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Version: Release 2022.12 (last updated on 04/07/2015) Filing Type for the Form BR filing Allowed values (code-description) are: INITIAL - Initial Filing AMENDMENT - Amendment Filing CLOSURE - Closure/ Withdrawal / Closure and Withdrawal Filing Form Version Filing Firm CRD Number Filing Firm Branch CRD Number 1. General Information 2. Registration/Notice Filing/Type of Office/Activities 3. Types Of Activities/Other Business Names/Websites 4. Branch Office Arrangements 5. Associated Individuals 6. Branch Office Closing 7. Branch Office Withdrawal 8. Signature This is the General Information section of the BR Form 1.C. The firm billing code of this branch office. 1.D. The Branch code number of the branch office. 1.F. The address of this branch office. 1.F. The Phone Number of this branch office. 1.F. The Facsimile number of this branch office. This is the Registration section of the BR Form Indicates that Branch is requesting FINRA registration. Indicates that Branch is requesting NYSE registration. Indicates that Branch is requesting a registration in the jurisdiction its located in. 2.C-Type of Office - Broker-dealer 2.C- Type of Office - Investment Advisor Financial ActivityType - Sales Financial ActivityType - Sales Retail Financial ActivityType - Sales Institutional Financial ActivityType - Investment Advisory Services Financial ActivityType - Investment Banking/Underwriting Financial ActivityType - Research Financial ActivityType - Market Making/Trading Financial ActivityType - Back Office Operations Financial ActivityType - Public Finance Financial ActivityType - Other Financial ActivityType - Other Description If this is an OSJ Branch 2.E.1 Supervisors 2.E.(2) Supervised by other OSJ branch 2.E.1 Supervisors 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? (Optional) Individual CRD Number Activity Description 2.E(1) and E(3)- To specify if record is for Insert/Update/delete Branch CRD Number Individual CRD Number Activity Description Individual CRD Number 2.E(2) To specify if record is for Insert/Update/delete 3.A.(1). Other Business Activity 3.B.(1). Other Business Names 3.C.(1). Other Websites 3.A.(2). Other Business Activity 3.B.(2). Other Business Names 3.C.(2). Other Websites Unique number that identifies existing record 3.A.(2). Other Business Activity - Name 3.A.(2). Other Business Activity - Description 3.A.(2). Other Business Activity - Affiliate 3.A.(2). To specify if record is for Insert/Update/delete Unique number that identifies existing record 3.B.(2). Other Business Names - Name 3.B.(2). To specify if record is for Insert/Update/delete Unique number that identifies existing record 3.C.(2). Other Websites - Website Address 3.C.(2). To specify if record is for Insert/Update/delete 4.A. Does this branch office occupy or share space with or jointly market with any other investment- related entity 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 4.C. Does this branch office have primary responsibility for decisions relating to the employment and remuneration of its associated individuals at this location 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 4.D.(b). Provide an explanation of the expense payment/financial interest arrangement 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 4.A. Office Arrangements Shared List 4.B. Office Arrangements Contract List 4.D. Office Arrangements Entity List 4.E. Office Arrangements Records List Unique number that identifies existing record 4.A. CRD Number 4.A. Name 4.A. Affiliate 4.A. Shared With Entity Type 4.A. Shared With Entity Type 4.A. Shared With Entity Type 4.A. Shared With Entity Type 4.A. Shared With Entity Type 4.A. Shared With Entity Type 4.A. Shared With Entity Type 4.A. Shared With Entity Type 4.A. Shared With Entity Type 4.A. Shared With Entity Type 4.A. Shared With Entity Type 4.A. Name 4.A To specify if record is for Insert/Update/delete Unique number that identifies existing record 4.B. CRD Number 4.B. Type of Person 4.B. Name 4.B. To specify if record is for Insert/Update/delete Unique number that identifies existing record 4.D.(a). Name 4.D.(a). CRD Number 4.D.(a). EIN 4.D.(a). Type of Person 4.D.(a). Registered (Y/N) 4.D.(a). To specify if record is for Insert/Update/delete Unique number that identifies existing record 4.E/6.B. Address 4.E/6.B. First Name 4.E/6.B. Last Name 4.E/6.B. Daytime Telephone Number 4.E/6.B. Email Address 4.E/6.B. To specify if record is for Insert/Update/delete 5. Associated Individuals CRD Number 6.A. Date operations ceased or will cease at this branch office 6.B. Location(s) of Books and Records This section appears only on a Closing/Withdrawal BR filings 7.A. Date of Withdrawal. Valid date string format is YYYY-MM-DD. 7.B. Reason for Withdrawal 7.C. Contact First Name 7.C. Contact Last Name 7.C. Daytime Telephone Number 7.C. Contact Email Address This section appears only on all BR filings 8. Signature of Appropriate Signatory 8. Date of Filing Form 8. Name of the Person Filing Form 8. Title of the Person Filing Form 8. Telephone Number of the Person Filing Form 8. Email Address of the Person Filing Form Address - Street 1 Address - Street 2 Address - City Address - State Code Address - Country Code Address - Zip/Postal Code Address - Whether it is a private residence Boolean(Y/N) type codes. Allowed values (code-description) are: Y - Yes N - No Elements of this type represent the allowed Entity type Codes. Allowed values are: FIRM- Entity INDVL-Individual Elements of this type represent the allowed Crud Codes. Allowed values are: I - Insert U - Update D - Delete Elements of this type represent the allowed State Codes. Allowed values (code-Name) are: AK-Alaska AL-Alabama AR-Arkansas AZ-Arizona CA-California CO-Colorado CT-Connecticut DC-District of Columbia DE-Delaware FL-Florida GA-Georgia HI-Hawaii IA-Iowa ID-Idaho IL-Illinois IN-Indiana KS-Kansas KY-Kentucky LA-Louisiana MA-Massachusetts MD-Maryland ME-Maine MI-Michigan MN-Minnesota MO-Missouri MS-Mississippi MT-Montana NC-North Carolina ND-North Dakota NE-Nebraska NH-New Hampshire NJ-New Jersey NM-New Mexico NV-Nevada NY-New York OH-Ohio OK-Oklahoma OR-Oregon PA-Pennsylvania PR-Puerto Rico RI-Rhode Island SC-South Carolina SD-South Dakota TN-Tennessee TX-Texas UT-Utah VA-Virginia VT-Vermont WA-Washington WI-Wisconsin WV-West Virginia WY-Wyoming VI-Virgin Islands Elements of this type represent the allowed Current Country Codes. Allowed values (Country code-Country Name) are: USA - United States NON - Other AFG - Afghanistan ALA - Aland Islands ALB - Albania DZA - Algeria ASM - American Samoa AND - Andorra AGO - Angola AIA - Anguilla ATA - Antarctica ATG - Antigua and Barbuda ARG - Argentina ARM - Armenia ABW - Aruba AUS - Australia AUT - Austria AZE - Azerbaijan BHS - Bahamas, The BHR - Bahrain BGD - Bangladesh BRB - Barbados BLR - Belarus BEL - Belgium BLZ - Belize BEN - Benin BMU - Bermuda BTN - Bhutan BOL - Bolivia BES - Bonaire, Sint Eustatius and Saba BIH - Bosnia and Herzegovina BWA - Botswana BVT - Bouvet Island BRA - Brazil IOT - British Indian Ocean Territory (The) VGB - British Virgin Islands BRN - Brunei BGR - Bulgaria BFA - Burkina Faso MMR - Burma (Myanmar) BDI - Burundi KHM - Cambodia CMR - Cameroon CAN - Canada CPV - Cape Verde Islands CYM - Cayman Islands CAF - Central African Republic TCD - Chad CHL - Chile CHN - China CXR - Christmas Island CCK - Cocos (Keeling) Islands COL - Colombia COM - Comoros COD - Congo (Democratic Republic or Zaire) COG - Congo, Republic of COK - Cook Islands CRI - Costa Rica CIV - Cote de Ivoire (Ivory Coast) HRV - Croatia CUB - Cuba CUW - Curacao CYP - Cyprus CZE - Czech Republic DNK - Denmark DJI - Djibouti DMA - Dominica DOM - Dominican Republic ECU - Ecuador EGY - Egypt (United Arab Republic) SLV - El Salvador GNQ - Equatorical Guinea ERI - Eritrea EST - Estonia ETH - Ethiopia FLK - Falkland Islands (Islas Malvinas) FRO - Faroe Islands FJI - Fiji Islands FIN - Finland FRA - France GUF - French Guiana PYF - French Polynesia ATF - French Southern Territories (The) GAB - Gabon GMB - Gambia GEO - Georgia/Gruzinskaya DEU - Germany GHA - Ghana GIB - Gibraltar GRC - Greece GRL - Greenland GRD - Grenada GLP - Guadeloupe GUM - Guam GTM - Guatemala GGY - Guernsey GIN - Guinea GNB - Guinea Bissau GUY - Guyana HTI - Haiti HMD - Heard Island and McDonald Islands VAT - Holy See (The) [Vatican City State] HND - Honduras HKG - Hong kong HUN - Hungary ISL - Iceland IND - India IDN - Indonesia IRN - Iran IRQ - Iraq IRL - Ireland IMN - Isle of Man ISR - Israel ITA - Italy JAM - Jamaica JPN - Japan JEY - Jersey JOR - Jordan KAZ - Kazakhstan KEN - Kenya KIR - Kiribati PRK - Korea, North KOR - Korea, South KWT - Kuwait KGZ - Kyrgyzstan LAO - Laos LVA - Latvia LBN - Lebanon LSO - Lesotho LBR - Liberia LBY - Libya LIE - Liechtenstein LTU - Lithuania LUX - Luxembourg MAC - Macau MKD - Macedonia MDG - Madagascar MWI - Malawi MYS - Malaysia MDV - Maldives MLI - Mali MLT - Malta MHL - Marshall Islands MTQ - Martinique MRT - Mauritania MUS - Mauritius MYT - Mayotte MEX - Mexico FSM - Micronesia, Federated States of MDA - Moldova MCO - Monaco MNG - Mongolia MNE - Montenegro MSR - Monteserrat MAR - Morocco MOZ - Mozambique NAM - Namibia NRU - Nauru NPL - Nepal NLD - Netherlands NCL - New Caledonia NZL - New Zealand NIC - Nicaragua NER - Niger NGA - Nigeria NIU - Niue NFK - Norfolk Island MNP - Northern Mariana Islands NOR - Norway OMN - Oman PAK - Pakistan PLW - Palau PSE - Palestine, State of PAN - Panama PNG - Papua New Guinea PRY - Paraguay PER - Peru PHL - Philippines PCN - Pitcairn Islands (Ducie, Henderson, Oeno) POL - Poland PRT - Portugal QAT - Qatar REU - Reunion ROU - Romania RUS - Russia RWA - Rwanda BLM - Saint Barthelemy SHN - Saint Helena KNA - Saint Kitts and Nevis LCA - Saint Lucia MAF - Saint Martin (French part) SPM - Saint Pierre and Miquelon VCT - Saint Vincent and The Grenadines WSM - Samoa SMR - San Marino STP - Sao Tome and Principe SAU - Saudi Arabia SEN - Senegal SRB - Serbia SYC - Seychelles SLE - Sierra Leone SGP - Singapore SXM - Sint Maarten (Dutch part) SVK - Slovakia SVN - Slovenia SLB - Solomon Islands SOM - Somalia ZAF - South Africa SGS - South Georgia/South Sandwich Islands SSD - South Sudan ESP - Spain LKA - Sri Lanka SDN - Sudan SUR - Surinam SJM - Svalbard SWZ - Swaziland SWE - Sweden CHE - Switzerland SYR - Syria TWN - Taiwan, Republic of China TJK - Tajikistan TZA - Tanzania THA - Thailand TLS - Timor-Leste TGO - Togo TKL - Tokelau TON - Tonga TTO - Trinidad and Tobago TUN - Tunisia TUR - Turkey TKM - Turkmenistan TCA - Turks and Caicos Islands TUV - Tuvalu UGA - Uganda UKR - Ukraine ARE - United Arab Emirates GBR - United Kingdom UMI - United States Minor Outlying Islands (The) URY - Uruguay UZB - Uzbekistan VUT - Vanuatu VEN - Venezuela VNM - Vietnam WLF - Wallis and Futuna ESH - Western Sahara YEM - Yemen ZMB - Zambia ZWE - Zimbabwe