitable relief available to it in the event FINRA Confidential or Proprietary information is released to a third party by a member firm. A firm's use of this document demonstrates its acknowledgement that this document contains FINRA Confidential and Proprietary information, agreement that the firm will not reprint, republish or otherwise disclose this information to any third party and its agreement that FINRA may protect its rights, including but not limited to intellectual property rights. Version: Release 2022.12 (last updated on 12/30/2022) Change History 12/30/2022 - Added Oklahoma as a branch participant. The Branch Information Report contains administrative and other details for the requesting firm's branches. The Criteria describes the selection criteria used in processing this feed. The Org node contains the organization's information. The Criteria describes the selection criteria used in processing this feed. Firm CRD # for processing this feed. Reporting date for processing this feed (YYYY-MM-DD). Indicates whether SSN format data (like EIN) would be included in the report. The Address node contains common address information. The Branch Offices node contains a collection of branch offices within the requesting firm that hold an active status with any regulator. Form Version "04/2014" - Question 1.A. Applicant CRD Number. Form Version "04/2014" - Question 1.A. Applicant Name. The SEC Number of the applicant firm. The FINRA District office to which the applicant firm is assigned. The Branch Offices node contains a collection of branch offices within the requesting firm that hold an active status with any regulator. The Branch Office node contains information on one of many branch offices within the requesting firm. The Address node contains common address information. Lists the deficiency of the branch Lists the associated individuals of the branch established via Form BR Section 5 or on U4. It will not include Supervisor/PIC's. The Registrations node contains branch registration status information. The Type of Office node contains the branch office registration types. The financial activity node contains a collection of financial activity types for the branch office. The Supervisor/PICs node contains a collection of Supervisor/PICs for the branch. The collection of Supervisor(s) associated with the OSJ branch(s) that is supervising this branch. The Other Business node contains the Other Business Activities/Names/Websites of the branch. The Arrangements node contains details of any branch office arrangements. Form Version "04/2014" - Question 1.E. CRD Branch Number assigned by CRD system to identify the branch office. Form Version "04/2014" - Question 1.D. Branch Code Number. Note: This is mapped/renamed from the "NYSEBrnchCdNb" field in form version "10/2005". Form Version "04/2014" - Question 1.C. Firm Billing Code: Form Version "04/2014" - Question 1.H. Branch Telephone Number of this branch office. Form Version "04/2014" - Question 1.I. Branch Facsimile Number of this branch office. Form Version "04/2014" - Question 1.G. Private Residence Check Box. The FINRA District Office to which the branch office is assigned. Branch Operational Status. The financial activity node contains a collection of financial activity types selected for the branch office. This collection (allowed values - FinActvyCdType) replaces the separate flags represented earlier under OthrBusType.salesFl thru OthrBusType.undrwFl. Form Version "04/2014" - Question 2.D. Check all applicable types of financial industry activities conducted by the applicant at this branch office: Note: This type is new in Form Version "04/2014". The financial activity node contains one of many financial activity types for the branch office. "Investment Banking" and "Underwriting" flags in "10/2005" version has been merged to a single selection of "Investment Banking/Underwriting" in "04/2014 version. Form Version "04/2014" - Question 2.D. The financial activity code. Form Version "04/2014" - Question 2.D. The financial activity "Other" description. List of deficiencies for the branch The deficiency of the branch The deficiency Status The Branch deficiency details. The deficiency Date Lists the associated individuals of the branch established via Form BR Section 5 or on U4. It will not include Supervisor/PIC's. Form Version "04/2014" - Question 5. Associated individuals Form Version "04/2014" - Question 5. Individual CRD Number Form Version "04/2014" - Question 5. Individual's last name Form Version "04/2014" - Question 5. Individual's first name Form Version "04/2014" - Question 5. Individual's middle name Form Version "04/2014" - Question 5. Individual's suffix name Indicates if individual is an Independent Contractor as defined on Form U4 The Registration node contains branch registration status information. Contains branch registration status information. Form Version "04/2014" - Question 2.A. Register/Notice File Branch Office with SRO/Jurisdiction (regulator code) The branch registration status code for a regulator. The branch registration status date for a regulator. The Type of Office node contains the branch office registration types. Form Version "04/2014" - Question 2.C. Type of Office - Broker-dealer Form Version "04/2014" - Question 2.C. Type of Office - Investment Advisor Form Version "04/2014" - Question 2.E. Is this branch office an Office of Supervisory Jurisdiction (OSJ)? Note: This attribute is mapped/renamed from "NASDOSJFl". Form Version "04/2014" - Question 2.F. If the applicant is registered with the Municipal Securities Rulemaking Board (MSRB), is this branch office an Office of Municipal Supervisory Jurisdiction as defined under MSRB rules? Note: This is a new field in Form Version "04/2014". The Other Business node contains the type of financial industry activities conducted by the branch. Form Version "04/2014" - Question 3. Other business activities/names/websites Form Version "04/2014" - Question 3.A.(1) Does any associated individual conduct, at this branch office, investment-related activity in addition to the activities conducted by the applicant that are identified in Section 2 (Registration/Notice Filing/Type of Office/Activities)? Note: This was mapped/renamed from "OthrBusType.othrNvsmtFl" in Form Version "10/2005". Form Version "04/2014" - Question 3.B.(1) Does any associated individual conduct any investment-related activity of the applicant, at this branch office, under any ?doing business as? name other than those names disclosed on the applicant's Form BD or Form ADV? Form Version "04/2014" - Question 3.C.(1) Does this branch office or any of its associated individuals maintain a website other than the primary website address maintained by the applicant? The Other Business Names node contains a collection of names at the branch. Form Version "04/2014" - Question 3.A.(2) If yes, provide all other business names used for any investment-related activity of the applicant by associated individuals at this branch office: This was duplicated in node "OthrNms" and "OthrBusNm" in form version "10/2005". Removed "OthrNms". The Other Business Activities node contains a collection of Other Business Activity at the branch. Form Version "04/2014" - Question 3.A.(1) Does any associated individual conduct, at this branch office, investment-related activity in addition to the activities conducted by the applicant that are identified in Section 2 (Registration/Notice Filing/Type of Office/Activities)? (2) If yes, provide the following information: Note: This type is new in Form Version "04/2014". The Other Webs node contains a collection of website addresses at the branch. Form Version "04/2014" - Question 3.C.(1) Does this branch office or any of its associated individuals maintain a website other than the primary website address maintained by the applicant? (2) If yes, provide the website address(es) maintained by this branch office or any of its associated individuals: The Other business activity contains one of many Other business activities. Sequence number to identify this record. Form Version "04/2014" - Question 3.A.(2) Name under which other business activity is conducted. Note: This was mapped/split from a single description field "OthrBusType.othrNvsmtDesc" in Form Version "10/2005". Form Version "04/2014" - Question 3.A.(2) Description of Activity Note: This is a new field in Form Version "04/2014". Form Version "04/2014" - Question 3.A.(2) Is this activity conducted on behalf of a firm affiliated with the applicant? (Y/N) Note: This is a new field in Form Version "04/2014". The Other Business Name contains one of many Other Business Names. Sequence number to identify this record. Form Version "04/2014" - Question 3.B.(2) Other business names used. The Other Web node contains one of many website addresses. Sequence number to identify this record. Form Version "04/2014" - Question 3.C.(2) The website address(es) maintained by this branch office or any of its associated individuals The Arrangements node contains details of any branch office arrangements. Form Version "04/2014" - Question "4.A. Does this branch office occupy or share space with or jointly market with any other investment-related entity? Form Version "04/2014" - Question "4.B. Is this branch office a business location that operates pursuant to a written agreement or contract (other than an insurance agency agreement) with the main office? Form Version "04/2014" - Question "4.C. Does this branch office have primary responsibility for decisions relating to the employment and remuneration of its associated individuals at this location? to "Will branch have primary responsibility for decisions relating to employment?" on form BR. Form Version "04/2014" - Question "4.D. Does any person other than the applicant have responsibility, directly or indirectly, for paying the expenses of this branch office or otherwise have a financial interest in this branch office or its activities? Note: This attribute is mapped/renamed from "assmLbltyXpnsFl" to "xpnsRspbyEnttyFl". Form Version "04/2014" - Question "4.D.(b) Provide an explanation of the expense payment/financial interest arrangement Note: This attribute is mapped/renamed from "rgmntEnttyDesc" to "xpnsEnttyDesc". Form Version "04/2014" - Question "4.E Are any of the records pertaining to this branch office maintained at any other location, other than this office, the main office, or in the case of a non-OSJ, its supervisory OSJ? Note: This is mapped/moved from "NYSEInfo.rcrdsLocFl" in Form Version "10/2005". The branch office arrangements shared entities node contains a collection of shared entities (EnttyType) for the branch. Form Version "04/2014" - Question 4.A. Does this branch office occupy or share space with or jointly market with any other investment-related entity?. If yes, please enter the CRD number (if applicable), Name, and Type of each entity: Note: This node is new in Form Version "04/2014". The branch office arrangements shared entity node contains one of many branch office arrangements shared entities for the branch. Note: This node is new in Form Version "04/2014". Sequence number to identify this record. Form Version "04/2014" - Question 4.A. CRD number of this arrangement shared entity record. Note: This is a new field in Form Version "04/2014". Form Version "04/2014" - Question 4.A. Name of this arrangement shared entity record. Note: This was mapped/split from a single description field "RgmntsType.shrOfcNm" in Form Version "10/2005" to a record in "EnttyType.nm" in Form Version "04/2014". Form Version "04/2014" - Question 4.A. Affiliation Type of this arrangement shared entity record. Note: This is a new field in Form Version "04/2014". Contains a collection of entity types that share space with the branch office Note: This is a new type in Form Version "04/2014". Contains one of many entity types that share space with the branch office Note: This is a new type in Form Version "04/2014". Form Version "04/2014" - Question 4.A. Type of Entity. Note: This is a new field in Form Version "04/2014" represented as per allowed values defined in ShrdEnttyCdType. Form Version "04/2014" - Question 4.A. Type of Entity - Other description Note: This is a new field in Form Version "04/2014". The branch office arrangements contract entities node contains a collection of contract entities (CntrcEnttyType) for the branch. Form Version "04/2014" - Question 4.B. Is this branch office a business location that operates pursuant to a written agreement or contract (other than an insurance agency agreement) with the main office? If yes, enter the CRD number (if applicable), Name, and Type of person(s) (Entity/Individual) with whom the agreement or contract was entered:" Note: This type is new in Form Version "04/2014". The branch office arrangements contract entities node contains one of many contract entities for the branch. Note: This type is new in Form Version "04/2014" Sequence number to identify this record. Form Version "04/2014" - Question 4.B. CRD number (if applicable) of person(s) (Entity/Individual) Note: This is a new field in Form Version "04/2014". Form Version "04/2014" - Question 4.B. Name of person(s) (Entity/Individual) Note: This was mapped/split from a single description field "RgmntsType.undrCntrcNm" in Form Version "10/2005" to a record in "CntrcEnttyType.nm" in Form Version "04/2014". Form Version "04/2014" - Question 4.B. Type of person(s) (Entity/Individual) Note: This is a new field in Form Version "04/2014". The Arrangement expense responsibility entities node contains one of many expense responsibility entities (XpnsRspbyEnttyType) information. Form Version "04/2014" - Question 4.D. Does any person other than the applicant have responsibility, directly or indirectly, for paying the expenses of this branch office or otherwise have a financial interest in this branch office or its activities? If yes: (a) Provide the following information for each person (Entity/Individual) responsible for expenses or with a financial interest:" Note: This type is just renamed from "RgmntEnttys" in Form Version "10/2005" to "XpnsRspbyEnttys" in Form Version "04/2014". The Arrangement Entities node contains one of many arrangement information. Note: This type is new in Form Version "04/2014". Sequence number to identify this record. Form Version "04/2014" - Question 4.D. Name of financial interest entity- firm or individual. Form Version "04/2014" - Question 4.D. Type of financial interest entity- firm or individual. Form Version "04/2014" - Question 4.D. Is the entity or individual registered? Form Version "04/2014" - Question 4.D. CRD# of financial interest entity. Form Version "04/2014" - Question 4.D. EIN of the financial interest entity. EIN in SSN format will be included based on the "includeSSN" parameter selection for the firm's EFT feeds. The Supervisor/PIC's node contains a collection of Supervisor/PIC's for the branch office. Form Version "04/2014" - Question 2.E. Is this branch office an Office of Supervisory Jurisdiction (OSJ)? If yes: (1) Provide the following information for the Supervisor(s) physically located at this OSJ that is responsible for supervising this branch office. Supervisor Detail: (3) Provide the Person(s)-In-Charge physically located at this branch office: Person-In-Charge Detail: Form Version "04/2014" - Question 2.E. Contains information about one of many Supervisor/PIC's associated with the branch. Form Version "04/2014" - Question 2.E. Name of the Supervisor/PIC. Form Version "04/2014" - Question 2.E. The CRD# of the Supervisor/PIC associated with this branch. Form Version "04/2014" - Question 2.E. The role of the associated individual with the branch office. The effective date when the individual became a Supervisor/PIC at this branch as reported on the most recent filing. (YYYY-MM-DD) Form Version "04/2014" - Question 2.E. The Type of Activity for Supervisor/PIC associated with this branch. Note: This is a new field in Form Version "04/2014". Indicates if individual is an Independent Contractor as defined on Form U4 The collection of Supervisor(s) associated with the OSJ branch(s) that is supervising this branch. Form Version "04/2014" - Question 2.E. Is this branch office an Office of Supervisory Jurisdiction (OSJ)? If yes: (2) Provide the following information for the OSJ branch office(s) and OSJ Supervisor(s) that have supervisory responsibility for this branch office: Supervisory OSJ Branch Detail: The collection of Supervisor(s) associated with the OSJ branch(s) that is supervising this branch. Form Version "04/2014" - Question 2.E.(2) One of many Supervisor(s) associated with the OSJ branch(s) that is supervising this branch. Form Version "04/2014" - Question 2.E.(2) OSJ Supervisor Name. Form Version "04/2014" - Question 2.E.(2) OSJ Branch CRD Number. Form Version "04/2014" - Question 2.E.(2) OSJ Supervisor CRD Number. Form Version "04/2014" - Question 2.E.(2) Firm Billing Code of the OSJ Supervisor. Form Version "04/2014" - Question 2.E.(2) Type of Activity. This type contains a collection of records locations (RcrdsLocType) pertaining to this office. Form Version "04/2014" - Question 4.E. Are any of the records pertaining to this branch office maintained at any other location, other than this office, the main office, or in the case of a non-OSJ, its supervisory OSJ? If yes, provide the address of the location(s) and the contact person?s name and telephone number: Note: This type is mapped/moved from "NYSEInfo.RcrdsLocs" in Form Version "10/2005". This type contains one of many records locations (RcrdsLocType) pertaining to this office. Sequence number to identify this record. Form Version "04/2014" - Question 4.E. Contact First Name for the Records Location. Form Version "04/2014" - Question 4.E. Contact Last Name for the Records Location. Form Version "04/2014" - Question 4.E. Contact Email Address for the Records Location. Note: This is a new field in Form Version "04/2014". Form Version "04/2014" - Question 4.E. The phone number for the Records Location. The Country details. The Country details. The street address 1 for the address. The street address 2 for the address. The city for the address. The state code for the address. The postal code for the address. The individual's last name. The individual's first name. The individual's middle name. The individual's suffix. The branch deficiency details. Allowed values(code-description) are: PNDNGFIRM-The branch office request made on Form BR filing {1} on {2}, generated a PENDINGFIRM deficiency because the firm is not approved with {3}. OSJNOSPRVEMPLT-Individual {4} listed as OSJ supervisor is no longer associated with the listed OSJ Branch {5} or firm. File a Form BR amendment to change the OSJ Supervisor or the OSJ Branch details. OSJNOSPRV-The OSJ Supervisor(s) previously listed are no longer associated with the OSJ Branch {5}. File a Form BR amendment to change the OSJ Supervisor or the OSJ Branch details. OSJNACTV-The listed OSJ Branch {5} is no longer valid. File a Form BR Amendment to change the OSJ Branch details. NYSESPRVPICQUALS-Individual {4} listed as Supervisor/PIC no longer holds necessary NYSE registration needed to be qualified as a branch Supervisor/PIC. Either file a Form BR amendment to remove this individual from the Supervisor/PIC list or file a Form U4 to request a NYSE registration. NYSEPRNCPLSPRVQUALS-None of the supervisors listed for this branch hold the necessary principal registration. Either file a Form BR amendment to change the supervisor details or file a Form U4 for one of the existing supervisors to request the necessary registrations. NYSEPRNCPLOSJSPRVQL-None of the supervisors at the listed OSJ Branch {5} hold the necessary principal registration. File a Form BR amendment to change the OSJ Supervisor or OSJ branch details. NYSEOSJSPRVQUALS-Individual {4} listed as OSJ Supervisor at OSJ branch {5} no longer holds necessary NYSE registration needed to be qualified as a OSJ Supervisor. File a Form BR amendment to change the OSJ Supervisor or OSJ Branch details. NOSPRVPIC-There is no Supervisor/PIC listed for this branch. File a Form BR amendment to add at least one Supervisor/PIC FUNDS-The branch office request made on Form BR filing {1} on {2}, with {3} generated a FUNDS deficiency because the firm has insufficient funds in their account to process the request. FINRASPRVPICQUALS-Individual {4} listed as Supervisor/PIC no longer holds necessary FINRA registration needed to be qualified as a branch Supervisor/PIC. Either file a Form BR amendment to remove this individual from the Supervisor/PIC list or file a Form U4 to request a FINRA registration. FINRAPRNCPLSPRVQUALS-None of the supervisors listed for this branch hold the necessary FINRA principal registration. Either file a Form BR amendment to change the supervisor details or file a Form U4 for one of the existing supervisors to request the necessary registrations. FINRAPRNCPLOSJSPRVQL-None of the supervisors at the listed OSJ Branch {5} hold the necessary FINRA principal registration. File a Form BR amendment to change the OSJ Supervisor or the OSJ Branch details. FINRAOSJSPRVQUALS-Individual {4} listed as OSJ Supervisor at OSJ branch {5} no longer holds necessary FINRA registration needed to be qualified as a OSJ Supervisor. File a Form BR amendment to change the OSJ Supervisor or OSJ Branch details. The state code type Elements of this type represent the allowed Current/Old valid Country Codes. Allowed values (Country code-Country Name) are: ABW - Aruba AFG - Afghanistan AFI - French Afars and Issas AGO - Angola AIA - Anguilla ALA - Aland Islands ALB - Albania AND - Andorra ANT - Netherlands Antilles ARE - United Arab Emirates ARG - Argentina ARM - Armenia ASM - American Samoa ATA - Antarctica ATB - British Antarctic Territory ATF - French Southern Territories (The) ATG - Antigua and Barbuda ATN - Dronning Maud Land AUS - Australia AUT - Austria AZE - Azerbaijan BDI - Burundi BEL - Belgium BEN - Benin BES - Bonaire, Sint Eustatius and Saba BFA - Burkina Faso BGD - Bangladesh BGR - Bulgaria BHR - Bahrain BHS - Bahamas, The BIH - Bosnia and Herzegovina BLM - Saint Barthelemy BLR - Belarus BLZ - Belize BMU - Bermuda BOL - Bolivia BRA - Brazil BRB - Barbados BRD - West Germany BRN - Brunei BTN - Bhutan BUR - Burma BVT - Bouvet Island BWA - Botswana BYS - Byelorussian SSR CAF - Central African Republic CAN - Canada CCK - Cocos (Keeling) Islands CHE - Switzerland CHL - Chile CHN - China CIV - Cote de Ivoire (Ivory Coast) CMR - Cameroon COD - Congo (Democratic Republic or Zaire) COG - Congo, Republic of COK - Cook Islands COL - Colombia COM - Comoros CPV - Cape Verde Islands CRI - Costa Rica CSK - Czechoslovakia CTE - Canton and Enderbury Islands CUB - Cuba CUW - Curacao CXR - Christmas Island CYM - Cayman Islands CYP - Cyprus CZE - Czech Republic DDR - German Democratic Republic (East Germany) DEU - Germany DHY - Dahomey DJI - Djibouti DMA - Dominica DNK - Denmark DOM - Dominican Republic DZA - Algeria ECU - Ecuador EGY - Egypt (United Arab Republic) ERI - Eritrea ESH - Western Sahara ESP - Spain EST - Estonia ETH - Ethiopia FIN - Finland FJI - Fiji Islands FLK - Falkland Islands (Islas Malvinas) FRA - France FRO - Faroe Islands FSM - Micronesia, Federated States of GAB - Gabon GBR - United Kingdom GEL - Gilbert and Ellice Islands GEO - Georgia/Gruzinskaya GGY - Guernsey GHA - Ghana GIB - Gibraltar GIN - Guinea GLP - Guadeloupe GMB - Gambia GNB - Guinea Bissau GNQ - Equatorical Guinea GRC - Greece GRD - Grenada GRL - Greenland GTM - Guatemala GUF - French Guiana GUM - Guam GUY - Guyana HKG - Hong kong HMD - Heard Island and McDonald Islands HND - Honduras HRV - Croatia HTI - Haiti HUN - Hungary HVO - Upper Volta IDN - Indonesia IMN - Isle of Man IND - India IOT - British Indian Ocean Territory (The) IRL - Ireland IRN - Iran IRQ - Iraq ISL - Iceland ISR - Israel ITA - Italy JAM - Jamaica JEY - Jersey JOR - Jordan JPN - Japan JTN - Johnston Island KAZ - Kazakhstan KEN - Kenya KGZ - Kyrgyzstan KHM - Cambodia KIR - Kiribati KNA - Saint Kitts and Nevis KOR - Korea, South KWT - Kuwait LAO - Laos LBN - Lebanon LBR - Liberia LBY - Libya LCA - Saint Lucia LIE - Liechtenstein LKA - Sri Lanka LSO - Lesotho LTU - Lithuania LUX - Luxembourg LVA - Latvia MAC - Macau MAF - Saint Martin (French part) MAR - Morocco MCO - Monaco MDA - Moldova MDG - Madagascar MDV - Maldives MEX - Mexico MHL - Marshall Islands MID - Midway Islands MKD - Macedonia MLI - Mali MLT - Malta MMR - Burma (Myanmar) MNE - Montenegro MNG - Mongolia MNP - Northern Mariana Islands MOZ - Mozambique MRT - Mauritania MSR - Monteserrat MTQ - Martinique MUS - Mauritius MWI - Malawi MYS - Malaysia MYT - Mayotte NAM - Namibia NCL - New Caledonia NER - Niger NFK - Norfolk Island NGA - Nigeria NHB - New Hebrides NIC - Nicaragua NIU - Niue NLD - Netherlands NON - Other NOR - Norway NPL - Nepal NRU - Nauru NTZ - Neutral Zone NZL - New Zealand OMN - Oman PAK - Pakistan PAN - Panama PCI - Pacific Islands (Trust Territory) PCN - Pitcairn Islands (Ducie, Henderson, Oeno) PCZ - Panama Canal Zone PER - Peru PHL - Philippines PLW - Palau PNG - Papua New Guinea POL - Poland PRK - Korea, North PRT - Portugal PRY - Paraguay PSE - Palestine, State of PUS - United States Miscellaneous Pacific Islands PYF - French Polynesia QAT - Qatar REU - Reunion ROU - Romania RUS - Russia RWA - Rwanda SAU - Saudi Arabia SCG - Serbia and Montenegro SDN - Sudan SEN - Senegal SGP - Singapore SGS - South Georgia/South Sandwich Islands SHN - Saint Helena SJM - Svalbard SKM - Sikkim SLB - Solomon Islands SLE - Sierra Leone SLV - El Salvador SMR - San Marino SOM - Somalia SPM - Saint Pierre and Miquelon SRB - Serbia SSD - South Sudan STP - Sao Tome and Principe SUN - Soviet Union SUR - Surinam SVK - Slovakia SVN - Slovenia SWE - Sweden SWZ - Swaziland SXM - Sint Maarten (Dutch part) SYC - Seychelles SYR - Syria TCA - Turks and Caicos Islands TCD - Chad TGO - Togo THA - Thailand TJK - Tajikistan TKL - Tokelau TKM - Turkmenistan TLS - Timor-Leste TMP - East Timor TON - Tonga TTO - Trinidad and Tobago TUN - Tunisia TUR - Turkey TUV - Tuvalu TWN - Taiwan, Republic of China TZA - Tanzania UGA - Uganda UKR - Ukraine UMI - United States Minor Outlying Islands (The) URY - Uruguay USA - United States UZB - Uzbekistan VAT - Holy See (The) [Vatican City State] VCT - Saint Vincent and The Grenadines VDR - Viet-Nam, Democratic Republic of VEN - Venezuela VGB - British Virgin Islands VIR - US Virgin Islands VNM - Vietnam VUT - Vanuatu WAK - Wake Island WLF - Wallis and Futuna WSM - Samoa YEM - Yemen YMD - Yemen, Democratic YUG - Yugoslavia ZAF - South Africa ZAR - Zaire ZMB - Zambia ZWE - Zimbabwe The FINRA District codes to which the branch office is assigned. Allowed values(code-description) are: 10NY-10-New York 11BO-11-Boston 14UN-Unknown District 1SF-1-San Francisco 2LA-2-Los Angeles 3DE-3-Denver 3SE-3-Seattle 4KC-4-Kansas City 5NO-5-New Orleans 6DA-6-Dallas 7AT-7-Atlanta 8CH-8-Chicago 9PH-9-Philadelphia 9WB-9-Woodbridge FLD-Florida 10LI-10-Long Island The branch participating regulator codes. Allowed values(code-description) are: AK-Alaska AL-Alabama AR-Arkansas CT-Connecticut FINRA-FINRA FL-Florida HI-Hawaii ID-Idaho IL-Illinois IN-Indiana KS-Kansas ME-Maine NH-New Hampshire NM-New Mexico NV-Nevada NYSE-New York Stock Exchange OH-Ohio OK-Oklahoma RI-Rhode Island SD-South Dakota TN-Tennessee TX-Texas VI-Virgin Islands VT-Vermont WA-Washington WI-Wisconsin WV-West Virginia The branch registration status codes. Allowed values(code-description) are: CLSD-Closed CLSDMT-Closed - Mass Transfer CLSDNOBR-Closed No Form BR Filed OPEN-Open ABANDONED-Abandoned APRVD-Approved APRVDRSTRD-Restricted Approval CLSDTRMD-Closed/Termed CLSDTRMDFTRNOREG-Closed/Termed - Failure to Renew - No Registration CLSDTRMDMTNOREG-Closed/Termed - Mass Transfer - No Registration CLSDTRMDNOBR-Closed/Termed - No Form BR DFCNT-Deficient DND-Denied FAILDTORNW-Closed/Termed - Failure to Renew PNDNG-Pending RJCTD-Rejected RVKD-Revoked SPNDD-Suspended TERMREQ-Term Requested TERMREQ-NOREG-Term Requested - No Registration TRMDMT-Closed/Termed - Mass Transfer WTHDN-Withdrawn WTHDNNOBR-Withdrawn - No Form BR Filed The Branch Deficiency code. Allowed values(code-description) are: PNDNGFIRM-Pending Firm OSJNOSPRVEMPLT-A listed OSJ Supervisor is no longer associated with that OSJ Branch OSJNOSPRV-A listed OSJ Branch has no valid OSJ Supervisor OSJNACTV-A listed OSJ Branch is inactive NYSESPRVPICQUALS-A listed Supervisor or Person-in-Charge for NYSE Branch is no longer qualified NYSEPRNCPLSPRVQUALS-NYSE Branch Supervisor(s) no longer holds principal position NYSEPRNCPLOSJSPRVQL-NYSE OSJ Supervisor(s) no longer holds principal position NYSEOSJSPRVQUALS-NYSE OSJ Supervisor is no longer qualified NOSPRVPIC-The only listed Supervisor or Person-in-Charge is no longer with Branch FUNDS-Funds FINRASPRVPICQUALS-A listed Supervisor or Person-in-Charge for FINRA Branch is no longer qualified FINRAPRNCPLSPRVQUALS-FINRA Branch Supervisor(s) no longer holds FINRA principal position FINRAPRNCPLOSJSPRVQL-FINRA OSJ Supervisor(s) no longer holds FINRA principal position FINRAOSJSPRVQUALS-FINRA OSJ Supervisor is no longer qualified The following Branch Deficiency codes have been retired/renamed. NYSERGLRSPRVQUALS-NYSE Regular Branch Supervisor no longer qualified NYSERGLRNOSPRVEMPLT-NYSE Regular Branch Supervisor no longer employed by that Regular Branch's parent Firm NYSERGLRNOSPRV-NYSE Regular Branch Supervisor no longer with that Regular Branch NYSERGLRNACTV-NYSE Regular Branch is inactive FINRAOSJNOSPRVEMPLT-FINRA OSJ Supervisor no longer employed by that OSJ Branch's Firm FINRAOSJNOSPRV-FINRA OSJ Supervisor no longer with that OSJ Branch FINRAOSJNACTV-FINRA OSJ is inactive Type of financial interest entity. Allowed values(code-description) are: FIRM-Firm Entity INDVL-Individual Entity Supervisor PIC Code. Allowed values(code-description) are: SPRV-Supervisor PIC-Person-In-Charge BCK_OFC-Back Office Operations MM-Market Making/Trading NVSMT_ADVSR-Investment Advisory Services NVSMT_BANK_UNDRW-Investment Banking/Underwriting PBLC_FNNC-Public Finance RSRCH-Research SALES-Sales SALES_INSTL-Institutional SALES_RTL-Retail OTHER-Other BANK-Bank BD-Broker-Dealer CMDTY-Commodities CRDT-Credit Union IA-Investment Adviser INSRC-Insurance OTHERFD-Other federally insured depository institution RE-Real estate SVNGSASCTN-Saving association SVNGSBANK-Savings bank OTHER-Other