SIDR REPORT. Daiwa Capital Markets America Inc. Scott Morch Firm Name. Contact Name.
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1 SIDR REPORT Firm Name End Date 7/31/218 Submit Date Alfred Pennisi, 8/1/218
2 End Date 7/31/218 Submit Date Alfred Pennisi, 8/1/218 Depository Relationships Name Country Active Affiliate DateAdded JP MORGAN CHASE BANK LO UK Yes No 15-AUG-214 JP MORGAN CHASE BANK US Yes No 15-APR
3 End Date 7/31/218 Submit Date Alfred Pennisi, 8/1/218 Carrying Broker Relationships Name Country Active Date Added Affiliate SG AMERICAS SECURITIES LLC US Yes 17-FEB-215 No - 3 -
4 End Date 7/31/218 Submit Date Alfred Pennisi, 8/1/218 Foreign Exempt Carrying Broker Relationships Name Country Active Date Added Affiliate - 4 -
5 End Date 7/31/218 Submit Date Alfred Pennisi, 8/1/218 Foreign Non Exempt Carrying Broker Relationships Name Country Active Date Added Affiliate Daiwa Securities Co. Ltd. JA No 17-JUL-212 Yes - 5 -
6 End Date 7/31/218 Submit Date Alfred Pennisi, 8/1/218 Clearing House Relationships Name Chicago Mercantile Exchange Inc Country Active DateAdded Affiliate US Yes 17-JUL-212 No - 6 -
7 End Date 7/31/218 Submit Date Alfred Pennisi, 8/1/218 Segregation Investment Detail 1. Cash at Banks 2,6, US Government Securities Bank Certificates of Deposit Money Market Funds Municipal Securities Government Sponsored Enterprise Securities Customer Owned Investments Funds at Derivatives Clearing Organizations and FCMs 161, Cash on Hand 9735 Total 2,167,
8 End Date 7/31/218 Submit Date Alfred Pennisi, 8/1/218 Secured Investment Detail 1. Cash at Banks 269, US Government Securities Bank Certificates of Deposit Money Market Funds Municipal Securities Government Sponsored Enterprise Securities Customer Owned Investments 8. Funds at Clearing Organizations and Carrying Brokers 299, Cash on Hand Total 569,
9 End Date 7/31/218 Submit Date Alfred Pennisi, 8/1/218 Swaps Investment Detail 1. Cash at Banks US Government Securities Bank Certificates of Deposit Money Market Funds Municipal Securities Government Sponsored Enterprise Securities Customer Owned Investments Funds at Derivatives Clearing Organizations and FCMs 9. Cash on Hand Total
10 End Date 7/31/218 Submit Date Alfred Pennisi, 8/1/218 Itemized Details Cash at Banks - Secured Box8245 Total Amount Amount Subject To Repo JP MORGAN CHASE BANK 59,685 Chicago Mercantile Exchange Inc JP MORGAN CHASE BANK LONDON 21,11 SG AMERICAS SECURITIES LLC Itemized Details Funds at Derivatives Clearing Organizations and FCMs - Secured Box ,795 Total Amount Amount Subject To Repo JP MORGAN CHASE BANK Chicago Mercantile Exchange Inc JP MORGAN CHASE BANK LONDON SG AMERICAS SECURITIES LLC 299, ,782 Itemized Details Funds at Derivatives Clearing Organizations and FCMs- Segregation Box9697 Total Amount Amount Subject To Repo JP MORGAN CHASE BANK Chicago Mercantile Exchange Inc 161,615 JP MORGAN CHASE BANK LONDON SG AMERICAS SECURITIES LLC Itemized Details Cash at Banks - Segregation Box ,615 Total Amount Amount Subject To Repo JP MORGAN CHASE BANK 2,2,83 Chicago Mercantile Exchange Inc JP MORGAN CHASE BANK LONDON 3,42 SG AMERICAS SECURITIES LLC 2,6,
J.P. Morgan Securities LLC CFTC Supplemental Disclosures
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W I N J A M M E R F I L I N G. INITIAL End Date:10/25/2018 Firm Name:Morgan Stanley & Co. LLC Form:Daily Seg - FOCUS II Submit Date:10/26/2018
W I N J A M M E R F I L I N G INITIAL 1 Daily Segregation - Cover Page Name of Company Contact Name Morgan Stanley & Co. LLC Ikram Shah Contact Phone Number 212-276-0963 Contact Email Address Ikram.shah@morganstanley.com
W I N J A M M E R F I L I N G. INITIAL End Date:10/30/2018 Firm Name:Morgan Stanley & Co. LLC Form:Daily Seg - FOCUS II Submit Date:10/31/2018
W I N J A M M E R F I L I N G INITIAL 1 Daily Segregation - Cover Page Name of Company Contact Name Morgan Stanley & Co. LLC Ikram Shah Contact Phone Number 212-276-0963 Contact Email Address Ikram.shah@morganstanley.com
W I N J A M M E R F I L I N G. INITIAL End Date:10/29/2018 Firm Name:Morgan Stanley & Co. LLC Form:Daily Seg - FOCUS II Submit Date:10/30/2018
W I N J A M M E R F I L I N G INITIAL 1 Daily Segregation - Cover Page Name of Company Contact Name Morgan Stanley & Co. LLC Ikram Shah Contact Phone Number 212-276-0963 Contact Email Address Ikram.shah@morganstanley.com
W I N J A M M E R F I L I N G. INITIAL End Date:11/8/2018 Firm Name:Morgan Stanley & Co. LLC Form:Daily Seg - FOCUS II Submit Date:11/9/2018
W I N J A M M E R F I L I N G INITIAL 1 Daily Segregation - Cover Page Name of Company Contact Name Morgan Stanley & Co. LLC Ikram Shah Contact Phone Number 212-276-0963 Contact Email Address Ikram.shah@morganstanley.com
W I N J A M M E R F I L I N G. INITIAL End Date:11/16/2018 Firm Name:Morgan Stanley & Co. LLC Form:Daily Seg - FOCUS II Submit Date:11/19/2018
W I N J A M M E R F I L I N G INITIAL 1 Daily Segregation - Cover Page Name of Company Contact Name Morgan Stanley & Co. LLC Ikram Shah Contact Phone Number 212-276-0963 Contact Email Address Ikram.shah@morganstanley.com
W I N J A M M E R F I L I N G. INITIAL End Date:11/20/2018 Firm Name:Morgan Stanley & Co. LLC Form:Daily Seg - FOCUS II Submit Date:11/21/2018
W I N J A M M E R F I L I N G INITIAL 1 Daily Segregation - Cover Page Name of Company Contact Name Morgan Stanley & Co. LLC Ikram Shah Contact Phone Number 212-276-0963 Contact Email Address Ikram.shah@morganstanley.com
W I N J A M M E R F I L I N G. INITIAL End Date:12/6/2018 Firm Name:Morgan Stanley & Co. LLC Form:Daily Seg - FOCUS II Submit Date:12/7/2018
W I N J A M M E R F I L I N G INITIAL 1 Daily Segregation - Cover Page Name of Company Contact Name Morgan Stanley & Co. LLC Ikram Shah Contact Phone Number 212-276-0963 Contact Email Address Ikram.shah@morganstanley.com
W I N J A M M E R F I L I N G. INITIAL End Date:12/14/2018 Firm Name:Morgan Stanley & Co. LLC Form:Daily Seg - FOCUS II Submit Date:12/17/2018
W I N J A M M E R F I L I N G INITIAL 1 Daily Segregation - Cover Page Name of Company Contact Name Morgan Stanley & Co. LLC Ikram Shah Contact Phone Number 212-276-0963 Contact Email Address Ikram.shah@morganstanley.com
W I N J A M M E R F I L I N G. INITIAL End Date:12/18/2018 Firm Name:Morgan Stanley & Co. LLC Form:Daily Seg - FOCUS II Submit Date:12/19/2018
W I N J A M M E R F I L I N G INITIAL 1 Daily Segregation - Cover Page Name of Company Contact Name Morgan Stanley & Co. LLC Ikram Shah Contact Phone Number 212-276-0963 Contact Email Address Ikram.shah@morganstanley.com
W I N J A M M E R F I L I N G. INITIAL End Date:12/26/2018 Firm Name:Morgan Stanley & Co. LLC Form:Daily Seg - FOCUS II Submit Date:12/27/2018
W I N J A M M E R F I L I N G INITIAL 1 Daily Segregation - Cover Page Name of Company Contact Name Morgan Stanley & Co. LLC Ikram Shah Contact Phone Number 212-276-0963 Contact Email Address Ikram.shah@morganstanley.com
W I N J A M M E R F I L I N G. INITIAL End Date:1/3/2019 Firm Name:Morgan Stanley & Co. LLC Form:Daily Seg - FOCUS II Submit Date:1/4/2019
W I N J A M M E R F I L I N G INITIAL 1 Daily Segregation - Cover Page Name of Company Contact Name Morgan Stanley & Co. LLC Ikram Shah Contact Phone Number 212-276-0963 Contact Email Address Ikram.shah@morganstanley.com
W I N J A M M E R F I L I N G. INITIAL End Date:1/8/2019 Firm Name:Morgan Stanley & Co. LLC Form:Daily Seg - FOCUS II Submit Date:1/9/2019
W I N J A M M E R F I L I N G INITIAL 1 Daily Segregation - Cover Page Name of Company Contact Name Morgan Stanley & Co. LLC Ikram Shah Contact Phone Number 212-276-0963 Contact Email Address Ikram.shah@morganstanley.com
W I N J A M M E R F I L I N G. INITIAL End Date:3/14/2019 Firm Name:Morgan Stanley & Co. LLC Form:Daily Seg - FOCUS II Submit Date:3/15/2019
W I N J A M M E R F I L I N G 1 Daily Segregation - Cover Page Name of Company Contact Name Morgan Stanley & Co. LLC Ikram Shah Contact Phone Number 212-276-0963 Contact Email Address Ikram.shah@morganstanley.com
W I N J A M M E R F I L I N G. INITIAL End Date:3/13/2019 Firm Name:Morgan Stanley & Co. LLC Form:Daily Seg - FOCUS II Submit Date:3/14/2019
W I N J A M M E R F I L I N G 1 Daily Segregation - Cover Page Name of Company Contact Name Morgan Stanley & Co. LLC Ikram Shah Contact Phone Number 212-276-0963 Contact Email Address Ikram.shah@morganstanley.com
W I N J A M M E R F I L I N G. AMENDMENT End Date:4/1/2019 Firm Name:Morgan Stanley & Co. LLC Form:Daily Seg - FOCUS II Submit Date:4/2/2019
W I N J A M M E R F I L I N G 1 Daily Segregation - Cover Page Name of Company Contact Name Morgan Stanley & Co. LLC Ikram Shah Contact Phone Number 212-276-0963 Contact Email Address Ikram.shah@morganstanley.com
W I N J A M M E R F I L I N G. INITIAL End Date:4/2/2019 Firm Name:Morgan Stanley & Co. LLC Form:Daily Seg - FOCUS II Submit Date:4/3/2019
W I N J A M M E R F I L I N G 1 Daily Segregation - Cover Page Name of Company Contact Name Morgan Stanley & Co. LLC Ikram Shah Contact Phone Number 212-276-0963 Contact Email Address Ikram.shah@morganstanley.com
W I N J A M M E R F I L I N G. INITIAL End Date:10/4/2018 Firm Name:Morgan Stanley & Co. LLC Form:Daily Seg - FOCUS II Submit Date:10/5/2018
W I N J A M M E R F I L I N G INITIAL 1 Daily Segregation - Cover Page Name of Company Contact Name Morgan Stanley & Co. LLC Ikram Shah Contact Phone Number 212-276-0963 Contact Email Address Ikram.shah@morganstanley.com
W I N J A M M E R F I L I N G. INITIAL End Date:11/14/2018 Firm Name:Morgan Stanley & Co. LLC Form:Daily Seg - FOCUS II Submit Date:11/15/2018
W I N J A M M E R F I L I N G INITIAL 1 Daily Segregation - Cover Page Name of Company Contact Name Morgan Stanley & Co. LLC Ikram Shah Contact Phone Number 212-276-0963 Contact Email Address Ikram.shah@morganstanley.com
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W I N J A M M E R F I L I N G INITIAL 1 Daily Segregation - Cover Page Name of Company Contact Name Daiwa Capital Markets America Inc. Scott Morch Contact Phone Number 212-612-6376 Contact Email Address
W I N J A M M E R F I L I N G. INITIAL End Date:6/10/2015 Firm Name:GH FINANCIALS LLC Form:Daily Seg - 1-FR
W I N J A M M E R F I L I N G INITIAL 1 Daily Segregation - Cover Page Name of Company GH FINANCIALS LLC Contact Name Ben Hepden Contact Phone Number 442,076,536,416 Contact Email Address ben.hepden@ghfinancials.com
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W I N J A M M E R F I L I N G INITIAL 1 Daily Segregation - Cover Page Name of Company Contact Name Wells Fargo Securities LLC Dave Pitelka Contact Phone Number 980-260-7175 Contact Email Address dave.pitelka@wellsfargo.com
W I N J A M M E R F I L I N G. INITIAL End Date:11/21/2018 Firm Name:Wells Fargo Securities, LLC Form:Daily Seg - FOCUS II Submit Date:11/23/2018
W I N J A M M E R F I L I N G INITIAL 1 Daily Segregation - Cover Page Name of Company Contact Name Wells Fargo Securities LLC Dave Pitelka Contact Phone Number 980-260-7175 Contact Email Address dave.pitelka@wellsfargo.com
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W I N J A M M E R F I L I N G INITIAL 1 Daily Segregation - Cover Page Name of Company Contact Name Wells Fargo Securities LLC Dave Pitelka Contact Phone Number 980-260-7175 Contact Email Address dave.pitelka@wellsfargo.com
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W I N J A M M E R F I L I N G INITIAL 1 Daily Segregation - Cover Page Name of Company Contact Name Credit Suisse Securities (USA) LLC Alexander Baptiste Contact Phone Number 919-994-6223 Contact Email
W I N J A M M E R F I L I N G
W I N J A M M E R F I L I N G INITIAL 1 Daily Segregation - Cover Page Name of Company Contact Name Credit Suisse Securities (USA) LLC Alexander Baptiste Contact Phone Number 919-994-6223 Contact Email
W I N J A M M E R F I L I N G
W I N J A M M E R F I L I N G INITIAL 1 Daily Segregation - Cover Page Name of Company Contact Name Credit Suisse Securities (USA) LLC Alexander Baptiste Contact Phone Number 919-994-6223 Contact Email
W I N J A M M E R F I L I N G
W I N J A M M E R F I L I N G INITIAL 1 Daily Segregation - Cover Page Name of Company Contact Name Credit Suisse Securities (USA) LLC Alexander Baptiste Contact Phone Number 919-994-6223 Contact Email
W I N J A M M E R F I L I N G
W I N J A M M E R F I L I N G INITIAL 1 Daily Segregation - Cover Page Name of Company Contact Name Credit Suisse Securities (USA) LLC Alexander Baptiste Contact Phone Number 919-994-6223 Contact Email
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W I N J A M M E R F I L I N G INITIAL 1 Daily Segregation - Cover Page Name of Company Contact Name Credit Suisse Securities (USA) LLC Alexander Baptiste Contact Phone Number 919-994-6223 Contact Email
W I N J A M M E R F I L I N G
W I N J A M M E R F I L I N G INITIAL 1 Daily Segregation - Cover Page Name of Company Contact Name Credit Suisse Securities (USA) LLC Alexander Baptiste Contact Phone Number 919-994-6223 Contact Email
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W I N J A M M E R F I L I N G INITIAL 1 Daily Segregation - Cover Page Name of Company Contact Name Credit Suisse Securities (USA) LLC Alexander Baptiste Contact Phone Number 919-994-6223 Contact Email
W I N J A M M E R F I L I N G
W I N J A M M E R F I L I N G INITIAL 1 Daily Segregation - Cover Page Name of Company Contact Name Credit Suisse Securities (USA) LLC Alexander Baptiste Contact Phone Number 919-994-6223 Contact Email
W I N J A M M E R F I L I N G
W I N J A M M E R F I L I N G INITIAL 1 Daily Segregation - Cover Page Name of Company Contact Name Credit Suisse Securities (USA) LLC Alexander Baptiste Contact Phone Number 919-994-6223 Contact Email
W I N J A M M E R F I L I N G
W I N J A M M E R F I L I N G INITIAL 1 Daily Segregation - Cover Page Name of Company Contact Name Credit Suisse Securities (USA) LLC Alexander Baptiste Contact Phone Number 919-994-6223 Contact Email
W I N J A M M E R F I L I N G
W I N J A M M E R F I L I N G INITIAL 1 Daily Segregation - Cover Page Name of Company Contact Name Credit Suisse Securities (USA) LLC Alexander Baptiste Contact Phone Number 919-994-6223 Contact Email
W I N J A M M E R F I L I N G
W I N J A M M E R F I L I N G INITIAL 1 Daily Segregation - Cover Page Name of Company Contact Name Credit Suisse Securities (USA) LLC Alexander Baptiste Contact Phone Number 919-994-6223 Contact Email
W I N J A M M E R F I L I N G
W I N J A M M E R F I L I N G INITIAL 1 Daily Segregation - Cover Page Name of Company Contact Name Credit Suisse Securities (USA) LLC Alexander Baptiste Contact Phone Number 919-994-6223 Contact Email
W I N J A M M E R F I L I N G
W I N J A M M E R F I L I N G INITIAL 1 Daily Segregation - Cover Page Name of Company Contact Name Credit Suisse Securities (USA) LLC Alexander Baptiste Contact Phone Number 919-994-6223 Contact Email
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W I N J A M M E R F I L I N G INITIAL 1 Daily Segregation - Cover Page Name of Company Contact Name Credit Suisse Securities (USA) LLC Alexander Baptiste Contact Phone Number 919-994-6223 Contact Email
W I N J A M M E R F I L I N G
W I N J A M M E R F I L I N G INITIAL 1 Daily Segregation - Cover Page Name of Company Contact Name Credit Suisse Securities (USA) LLC Alexander Baptiste Contact Phone Number 919-994-6223 Contact Email
W I N J A M M E R F I L I N G. INITIAL End Date:1/7/2019 Firm Name:Credit Suisse Securities (USA) LLC Form:Daily Seg - FOCUS II Submit Date:1/8/2019
W I N J A M M E R F I L I N G INITIAL 1 Daily Segregation - Cover Page Name of Company Contact Name Credit Suisse Securities (USA) LLC Alexander Baptiste Contact Phone Number 919-994-6223 Contact Email
W I N J A M M E R F I L I N G. INITIAL End Date:1/8/2019 Firm Name:Credit Suisse Securities (USA) LLC Form:Daily Seg - FOCUS II Submit Date:1/9/2019
W I N J A M M E R F I L I N G INITIAL 1 Daily Segregation - Cover Page Name of Company Contact Name Credit Suisse Securities (USA) LLC Alexander Baptiste Contact Phone Number 919-994-6223 Contact Email
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W I N J A M M E R F I L I N G 1 Daily Segregation - Cover Page Name of Company Contact Name Credit Suisse Securities (USA) LLC Alexander Baptiste Contact Phone Number 919-994-6223 Contact Email Address
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