Form MA/A SG AMERICAS SECURITIES,

May 24, 2022 1:55 PM EDT

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    MA/A
    
      
        0001261467
        XXXXXXXX
      
      
        Rose Keenan
        212-278-7254
      
      [email protected]
      
        [email protected]
        [email protected]
      
    
  
  
    SG AMERICAS SECURITIES, LLC
    128351
    52-1128875
    
      
        866-00197-00
      
      
        
          867-00824
        
        
          
            008-66125
            128351
          
        
      
    
    
      
        
          SG Americas Securities, LLC
          Registered in all 50 states, the District of Columbia and Puerto Rico
        
      
    
    
      
        
          245 PARK AVENUE
          NEW YORK
          NY
          10167
        
      
      212-278-5004
    
    N
    www.sgcib.com
    
      
        James
        Michael
        Hubbert
      
      
        Managing Director, Deputy Director of Compliance
      
      
245 Park Avenue New York NY 10167
212-278-5004 212-278-7696 [email protected]
James Michael Hubbert
245 Park Avenue New York NY 10167
212-278-5004 212-278-7696 [email protected]
SG Americas Securities Holdings LLC N Societe Generale S.A. Y Registry of Commerce and Companies 552 120 222 RCS Paris I0 December DE 08-08-2003 N 703 9 9 0 0 10 Corporations or other businesses 0 0 0 Not Applicable Fixed Fees Contingent Fees Not Applicable Advice Insurance Of MS Y Y Y Broker-dealer municipal securities dealer or government securities broker or dealer Investment Company Investment Adviser Swap Dealer Security-based swap dealer Commodity pool operator Commodity trading advisor Futures commission merchant Banking/Thrift institution Trust Company Insurance company or agency Pension consultant Real estate broker or dealer 140 Add Broker-dealer municipal securities dealer or government securities broker or dealer Investment Adviser Swap Dealer Security-based swap dealer Commodity trading advisor Futures commission merchant SOCIETE GENERALE Luxembourg SOCIETE GENERALE BANK & TRUST - Reference Number: 10344 N Y Y CSSF B00000019 N4 Add Other municipal advisor Roberto S. Simon Roberto S. Simon Y Y N Add Other municipal advisor Valentine Sallettaz Valentine Sallettaz Y Y N Add Other municipal advisor Steven Levinson Steven Levinson Y Y N Add Other municipal advisor Stefanie Sachiko Hadolt Reimers Stefanie Sachiko Hadolt Reimers Y Y N Add Other municipal advisor Massimiliano Battisti Massimiliano Battisti Y Y N Add Other municipal advisor Michael Robinson Michael Robinson Y Y N Add Other municipal advisor Sebastian Eslava Bejarano Sebastian Eslava Bejarano Y Y N Add Broker-dealer municipal securities dealer or government securities broker or dealer Swap Dealer Futures commission merchant Societe Generale International Limited Societe Generale International Limited N Y Y Financial Conduct Authority (FCA)? 538896 X0 Add Investment Company SOCIETE GENERALE PARTICIPATIONS INDUSTRIELLES SOCIETE GENERALE PARTICIPATIONS INDUSTRIELLES N Y N Add Investment Company FRANPART FRANPART N Y N Add Investment Company SG CAPITAL DEVELOPPEMENT SG CAPITAL DEVELOPPEMENT N Y N Add Broker-dealer municipal securities dealer or government securities broker or dealer Swap Dealer SG OPTION EUROPE SG OPTION EUROPE N Y Y ACPR / AMF 341369833 / 12148 I0 Add Investment Company SOCIETE GENERALE CAPITAL PARTENAIRES SOCIETE GENERALE CAPITAL PARTENAIRES N Y N Add Investment Company BRD Asset Management SAI SA BRD Asset Management SAI SA N Y Y Financial Supervisory Authority PJR05SAIR/400010 S5 Add Broker-dealer municipal securities dealer or government securities broker or dealer Swap Dealer Security-based swap dealer Commodity pool operator Commodity trading advisor Futures commission merchant Banking/Thrift institution Other municipal advisor KOMERCNI BANKA A.S KOMERCNI BANKA A.S N Y Y Czech National Bank 45317054 2N Add Investment Adviser Commodity trading advisor Banking/Thrift institution SOCIETE GENERALE PRIVATE BANKING (MONACO) SOCIETE GENERALE PRIVATE BANKING (MONACO) N Y Y ACPR 13368 I0 Add Investment Company INVESTIMA SA INVESTIMA SA N Y Y "AMMC (Autorite marocaine du marche des capitaux) 32607 P2 Add Broker-dealer municipal securities dealer or government securities broker or dealer Futures commission merchant SG SECURITIES (HK) LIMITED SG SECURITIES (HK) LIMITED N Y Y Securities and Futures Commission AAD941 K3 Add Broker-dealer municipal securities dealer or government securities broker or dealer Investment Adviser Swap Dealer Banking/Thrift institution SG Kleinwort Hambros Bank (CI) Limited SG Kleinwort Hambros Bank (CI) Limited N Y Y Jersey Financial Services Commission; Guernsey Financial Services Commission 2693 Y9 Add Broker-dealer municipal securities dealer or government securities broker or dealer Investment Adviser Swap Dealer Banking/Thrift institution SG KLEINWORT HAMBROS BANK LIMITED SG KLEINWORT HAMBROS BANK LIMITED N Y Y Financial Conduct Authority 119250 X0 Add Broker-dealer municipal securities dealer or government securities broker or dealer Futures commission merchant SOCIETE GENERALE SECURITIES INDIA PRIVATE LIMITED SOCIETE GENERALE SECURITIES INDIA PRIVATE LIMITED N Y Y Securities and Exchange Board of India (SEBI) ?INZ000093534 K7 Add Investment Company SOGECAPITAL GESTION SOGECAPITAL GESTION N Y Y Moroccan capital market authority (AMMC:? Autorite Marocaine du Marche des Capitaux) 78221 P2 Add Broker-dealer municipal securities dealer or government securities broker or dealer Investment Adviser Swap Dealer Banking/Thrift institution SG KLEINWORT HAMBROS BANK (GIBRALTAR) LIMITED SG KLEINWORT HAMBROS BANK (GIBRALTAR) LIMITED N Y Y Gibraltar Financial Services Commission 1294 J1 Add Investment Company SOCIETE GENERALE INVESTMENT CORPORATION SOCIETE GENERALE INVESTMENT CORPORATION N Y N Add Investment Company SG AMERICAS EQUITIES CORP. SG AMERICAS EQUITIES CORP. N Y N Add Broker-dealer municipal securities dealer or government securities broker or dealer Futures commission merchant Societe Generale Capital Canada Inc Societe Generale Capital Canada Inc N Y Y "1- Investment Industry Regulatory Organization of Canada (IIROC) 2- Montreal Exchange Regulatory Division (MXR) 3- Financial Transactions and Reports Analysis Centre of Canada (FINTRAC) 4-Securities Commissions of each province in Canada Z4 Add Broker-dealer municipal securities dealer or government securities broker or dealer SOGECAPITAL BOURSE SOGECAPITAL BOURSE N Y Y Moroccan authority of Capital Markets 77449 P2 Add Investment Adviser Banking/Thrift institution SOCIETE GENERALE PRIVATE BANKING (SUISSE) S.A. SOCIETE GENERALE PRIVATE BANKING (SUISSE) S.A. N Y Y FINMA 117056 V8 Add Broker-dealer municipal securities dealer or government securities broker or dealer Futures commission merchant SOCIETE GENERALE SECURITIES AUSTRALIA PTY LTD SOCIETE GENERALE SECURITIES AUSTRALIA PTY LTD N Y Y Australian Securities and Investments Commission (ASIC) 114 206 307 C3 Add Broker-dealer municipal securities dealer or government securities broker or dealer Investment Adviser Swap Dealer Banking/Thrift institution PJSC ROSBANK PJSC ROSBANK N Y Y The Central Bank of the Russian Federation 2272 1Z Add Investment Company Sponsor or syndicator of limited partnerships Co-Invest LBO GP Limited Co-Invest LBO GP Limited N Y Y Jersey Financial Services Commission 95514 Y9 Add Broker-dealer municipal securities dealer or government securities broker or dealer Investment Company UIB Finance UIB Finance N Y Y Central Bank of Tunisia B2691995 W6 Add Investment Adviser Societe de Gestion M&R S.A. Societe de Gestion M&R S.A. N Y Y Swiss Association of asset managers (ASG) CHE-100.938.421? V8 Add Broker-dealer municipal securities dealer or government securities broker or dealer Futures commission merchant SG SECURITIES (SINGAPORE) PTE. LTD. SG SECURITIES (SINGAPORE) PTE. LTD. N Y Y Monetary Authority of Singapore (MAS) and SGX 198200823Z U0 Add Broker-dealer municipal securities dealer or government securities broker or dealer Futures commission merchant Altura Markets, Sociedad de Valores, SA Altura Markets, Sociedad de Valores, SA N Y Y CNMV (Comision Nacional del Mercado de Valores) U3 Add Broker-dealer municipal securities dealer or government securities broker or dealer Swap Dealer Banking/Thrift institution BRD - Groupe SOCIETE GENERALE SA BRD - Groupe SOCIETE GENERALE SA N Y Y National Bank of Romania / Financial Supervisory Authority S5 Add Investment Company PROTOS PROTOS N Y Y Czech National Bank 2N Add Investment Company Pascal Fundo de Investimento Multi Mercado - Investimento No Exterior Pascal Fundo de Investimento Multi Mercado - Investimento No Exterior N Y Y CVM - Comissao de Valores Mobiliarios 13.107.003/0001-70 D5 Add Investment Company PASCAL SOLUTIONS LIMITED PASCAL SOLUTIONS LIMITED N Y Y Jersey Financial Services Commission 107881 Y9 Add Broker-dealer municipal securities dealer or government securities broker or dealer Swap Dealer Security-based swap dealer SG Securities Korea Co, Ltd SG Securities Korea Co, Ltd N Y N Add Investment Company SAINT GERMAIN FUNDO DE INVESTIMENTO MULTIMERCADO SAINT GERMAIN FUNDO DE INVESTIMENTO MULTIMERCADO N Y Y CVM - Comissao de Valores Mobiliarios ( Comissat of Securities) 11.702.084/0001-21 D5 Add Investment Company SOCIETE GENERALE CAPITAL FINANCE SOCIETE GENERALE CAPITAL FINANCE N Y N Add Investment Company SOGECAPITAL PLACEMENT SOGECAPITAL PLACEMENT N Y Y Moroccan capital market authority (AMMC:? Autorite Marocaine du Marche des Capitaux) 94861 P2 Add Investment Company SOGECAPITAL INVESTISSEMENT S.A SOGECAPITAL INVESTISSEMENT S.A N Y Y AMMC 412841 P2 Add Broker-dealer municipal securities dealer or government securities broker or dealer Societe Generale Securities (Thailand) Ltd. Societe Generale Securities (Thailand) Ltd. N Y Y The Securities and Exchange Commission, Thailand 0105559140332? W1 Add Investment Company RB Capital Asset Management Limited Liability Company RB Capital Asset Management Limited Liability Company N Y Y The Central bank of Russia 1Z Add Investment Company NEMA CAPITAL NEMA CAPITAL N Y Y AMMC AG/SDG/03/2019 P2 Add Broker-dealer municipal securities dealer or government securities broker or dealer Futures commission merchant Societe Generale Securities Japan Limited Societe Generale Securities Japan Limited N Y Y FSA (Financial Services Agency) 1770 M0 Add Broker-dealer municipal securities dealer or government securities broker or dealer Societe Generale Aircraft Leasing Co., Ltd Societe Generale Aircraft Leasing Co., Ltd N Y N Add Investment Company Societe Immobiliere De L'Arsenal Societe Immobiliere De L'Arsenal N Y N Add Broker-dealer municipal securities dealer or government securities broker or dealer Banking/Thrift institution Societe Generale Burkina Faso Societe Generale Burkina Faso N Y Y BANK OF GHANA C 0074 P J0 Add Broker-dealer municipal securities dealer or government securities broker or dealer Sogebourse En Cote D'Ivoire Sogebourse En Cote D'Ivoire N Y Y Conseil Regional de l'Epargne Publique et des Marches Financiers 15/12/009 97 L7 Add Investment Company Sogespar Sogespar N Y Y Conseil Regional de l'Epargne Publique et des Marches Financiers L7 Add Broker-dealer municipal securities dealer or government securities broker or dealer Swap Dealer Banking/Thrift institution Societe Generale Ghana Limited Societe Generale Ghana Limited N Y Y Bank of Ghana CS011472016 J0 Add Broker-dealer municipal securities dealer or government securities broker or dealer Sogebourse Cemac Sa Sogebourse Cemac Sa N Y Y Financial Market Supervisory Commission of Central Africa (COSUMAF) E4 Add Broker-dealer municipal securities dealer or government securities broker or dealer Societe Generale Algerie Societe Generale Algerie N Y Y Bank of Algeria 99-03/ 03-2015 B4 Add Swap Dealer Futures commission merchant Banking/Thrift institution Banco Societe Generale Brasil S.A. Banco Societe Generale Brasil S.A. N Y Y Central Bank of Brazil Z9982627 D5 Add Swap Dealer Banking/Thrift institution Sg Marocaine De Banques Sg Marocaine De Banques N Y Y Bank al Maghrib P2 Add Insurance company or agency Sogessur Sogessur N Y Y Autorite de Controle Prudentiel et de Resolution 4021201 I0 Add Banking/Thrift institution Societe Generale Financing And Distribution Societe Generale Financing And Distribution N Y Y Commission de Surveillance du Secteur Financier (CSSF) B170794 N4 Add Banking/Thrift institution Societe Generale Capital Market Finance Societe Generale Capital Market Finance N Y Y Commission de Surveillance du Secteur Financier (CSSF) B180290 N4 Add Banking/Thrift institution Banky Fampandrosoana Varotra Sg Banky Fampandrosoana Varotra Sg N Y Y Commission de Supervision Bancaire et Financere (CSBF) 1998B00771 N6 Add Banking/Thrift institution Societe Anonyme De Credit A L'Industrie Francaise (Calif) Societe Anonyme De Credit A L'Industrie Francaise (Calif) N Y Y Authority for Prudential and Regulatory Control (ACPR) 43629 I0 Add Banking/Thrift institution Franfinance Franfinance N Y Y ACPR ( Autorite de controle prudentiel et de resolution ) / Prudential Control and Resolution Authority 16760 I0 Add Real estate broker or dealer Sg Real Estate Advisory Sg Real Estate Advisory N Y N Add Trust Company Sg Trust (Asia) Ltd Sg Trust (Asia) Ltd N Y Y Monetary Authority of Singapore 200010525H U0 Add Insurance company or agency Sogecap Sogecap N Y Y Autorite de Controle Prudentiel et de Resolution 5020040 I0 Add Banking/Thrift institution Sogefimur Sogefimur N Y N Add Banking/Thrift institution Sogelease France Sogelease France N Y Y ACPR ( Autorite de controle prudentiel et de resolution ) / Prudential Control and Resolution Authority 14198 I0 Add Swap Dealer Insurance company or agency Banque Courtois, Successeur De L'Ancienne Maison Courtois Et Cie Depuis 1760 Banque Courtois, Successeur De L'Ancienne Maison Courtois Et Cie Depuis 1760 N Y Y French Prudential Supervision and Resolution Authority (ACPR) - and Bank of France 10268 I0 Add Banking/Thrift institution Compagnie Generale De Location D'Equipements Compagnie Generale De Location D'Equipements N Y Y Authority for Prudential Control and Resolution (ACPR) 303 236 186 I0 Add Insurance company or agency Finassurance Snc Finassurance Snc N Y Y Authority for Prudential Control and Resolution (ACPR) 352 937 247 I0 Add Banking/Thrift institution Genefim Genefim N Y N Add Insurance company or agency Sogelife Sogelife N Y Y COMMISSARIAT AUX ASSURANCES B55612 N4 Add Swap Dealer Banking/Thrift institution Societe Generale Caledonienne De Banque Societe Generale Caledonienne De Banque N Y Y ACPR (Autorite de Controle Prudentiel et de Resolution) 80B76232 1W Add Banking/Thrift institution Boursorama Sa Boursorama Sa N Y Y Authority for Prudential and Regulatory Control (ACPR) I0 Add Banking/Thrift institution Societe Generale Pour Le Developpement Des Operations De Credit-Bail Immobilier "Sogebail" Societe Generale Pour Le Developpement Des Operations De Credit-Bail Immobilier "Sogebail" N Y N Add Banking/Thrift institution Sgb Finance S.A. Sgb Finance S.A. N Y Y ACPR (Autorite de Controle Prudentiel et de Resolution) 422?518?746 I0 Add Insurance company or agency Antarius Antarius N Y Y Autorite de Controle Prudentiel et de Resolution I0 Add Banking/Thrift institution Fiditalia S.P.A Fiditalia S.P.A N Y Y Bank of Italy 37 L6 Add Banking/Thrift institution Societe Generale Cameroun Societe Generale Cameroun N Y Y Central African Banking Authority E4 Add Insurance company or agency Oradea Vie Oradea Vie N Y Y Prudential Control and Resolution Authority 1265 05 02 I0 Add Insurance company or agency Banque Pouyanne Banque Pouyanne N Y Y French Prudential Supervision and Resolution Authority (ACPR) - and Bank of France 11989 I0 Add Trust Company Sg Kleinwort Hambros Trust Company (Ci) Limited Sg Kleinwort Hambros Trust Company (Ci) Limited N Y Y Financial Conduct Authority; Guernsey Financial Services Commission; Jersey Financial Services Commission 4345 Y9 Add Trust Company Sg Healthcare Benefits Trustee Company Limited Sg Healthcare Benefits Trustee Company Limited N Y Y Companies House 02202418? X0 Add Insurance company or agency Komercni Pojistovna A.S Komercni Pojistovna A.S N Y Y Czech National Bank 63998017 2N Add Other municipal advisor Shazeb Langha Shazeb Langha Y Y N Add Banking/Thrift institution S.C. Brd Sogelease Ifn S.A. S.C. Brd Sogelease Ifn S.A. N Y Y National Bank of Romania S5 Add Banking/Thrift institution Credical Credical N Y Y Autorite de Controle Prudential et de Resolution (ACPR) 1W Add Trust Company Sgkh Trustees (Ci) Limited Sgkh Trustees (Ci) Limited N Y Y Jersey 77469 Y9 Add Trust Company Sg Hambros Trust Company Ltd Sg Hambros Trust Company Ltd N Y Y Financial Conduct Authority 122566 X0 Add Banking/Thrift institution Sg Equipment Finance Czech Republic S.R.O. Sg Equipment Finance Czech Republic S.R.O. N Y N Add Banking/Thrift institution Gefa Bank Gmbh Gefa Bank Gmbh N Y Y BaFin (Federal Financial) 104146 2M Add Insurance company or agency La Marocaine Vie La Marocaine Vie N Y Y the Supervisory Authority of Insurance and Social Welfare (ACAPS: Autorite de Controle des Assurances et de la Prevoyance Sociale) P2 Add Banking/Thrift institution Societe Generale (China) Limited Societe Generale (China) Limited N Y Y China Banking and Insurance Regulatory Commission B0341H211000001 F4 Add Banking/Thrift institution Societe D' equipement Domestique Et Menager "Eqdom" Societe D' equipement Domestique Et Menager "Eqdom" N Y Y BANK AL MAGHRIB P2 Add Swap Dealer Banking/Thrift institution Union Internationale De Banques Union Internationale De Banques N Y Y Central Bank of Tunisia B6151996? W6 Add Banking/Thrift institution Essox Sro Essox Sro N Y Y Trade Inspection Authority (CTIA)/Personal Data Protection Office (PDPO)/Financial Arbiter (FA)/Labour Inspectorate (LI) 48136450/00020869/70837627/72546522/75046962 2N Add Swap Dealer Banking/Thrift institution Societe Generale Offshore Societe Generale Offshore N Y N Add Real estate broker or dealer Societe Generale Immobilier Patrimonial Societe Generale Immobilier Patrimonial N Y N Add Trust Company Aegis Holdings (Offshore) Ltd. Aegis Holdings (Offshore) Ltd. N Y Y Intertrust Corporate Services (Cayman) Limited 136508 2J Add Banking/Thrift institution Hanseatic Bank Gmbh & Co Kg Hanseatic Bank Gmbh & Co Kg N Y Y BAFIN 2M Add Insurance company or agency Ald Re Designated Activity Company Ald Re Designated Activity Company N Y Y Central Bank of Ireland ? C41173? L2 Add Banking/Thrift institution Modra Pyramida Stavebni Sporitelna As Modra Pyramida Stavebni Sporitelna As N Y Y Czech National Bank 60192852 2N Add Insurance company or agency Athena Courtage Athena Courtage N Y Y the Supervisory Authority of Insurance and Social Welfare (ACAPS: Autorite de Controle des Assurances et de la Prevoyance Sociale) P2 Add Real estate broker or dealer Foncimmo Foncimmo N Y N Add Pension consultant Kb Penzijni Spolecnost, A.S. Kb Penzijni Spolecnost, A.S. N Y Y Czech National Bank 61860018 2N Add Real estate broker or dealer Marocaine Vie Immobilier Marocaine Vie Immobilier N Y N Add Insurance company or agency Societe Generale Strakhovanie Llc Societe Generale Strakhovanie Llc N Y Y The Central Bank of Russia of the Federation IDEM 16291 1Z NewAdd Other municipal advisor Jai-Joun Mathieu Oui-Chaplain Jai-Joun Mathieu Oui-Chaplain Y Y N NewAdd Insurance company or agency Societe Generale Strakhovanie Zhizni Llc Societe Generale Strakhovanie Zhizni Llc N Y Y The Central Bank of Russia of the Federation 4079 1Z NewAdd Banking/Thrift institution Sefia Sefia N Y Y Authority for Prudential Control and Resolution (ACPR) 491 411 542 I0 NewAdd Insurance company or agency Brd Societate De Administrare A Fondurilor De Pensii Private Sa Brd Societate De Administrare A Fondurilor De Pensii Private Sa N Y Y IDEM 17113? S5 NewAdd Trust Company Sg Uk Db Trustee Company Limited Sg Uk Db Trustee Company Limited N Y Y Companies House 6209963 X0 NewAdd Trust Company Sg Uk Mp Trustee Company Limited Sg Uk Mp Trustee Company Limited N Y Y Companies House 6209960 X0 NewAdd Insurance company or agency Catalyst Re International Ltd. Catalyst Re International Ltd. N Y Y Bermuda Monetary Authority? D0 NewAdd Banking/Thrift institution Prioris Prioris N Y Y Authority for Prudential Control and Resolution (ACPR) 489 581 769 I0 NewAdd Insurance company or agency Loste Et Compagnie Assurances Loste Et Compagnie Assurances N Y Y the Supervisory Authority of Insurance and Social Welfare (ACAPS: Autorite de Controle des Assurances et de la Prevoyance Sociale) P2 NewAdd Insurance company or agency Brd Asigurari De Viata Sa Brd Asigurari De Viata Sa N Y Y Financial Supervisory Authority S5 NewAdd Banking/Thrift institution Societe Generale Tchad Societe Generale Tchad N Y Y COBAC E4 NewAdd Banking/Thrift institution Banco Societe Generale Mocambique S.A Banco Societe Generale Mocambique S.A N Y Y BANK OF MOZAMBIQUE 11763 P3 NewAdd Banking/Thrift institution Societe Generale De Banques Au Senegal Societe Generale De Banques Au Senegal N Y Y Central Bank of West African States? SN-DKR-1962-B-7008 T1 NewAdd Insurance company or agency Hsce Hanseatic Service Center Gmbh Hsce Hanseatic Service Center Gmbh N Y Y BAFIN 2M NewAdd Banking/Thrift institution Societe Generale Cote D'Ivoire Societe Generale Cote D'Ivoire N Y Y Commission Bancaire de l'UMOA A008D L7 NewAdd Banking/Thrift institution Sg De Banques En Guinee Sg De Banques En Guinee N Y Y CENTRAL BANK OF REPUBLIC OF GUINEA J9 NewAdd Real estate broker or dealer Ingenierie Financiere Et Fiscale Nouvelle Caledonie Ingenierie Financiere Et Fiscale Nouvelle Caledonie N Y Y Authority for Prudential Control and Resolution (ACPR) 2002B658435? 1W NewAdd Trust Company Sg Kleinwort Hambros Trust Company (Uk) Limited Sg Kleinwort Hambros Trust Company (Uk) Limited N Y Y Financial Conduct Authority 779105 X0 NewAdd Sponsor or syndicator of limited partnerships St. George St. Capital (Kb) Limited St. George St. Capital (Kb) Limited N Y N NewAdd Trust Company Kleinwort Benson International Trustees Limited Kleinwort Benson International Trustees Limited N Y Y Jersey Financial Services Commission; Guernsey Financial Services Commission 1002565 Y9 NewAdd Banking/Thrift institution Societe Generale Benin Societe Generale Benin N Y Y Central Bank of West African States (BCEAO) BJ 0104 G6 NewAdd Banking/Thrift institution Yup Cameroun Yup Cameroun N Y Y Central African Banking Commission (en francais COBAC) E4 NewAdd Banking/Thrift institution Societe Generale De Banques En Guinee Equatoriale Societe Generale De Banques En Guinee Equatoriale N Y Y COBAC COBAC D-98/29 I5 NewAdd Futures commission merchant Sbi - Sg Global Securities Services Pvt Ltd Sbi - Sg Global Securities Services Pvt Ltd N Y Y Securities and Exchange Board of India (SEBI) IN/CUS/022? K7 NewAdd Real estate broker or dealer My Smart Living, S.R.O. My Smart Living, S.R.O. N Y N NewAdd Banking/Thrift institution Societe Generale Congo Societe Generale Congo N Y Y COBAC D-2011/148? G0 NewAdd Banking/Thrift institution Socalfi Socalfi N Y Y Authority for Prudential and Regulatory Control 14848 1W NewAdd Banking/Thrift institution Banque De Polynesie Banque De Polynesie N Y Y Authority for Prudential and Regulatory Control 12149 I4 NewAdd Banking/Thrift institution Banque Francaise Commerciale Ocean Indien Banque Francaise Commerciale Ocean Indien N Y Y French Prudential Supervision and Resolution Authority 18719 I0 NewAdd Banking/Thrift institution Sogelease Bdp "Sas" Sogelease Bdp "Sas" N Y Y Authority for Prudential Control and Resolution (ACPR) RCS 04186B? I0 N N N N N N N N N N Y N N N Add Hatem NMN Mustapha 6487941 07-01-2019 Co - Chief Executive Officer 245 Park Avenue New York NY 10167 212-278-6000 Add Guido Maria Van Hauwermeiren 5974025 02-16-2021 Co - Chief Executive Officer 245 Park Ave New York NY 10167 212-278-6093 The Applicant's municipal advisory business is conducted by the Applicant's Infrastructure Finance Group, the seven members of which are located and employed by the Applicant solely in the United States. The Infrastructure Finance Group provides municipal advisory services for infrastructure projects throughout North American to consortia or single bidders that may be obligated persons within the meaning of Rule 15Ba1-1. The Infrastructure Finance Group does not provide municipal advisory services directly to municipal entities. The Applicant is an indirect wholly owned subsidiary of Societe Generale, a global financial services firm incorporated in France as a French limited liability company. The Societe Generale Group operates in eighty-three countries through an extensive network of domestic and international branches, agencies and subsidiaries, none of which, apart from the Applicant, conduct municipal advisory activities in the United States. We are continuing to diligence our affiliates and will provide supplementary information as to those affiliates if necessary. N Y Y Y N Y N Y Y N Y N N N N Y N Y N Y N N N N N Y SG Americas Securities Holdings, LLC N 061703332 06-1703332 Direct Owner 04-01-2014 E N 61703332 James Michael Hubbert Managing Director/Deputy Director of Compliance 11-01-2013 NA N 3066659 Michael Patrick Walsh Head of Operations 02-01-2007 NA Y 1060871 Gregory W Zielinski COO 05-01-2017 NA Y 2384242 EDWARD PATRICK CULLEN CHIEF FINANCIAL OFFICER -FINOP 01-01-2015 NA N 1551615 HATEM NMN MUSTAPHA Co - Chief Executive Officer 07-01-2019 NA Y 6487941 Guido Maria Van Hauwermeiren Co - Chief Executive Officer 02-16-2021 NA Y 5974025 SG Americas Securities Holdings, LLC Societe Generale N 52-1128875 Parent 12-01-2008 E Y SG Americas Securities Holdings, LLC N 061703332 06-1703332 Direct Owner 04-01-2014 E N 61703332 James Michael Hubbert Managing Director/Deputy Director of Compliance 11-01-2013 NA N 3066659 Michael Patrick Walsh Head of Operations 02-01-2007 NA Y 1060871 Gregory W Zielinski COO 05-01-2017 NA Y 2384242 EDWARD PATRICK CULLEN CHIEF FINANCIAL OFFICER -FINOP 01-01-2015 NA N 1551615 HATEM NMN MUSTAPHA Co - Chief Executive Officer 07-01-2019 NA Y 6487941 Guido Maria Van Hauwermeiren Co - Chief Executive Officer 02-16-2021 NA Y 5974025 SG Americas Securities Holdings, LLC Societe Generale N 52-1128875 Parent 12-01-2008 E Y 1 9-A2 Societe Generale S.A. N SG Americas Securities, LLC 128351 1984101 1 9-B1 SGA Societe Generale Acceptance, N.V. N SG Americas Securites, LLC 128351 1984100 9-A2 SG AMERICAS SECURITIES, LLC 128351 2010024 1 9-A2 SOCIETE GENERALE, S.A. N SG AMERICAS SECURITIES, LLC 128351 2010023 1 9-B2 SOCIETE GENERALE SECURITIES AUSTRALIA PTY LIMITED (SGSAPL) N SG Americas Securities, LLC 128351 2066948 9-E2 SG Americas Securities, LLC 128351 1333127 9-E2 SG Americas Securities, LLC 128351 1278728 9-E2 SG Americas Securities, LLC 128351 1334732 9-E2 SG Americas Securities, LLC 128351 1347073 9-E2 SG Americas Securities, LLC 128351 1352159 9-E2 SG Americas Securities, LLC 128351 1354624 9-E2 SG Americas Securities, LLC 128351 1394307 9-E2 SG Americas Securities, LLC 128351 1394322 9-C2 9-C5 SG Americas Securities, LLC 128351 1442833 9-E2 SG Americas Securities, LLC 128351 1471470 9-E2 SG Americas Securities, LLC 128351 1477525 9-E2 SG AMericas Securities, LLC 128351 1533075 9-E2 SG Americas Securities, LLC 128351 1536945 9-E2 SG Americas Securities, LLC 128351 1562858 9-E2 SG Americas Securities, LLC 128351 1580724 9-E2 SG Americas Securities, LLC 128351 1594164 9-E2 SG Americas Securities, LLC 128351 1594234 9-E2 SG Americas Securities, LLC 128351 1631258 9-E2 SG Americas Securities, LLC 128351 1667735 9-E2 SG Americas Securities, LLC 128351 1674970 9-E2 SG Americas Securities, LLC 128351 1677273 9-E2 SG Americas Securities, LLC 128351 1679211 9-E2 SG Americas Securities, LLC 128351 1680499 9-E2 SG Americas Securities, LLC 128351 1688186 9-E2 SG Americas Securities, LLC 128351 1714360 1 9-D2 Societe Generale S.A. N Societe Generale S.A. 128351 1432649 1 9-D2 Societe Generale S.A. N Societe Generale S.A. 128351 1528875 2 9-D2 9-G Societe Generale S.A. N Societe Generale S.A. 128351 1532471 Le Credit du Nord N Le Credit du Nord 128351 1532471 1 9-D2 Societe Generale N Societe Generale 128351 1581091 2 9-D2 SG Asset Management N SG Asset Management 128351 1599700 SG Asset Management Alternative Investments N SG Asset Management Alternative Investments 128351 1599700 1 9-D2 Societe Generale N Societe Generale 128351 1620138 1 9-D2 Societe Generale Private Banking Japan Ltd. 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N SG AMERICAS SECURITIES, LLC 128351 2010049 1 9-E2 Societe Generale N SG Americas Securities, LLC 128351 2017963 9-E2 SG Americas Securities, LLC 128351 2021737 1 9-E2 Societe Generale N Sg Americas Securities, LLC 128351 2029108 9-E2 SG Americas Securities, LLC 128351 2024945 9-E2 SG Americas Securities, LLC 128351 2033721 9-E2 SG Americas Securities, LLC 128351 2036382 9-E2 SG Americas Securities, LLC 128351 2036371 9-E2 SG Americas Securities, LLC 128351 2035849 9-E2 SG Americas Securities, LLC 128351 2035698 9-E2 SG Americas Securities, LLC 128351 2038838 9-E2 SG Americas Securities, LLC 128351 2039756 9-E2 SG Americas Securities, LLC 128351 2049406 9-E2 SG Americas Securities, LLC 128351 2049891 9-E2 SG Americas Securities, LLC 128351 2049984 9-E2 SG Americas Securities, LLC 128351 2051051 9-E2 SG Americas Securities, LLC 128351 2054057 9-E2 SG Americas Securities, LLC 128351 2071189 1 9-D2 SOCIETE GENERALE FINANCIAL CORPORATION N SG Americas Securities, LLC 128351 2072442 9-E2 SG Americas Securities, LLC 128351 2069381 9-E2 SG Americas Securities, LLC 128351 2074260 1 9-E2 ALTURA MARKETS N SG Americas Securities, LLC 128351 2078702 9-C2 9-C4 9-C5 SG Americas Securities, LLC 128351 2078497 9-E2 SG Americas Securities, LLC 128351 2078213 9-E2 SG Americas Securities, LLC 128351 2081363 9-E2 SG Americas Securities, LLC 128351 2103568 1 9-E2 Societe Generale SA N SG Americas Securities, LLC 128351 2146188 9-E2 SG Americas Securities, LLC 128351 2154401 9-E2 SG Americas Securities, LLC 128351 2160574 1 9-C2 Societe Generale SA N SG Americas Securities, LLC 128351 2161519 9-E2 SG Americas Securities, LLC 128351 2172865 Robert F.X. Bohrer Robert F.X Bohrer Director 05-18-2022 1359345 N N N N N Y Y N N N N N Y N N N Y N Y N N


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