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50474634 Securities Underwriting and Dealing Subsidiaries

50474634 Securities Underwriting and Dealing Subsidiaries

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Published by: Julie Hatcher-Julie Munoz Jackson on Mar 13, 2011
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11/17/2012

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Securities Underwriting and Dealing Subsidiaries
A broker-dealer authorized to engage in securities underwriting, dealing, or market-making may, undercertain circumstances, be acquired by a bank holding company, by a foreign bank subject to the BankHolding Company Act, or by a state member bank. The resulting subsidiaries and the institutions owningthem are listed here under the following categories:
Section 20 Subsidiaries
 
As of September 30, 2010 
 Section 20 subsidiary Parent organization FR DistrictDate of initial approval
BBVA Securities, Inc. Banco Bilbao VizcayaArgentaria, S.A. Atlanta 3/1998
Section 4(k)(4)(E) Securities Subsidiaries
As of September 30, 2010 
 
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Section 4(k)(4)(E) securitiessubsidiaryParent organization FR District
ANZ Securities, Inc. Australia and New Zealand Banking Group Limited New YorkBanc of America Securities, LLC Bank of America Corp. RichmondBanca IMI Securities Corp. IntesaSanPaoloS.p.A. New YorkBarclays Capital, Inc. Barclays PLC New YorkBerry-Shino Securities, Inc. Peotone Bancorp, Inc. ChicagoBMO Capital Markets Corp. Bank of Montreal ChicagoBNP Paribas InvestmentServices, LLCBNP Paribas New YorkBNP Paribas Securities Corp. BNP Paribas New YorkBNY Mellon Capital Markets, LLC Bank of New York Mellon Corp., The New YorkBOSC, Inc. BOK Financial Corp. Kansas CityCapital Financial Services, INC. HSBC Holdings PLC ChicagoCapital One Southcoast, Inc. Capital One Financial Corp. Richmond
Chase Investment ServicesCorp.JPMorgan Chase & Co. New York
CIBC World Markets Corp. Canadian Imperial Bank of Commerce New YorkCitigroup Global Markets, Inc. Citigroup, Inc. New YorkConservative Financial Services,Inc.First State Bancshares, Inc. St. LouisCredit Agricole Securities (USA)Inc.FédérationNationale du CréditAgricole (FNCA) New YorkCredit Suisse Securities (USA), Credit Suisse Group New York
 
LLCCrews and Associates, Inc. First Security Bancorp St. Louis
Deutsche Bank Securities, Inc. Deutsche Bank Aktiengesellschaft New York
DnB NOR Nor Markets, Inc. DnB NOR ASA New YorkDZ Financial Markets, LLC DZ Bank AG New YorkFBT Investments, Inc. First Trust Corporation AtlantaFirst National Capital Markets,Inc.Lauritzen Corp. Kansas CityFortis Securities, LLC BNP Paribas New YorkGoldman, Sachs and Company Goldman, Sachs Group, The New YorkH.D. Vest Investment Securities,Inc.Wells Fargo & CompanySanFranciscoHSBC Securities (USA), Inc. HSBC Holdings PLC ChicagoHSH N Financial Securities, LLC HSH NORDBANK AG New YorkICICI Securities ICICI Bank Limited New YorkItaú Europa Securities Inc. Itaúsa InvestimentosItaú S.A. AtlantaItaú Securities, Inc. Itaúsa - InvestimentosItaú S.A. AtlantaJ.P. Morgan Securities, Inc. JPMorgan Chase & Co. New YorkKBC Financial Products USA, Inc. CeraAncora VZW New YorkKeyBanc Capital Markets Keycorp ClevelandM&I Financial Advisors, Inc. Marshall &Ilsley Corporation ChicagoMerrill Lynch, Pierce, Fenner&Smith Inc.Bank of America Corp. RichmondMitsubishi UFJ Securities (USA),Inc.Mitsubishi UFJ Financial GroupSanFranciscoMizuho Securities USA Inc. Mizuho Financial Group, Inc. New YorkMorgan Stanley & Co.IncorporatedMorgan Stanley New YorkMorgan Stanley Smith Barney,LLCCitigroup, Inc. New YorkMorgan, Keegan & Company,Inc.Regions Financial Corp. AtlantaNational Bank of CanadaFinancial, Inc.National Bank of Canada New YorkNatixisBleichroeder LLC BPCE New YorkNatixis Securities North America,Inc.BPCE New YorkNewedge USA, LLC SociétéGénérale New YorkNorthern Trust Securities, Inc. Northern Trust Corporation ChicagoOriental Financial Services Corp. Oriental Financial Group Inc. New YorkPershing Advisor Solutions, LLC Bank of New York Mellon Corp., The New York
 
Pershing, LLC Bank of New York Mellon Corp., The New YorkPopular Securities, Inc. Popular, Inc. New YorkRabo Securities USA, Inc.CoöperatieveCentraleRaiffeisen-BoerenleenbankB.A.,"Rabobank Nederland"New YorkRBC Capital Markets Corp. Royal Bank of Canada RichmondRBS Securities, Inc. UK Financial Investments Limited (UKFI) BostonSantander InvestmentSecurities, Inc.Banco Santander, S.A. New YorkSantander Securities Corp. Banco Santander, S.A. New YorkScotia Capital (USA), Inc. Bank of Nova Scotia, The New YorkScott &Stringfellow, Inc. BB&T Corp. RichmondSG Americas Securities, LLC SociétéGénérale New YorkStifelNicolaus& Company, Inc. Stifel Financial Corp. St. LouisSunTrust Investment Services,Inc.SunTrust Banks, Inc. AtlantaSunTrust Robinson Humphrey,Inc.SunTrust Banks, Inc. AtlantaSynovus Securities, Inc. Synovus Financial Corp. AtlantaTD Ameritrade Clearing, Inc. Toronto-Dominion Bank, The New YorkTD Ameritrade Inc. Toronto-Dominion Bank, The New YorkTD Securities (USA), LLC Toronto-Dominion Bank, The New YorkThomas Weisel Partners LLC Stifel Financial Corp. St. Louis
U.S. Bancorp Investments, Inc. U.S. Bancorp MinneapolisUBS Financial Services, Inc. UBS AG New YorkUBS Securities, LLC UBS AG New York
Umpqua Investments, Inc. Umpqua Holdings Corp.SanFranciscoWayne Hummer Investments,LLCWintrust Financial Corp. ChicagoWells Fargo Advisors FinancialNetwork, LLCWells Fargo & CompanySanFranciscoWells Fargo Advisors, LLC Wells Fargo & CompanySanFranciscoWells Fargo InstitutionalSecurities, LLCWells Fargo & CompanySanFranciscoWells Fargo Investments, LLC Wells Fargo & CompanySanFranciscoWells Fargo Securites, LLC Wells Fargo & CompanySanFrancisco

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