Brokercheck Report CITICORP SECURITIES SERVICES, INC

BrokerCheck Report CITICORP SECURITIES SERVICES, INC. CRD# 15387

Section Title Page(s) Report Summary 1

Firm Profile 2 - 6

Firm History 7

Firm Operations 8 - 37

Disclosure Events 38

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CRD# 15387 This report summary provides an overview of the brokerage firm. Additional information for this firm can be found in the detailed report. SEC# 8-32117 Firm Profile Disclosure Events Main Office Location This firm is classified as a corporation. 390 - 388 GREENWICH STREET This firm was formed in Delaware on 04/16/1984. Brokerage firms are required to disclose certain 388 GREENWICH STREET Its fiscal year ends in December. criminal matters, regulatory actions, civil judicial NEW YORK, NY 10013 proceedings and financial matters in which the firm or Regulated by FINRA New York Office Firm History one of its control affiliates has been involved. Mailing Address Information relating to the brokerage firm's history Are there events disclosed about this firm? Yes REGISTRATION DEPARTMENT such as other business names and successions 540 CROSSPOINT PARKWAY (e.g., mergers, acquisitions) can be found in the GETZVILLE, NY 14068 detailed report. The following types of disclosures have been reported: Business Telephone Number Firm Operations Type Count (212) 723-7600 This firm is registered with: Regulatory Event 2 • the SEC • 2 Self-Regulatory Organizations • 52 U.S. states and territories

Is this brokerage firm currently suspended with any regulator? No

This firm conducts 1 type of business. This firm is affiliated with financial or investment institutions. This firm does not have referral or financial arrangements with other brokers or dealers.

This firm is classified as a corporation. This firm was formed in Delaware on 04/16/1984. Its fiscal year ends in December.

Firm Names and Locations This section provides the brokerage firm's full legal name, "Doing Business As" name, business and mailing addresses, telephone number, and any alternate name by which the firm conducts business and where such name is used.

CITICORP SECURITIES SERVICES, INC. Doing business as CITICORP SECURITIES SERVICES, INC. CRD# 15387 SEC# 8-32117

Main Office Location 390 - 388 GREENWICH STREET 388 GREENWICH STREET NEW YORK, NY 10013 Regulated by FINRA New York Office

Mailing Address REGISTRATION DEPARTMENT 540 CROSSPOINT PARKWAY GETZVILLE, NY 14068

Business Telephone Number (212) 723-7600

©2021 FINRA. All rights reserved. Report about CITICORP SECURITIES SERVICES, INC. 2 www.finra.org/brokercheck User Guidance Firm Profile This section provides information relating to all direct owners and executive officers of the brokerage firm. Direct Owners and Executive Officers

Legal Name & CRD# (if any): CITIGROUP FINANCIAL PRODUCTS INC. Is this a domestic or foreign Domestic Entity entity or an individual?

Position 100% SHAREHOLDER Position Start Date 08/1999 Percentage of Ownership 75% or more Does this owner direct the Yes management or policies of the firm?

Is this a public reporting No company?

Legal Name & CRD# (if any): ARNOLD, EDWARD RAYMOND 1876464 Is this a domestic or foreign Individual entity or an individual?

Position CCO Position Start Date 01/2005 Percentage of Ownership Less than 5% Does this owner direct the Yes management or policies of the firm?

Is this a public reporting No company?

Legal Name & CRD# (if any): DOSMOND, CYRIL 4120707 Is this a domestic or foreign Individual entity or an individual?

Position DIRECTOR Position Start Date 07/2020 Percentage of Ownership Less than 5% ©2021 FINRA. All rights reserved. Report about CITICORP SECURITIES SERVICES, INC. 3 www.finra.org/brokercheck User Guidance Firm Profile

Direct Owners and Executive Officers (continued) Percentage of Ownership Less than 5% Does this owner direct the Yes management or policies of the firm?

Is this a public reporting No company?

Legal Name & CRD# (if any): PASCUZZI, ROBERT FRANCIS III 4809751 Is this a domestic or foreign Individual entity or an individual?

Position CHIEF FINANCIAL OFFICER / FINOP / PFO Position Start Date 06/2019 Percentage of Ownership Less than 5% Does this owner direct the Yes management or policies of the firm?

Is this a public reporting No company?

Legal Name & CRD# (if any): SUOZZO, CHRISTOPHER ANTHONY 5377964 Is this a domestic or foreign Individual entity or an individual?

Position CEO/PRESIDENT/CHAIRMAN/DIRECTOR Position Start Date 04/2019 Percentage of Ownership Less than 5% Does this owner direct the Yes management or policies of the firm?

Is this a public reporting No company?

Legal Name & CRD# (if any): TROMBETTA, SANTO VITO

Direct Owners and Executive Officers (continued) 2068210 Is this a domestic or foreign Individual entity or an individual?

Position PRINCIPAL OPERATIONS OFFICER Position Start Date 10/2018 Percentage of Ownership Less than 5% Does this owner direct the Yes management or policies of the firm?

Is this a public reporting No company?

Legal Name & CRD# (if any): WADE, WILLIAM THOMAS 2095481 Is this a domestic or foreign Individual entity or an individual?

Position DIRECTOR Position Start Date 07/2016 Percentage of Ownership Less than 5% Does this owner direct the Yes management or policies of the firm?

Is this a public reporting No company?

©2021 FINRA. All rights reserved. Report about CITICORP SECURITIES SERVICES, INC. 5 www.finra.org/brokercheck User Guidance Firm Profile This section provides information relating to any indirect owners of the brokerage firm. Indirect Owners

Legal Name & CRD# (if any): CITIGROUP GLOBAL MARKETS HOLDINGS INC. Is this a domestic or foreign Domestic Entity entity or an individual?

Company through which CITIGROUP FINANCIAL PRODUCTS INC. indirect ownership is established Relationship to Direct Owner 100% SHAREHOLDER Relationship Established 08/1999 Percentage of Ownership 75% or more Does this owner direct the Yes management or policies of the firm? Is this a public reporting No company?

Legal Name & CRD# (if any): CITIGROUP INC. Is this a domestic or foreign Domestic Entity entity or an individual?

Company through which CITIGROUP GLOBAL MARKETS HOLDINGS INC. indirect ownership is established Relationship to Direct Owner 100% SHAREHOLDER Relationship Established 10/1998 Percentage of Ownership 75% or more Does this owner direct the Yes management or policies of the firm? Is this a public reporting Yes company?

©2021 FINRA. All rights reserved. Report about CITICORP SECURITIES SERVICES, INC. 6 www.finra.org/brokercheck User Guidance Firm History This section provides information relating to any successions (e.g., mergers, acquisitions) involving the firm.

No information reported.

Registrations This section provides information about the regulators (Securities and Exchange Commission (SEC), self-regulatory organizations (SROs), and U.S. states and territories) with which the brokerage firm is currently registered and licensed, the date the license became effective, and certain information about the firm's SEC registration. This firm is currently registered with the SEC, 2 SROs and 52 U.S. states and territories. Federal Regulator Status Date Effective SEC Approved 07/27/1984

SEC Registration Questions This firm is registered with the SEC as: A broker-dealer: Yes A broker-dealer and government securities broker or dealer: No A government securities broker or dealer only: No This firm has ceased activity as a government securities broker or dealer: No

Self-Regulatory Organization Status Date Effective FINRA Approved 01/11/1985 New York Stock Exchange Approved 12/06/1984

Registrations (continued) U.S. States & Status Date Effective U.S. States & Status Date Effective Territories Territories Alabama Approved 10/31/1986 North Carolina Approved 09/11/1986 Alaska Approved 10/22/1986 North Dakota Approved 10/22/1986 Arizona Approved 07/25/1986 Ohio Approved 01/21/1997 Arkansas Approved 04/06/1987 Oklahoma Approved 11/03/1986 California Approved 01/09/1985 Oregon Approved 12/10/1986 Colorado Approved 08/18/1986 Pennsylvania Approved 04/15/1985 Connecticut Approved 04/25/1985 Puerto Rico Approved 04/21/1987 Delaware Approved 02/06/1986 Rhode Island Approved 09/18/1986 District of Columbia Approved 08/01/1986 South Carolina Approved 09/03/1986 Florida Approved 02/07/1985 South Dakota Approved 08/19/1986 Georgia Approved 08/12/1986 Tennessee Approved 09/04/1986 Hawaii Approved 03/05/1987 Texas Approved 11/24/1986 Idaho Approved 11/03/1986 Utah Approved 01/09/1987 Illinois Approved 06/03/1986 Vermont Approved 10/14/1986 Indiana Approved 08/28/1986 Virginia Approved 02/05/1986 Iowa Approved 11/14/1986 Washington Approved 07/30/1986 Kansas Approved 01/02/1987 West Virginia Approved 10/30/1986 Kentucky Approved 10/20/1986 Wisconsin Approved 04/22/1987 Louisiana Approved 11/13/1986 Wyoming Approved 10/27/1986 Maine Approved 08/08/1986 Maryland Approved 05/11/2000 Massachusetts Approved 08/04/1986 Michigan Approved 01/16/1987 Minnesota Approved 07/24/1986 Mississippi Approved 11/04/1986 Missouri Approved 11/12/1986 Montana Approved 10/15/1986 Nebraska Approved 08/25/1986 Nevada Approved 01/09/1990 New Hampshire Approved 10/03/1986 New Jersey Approved 04/15/1985 New Mexico Approved 11/06/1986 New York Approved 08/21/1984

Types of Business This section provides the types of business, including non-securities business, the brokerage firm is engaged in or expects to be engaged in. This firm currently conducts 1 type of business. Types of Business

Other - FACILITATING SECURITIES LENDING AND BORROWING ACTIVITIES FOR CUSTOMERS WHICH WILL CONSIST PRIMARILY OF PROFESSIONAL INVESTORS AND OTHER CORPORATE BUSINESS ENTITIES.

Other Types of Business This firm does not effect transactions in commodities, commodity futures, or commodity options. This firm does not engage in other non-securities business. Non-Securities Business Description:

Clearing Arrangements This firm does not hold or maintain funds or securities or provide clearing services for other broker-dealer(s).

Introducing Arrangements

This firm does not refer or introduce customers to other brokers and dealers.

This firm does have books or records maintained by a third party. Name: CITIGROUP GLOBAL MARKETS INC. CRD #: 7059 Business Address: 390 - 388 GREENWICH STREET NEW YORK, NY 10013-2396 Effective Date: 05/14/2018 Description: CSSI UTILIZES CGMI'S SYSTEMS TO MAINTAIN BOOKS & RECORDS REQUIRED UNDER RULE 17A-3 OF THE SECURITIES EXCHANGE ACT OF 1934. This firm does have accounts, funds, or securities maintained by a third party. Name: CITIGROUP GLOBAL MARKETS INC. CRD #: 7059 Business Address: 390 - 388 GREENWICH STREET NEW YORK, NY 10013-2396 Effective Date: 02/06/2007 Description: CSSI ENTERED INTO A PROPRIETARY ACCOUNTS OF INTRODUCING BROKERS (PAIB) AGREEMENT WITH CGMI FOR THE PURPOSE OF ENABLING CSSI TO TREAT ITS PAIB ASSETS HELD WITH CGMI AS ALLOWABLE FOR PURPOSES OF THE RULE 15C3-1 OF THE SECURITIES EXCHANGE ACT OF 1934 (THE "NET CAPITAL RULE"). This firm does not have customer accounts, funds, or securities maintained by a third party.

Control Persons/Financing This firm does not have individuals who control its management or policies through agreement.

This firm does not have individuals who wholly or partly finance the firm's business.

Organization Affiliates This section provides information on control relationships the firm has with other firms in the securities, investment advisory, or banking business.

This firm is, directly or indirectly: · in control of · controlled by · or under common control with the following partnerships, corporations, or other organizations engaged in the securities or investment advisory business. CITIGROUP GLOBAL MARKETS EUROPE AG is under common control with the firm. Business Address: FRANKFURTER WELLE REUTERWEG 16 FRANKFURT, GERMANY 60323 Effective Date: 11/15/2018 Foreign Entity: Yes Country: GERMANY Securities Activities: Yes Investment Advisory No Activities: Description: THE APPLICANT AND THE CONTROL AFFILIATE ARE UNDER COMMON CONTROL OF CITIGROUP INC., THE APPLICANT'S INDIRECT OWNER.

CITIGROUP GLOBAL MARKETS FINANCIAL PRODUCTS LLC is under common control with the firm. Business Address: 388 GREENWICH STREET NEW YORK, NY 10013 Effective Date: 10/08/1998 Foreign Entity: No Country: Securities Activities: Yes Investment Advisory No Activities: Description: THE APPLICANT AND THE CONTROL AFFILIATE ARE UNDER COMMON CONTROL OF CITIGROUP INC., THE APPLICANT'S INDIRECT OWNER.

Organization Affiliates (continued)

CSCAL NOMINEES PTY LIMITED is under common control with the firm. Business Address: CITIGROUP CENTRE 2 PARK STREET SYDNEY, AUSTRALIA 2000 Effective Date: 02/01/2007 Foreign Entity: Yes Country: AUSTRALIA Securities Activities: Yes Investment Advisory No Activities: Description: THE APPLICANT AND THE CONTROL AFFILIATE ARE UNDER COMMON CONTROL OF CITIGROUP INC., THE APPLICANT'S INDIRECT OWNER.

BANCHILE CORREDORES DE BOLSA S.A. is under common control with the firm. Business Address: AUGUSTINAS 975 SANTIAGO, CHILE Effective Date: 08/01/2011 Foreign Entity: Yes Country: CHILE Securities Activities: Yes Investment Advisory No Activities: Description: THE APPLICANT AND THE CONTROL AFFILIATE ARE UNDER COMMON CONTROL OF CITIGROUP INC., THE APPLICANT'S INDIRECT OWNER.

ITIGROUP SECURITIES SERVICES (BERMUDA) LTD. is under common control with the firm. Business Address: WASHINGTON MALL I, 3RD FLOOR CHURCH STREET HAMILTON, BERMUDA Effective Date: 08/01/2011 Foreign Entity: Yes Country: BERMUDA Securities Activities: Yes

Organization Affiliates (continued)

Investment Advisory No Activities: Description: THE APPLICANT AND THE CONTROL AFFILIATE ARE UNDER COMMON CONTROL OF CITIGROUP INC., THE APPLICANT'S INDIRECT OWNER.

CITIGROUP GLOBAL MARKETS TAIWAN SECURITIES COMPANY LIMITED is under common control with the firm. Business Address: 14-15F, NO. 1 SONGZHI ROAD TAIPEI, TAIWAN 110 Effective Date: 08/01/2011 Foreign Entity: Yes Country: THAILAND Securities Activities: Yes Investment Advisory No Activities: Description: THE APPLICANT AND THE CONTROL AFFILIATE ARE UNDER COMMON CONTROL OF CITIGROUP INC., THE APPLICANT'S INDIRECT OWNER.

CITICORP SECURITIES (THAILAND) LIMITED is under common control with the firm. Business Address: 399 INTERCHANGE 21 BUILDING, 18TH FLOOR SUKHUMUIT ROAD BANGKOK, THAILAND 10110 Effective Date: 08/01/2011 Foreign Entity: Yes Country: THAILAND Securities Activities: Yes Investment Advisory No Activities: Description: THE APPLICANT AND THE CONTROL AFFILIATE ARE UNDER COMMON CONTROL OF CITIGROUP INC., THE APPLICANT'S INDIRECT OWNER.

CITIGROUP ALTERNATIVE INVESTMENTS LLC is under common control with the firm. CRD #: 119537 Business Address: 399 PARK AVENUE ©2021 FINRA. All rights reserved. Report aboutNEW CITICORP YORK, NYSECURITIES 10022 SERVICES, INC. 15 www.finra.org/brokercheck User Guidance Firm Operations

Organization Affiliates (continued) Business Address: 399 PARK AVENUE NEW YORK, NY 10022 Effective Date: 08/01/2011 Foreign Entity: No Country: Securities Activities: No Investment Advisory Yes Activities: Description: THE APPLICANT AND THE CONTROL AFFILIATE ARE UNDER COMMON CONTROL OF CITIGROUP INC., THE APPLICANT'S INDIRECT OWNER.

CITI PRIVATE ADVISORY, LLC is under common control with the firm. CRD #: 153777 Business Address: 666 FIFTH AVENUE 6TH FLOOR NEW YORK, NY 10103 Effective Date: 08/01/2011 Foreign Entity: No Country: Securities Activities: Yes Investment Advisory Yes Activities: Description: THE APPLICANT AND THE CONTROL AFFILIATE ARE UNDER COMMON CONTROL OF CITIGROUP INC., THE APPLICANT'S INDIRECT OWNER.

AO CITIBANK is under common control with the firm. Business Address: DUCAT PLACE 8-10 GASLEKA STREET MOSCOW, RUSSIA 125047 Effective Date: 08/01/2011 Foreign Entity: Yes Country: RUSSIA Securities Activities: Yes Investment Advisory Yes Activities: ©2021 FINRA. All rights reserved. Report about CITICORP SECURITIES SERVICES, INC. 16 www.finra.org/brokercheck User Guidance Firm Operations

Organization Affiliates (continued)

Investment Advisory Yes Activities: Description: THE APPLICANT AND THE CONTROL AFFILIATE ARE UNDER COMMON CONTROL OF CITIGROUP INC., THE APPLICANT'S INDIRECT OWNER.

CITITRUST COLOMBIA S.A. is under common control with the firm. Business Address: CARRERA 9A NO. 99-02 BOGOTA, COLOMBIA Effective Date: 08/01/2011 Foreign Entity: Yes Country: COLOMBIA Securities Activities: No Investment Advisory Yes Activities: Description: THE APPLICANT AND THE CONTROL AFFILIATE ARE UNDER COMMON CONTROL OF CITIGROUP INC., THE APPLICANT'S INDIRECT OWNER.

CITITRUST (JERSEY) LTD. is under common control with the firm. Business Address: 38 ESPLANADE ST. HELIER, JERSEY JE4 8ZT Effective Date: 08/01/2011 Foreign Entity: Yes Country: CHANNEL ISLANDS Securities Activities: No Investment Advisory Yes Activities: Description: THE APPLICANT AND THE CONTROL AFFILIATE ARE UNDER COMMON CONTROL OF CITIGROUP INC., THE APPLICANT'S INDIRECT OWNER.

CITITRUST (CAYMAN) LTD. is under common control with the firm. Business Address: CIBC FINANCIAL CENTRE-2ND FLOOR GEORGETOWN, GRAND CAYMAN Effective Date: 08/01/2011 Foreign Entity: Yes ©2021 FINRA. All rights reserved. Report about CITICORP SECURITIES SERVICES, INC. 17 www.finra.org/brokercheck User Guidance Firm Operations

Organization Affiliates (continued)

Foreign Entity: Yes Country: CAYMAN ISLANDS Securities Activities: No Investment Advisory Yes Activities: Description: THE APPLICANT AND THE CONTROL AFFILIATE ARE UNDER COMMON CONTROL OF CITIGROUP INC., THE APPLICANT'S INDIRECT OWNER.

CITITRUST (BAHAMAS) LTD. is under common control with the firm. Business Address: 110 THOMPSON BOULEVARD NASSAU, BAHAMAS Effective Date: 08/01/2011 Foreign Entity: Yes Country: BAHAMAS Securities Activities: No Investment Advisory Yes Activities: Description: THE APPLICANT AND THE CONTROL AFFILIATE ARE UNDER COMMON CONTROL OF CITIGROUP INC., THE APPLICANT'S INDIRECT OWNER.

CITIBANK (HONG KONG) LTD. is under common control with the firm. Business Address: 8F, DORSET HOUSE 979 KING'S ROAD QUARRY BAY, HONG KONG Effective Date: 08/01/2011 Foreign Entity: Yes Country: HONG KONG Securities Activities: No Investment Advisory Yes Activities: Description: THE APPLICANT AND THE CONTROL AFFILIATE ARE UNDER COMMON CONTROL OF CITIGROUP INC., THE APPLICANT'S INDIRECT OWNER.

CITIGROUP (CHANNEL ISLANDS) LTD. is under common control with the firm.

Organization Affiliates (continued)

Business Address: 38 ESPLANADE STREET HELIER, JERSEY JE4 8QB Effective Date: 08/01/2011 Foreign Entity: Yes Country: CHANNEL ISLANDS Securities Activities: No Investment Advisory Yes Activities: Description: THE APPLICANT AND THE CONTROL AFFILIATE ARE UNDER COMMON CONTROL OF CITIGROUP INC., THE APPLICANT'S INDIRECT OWNER.

BANK HANDLOWY W WARSZAWIE S.A. (POLAND) is under common control with the firm. Business Address: SENATURSKA 16 WARSAW, POLAND 00-923 Effective Date: 08/01/2011 Foreign Entity: Yes Country: POLAND Securities Activities: No Investment Advisory Yes Activities: Description: THE APPLICANT AND THE CONTROL AFFILIATE ARE UNDER COMMON CONTROL OF CITIGROUP INC., THE APPLICANT'S INDIRECT OWNER.

BANCO NACIONAL DE MEXICO, S.A., INTEGRANTE DEL GRUPO FINANCIERO BANAMEX is under common control with the firm. Business Address: EDIFICIO NORTE PISO 51 MEXICO CITY, MEXICO Effective Date: 08/01/2011 Foreign Entity: Yes Country: MEXICO Securities Activities: No Investment Advisory Yes Activities: ©2021 FINRA. All rights reserved. Report about CITICORP SECURITIES SERVICES, INC. 19 www.finra.org/brokercheck User Guidance Firm Operations

Organization Affiliates (continued)

Investment Advisory Yes Activities: Description: THE APPLICANT AND THE CONTROL AFFILIATE ARE UNDER COMMON CONTROL OF CITIGROUP INC., THE APPLICANT'S INDIRECT OWNER.

CITIBANAMEX AFORE SA DE CV is under common control with the firm. Business Address: REFORMA 404 PISO 2 MEXICO CITY, MEXICO Effective Date: 08/01/2011 Foreign Entity: Yes Country: MEXICO Securities Activities: No Investment Advisory Yes Activities: Description: THE APPLICANT AND THE CONTROL AFFILIATE ARE UNDER COMMON CONTROL OF CITIGROUP INC., THE APPLICANT'S INDIRECT OWNER.

CITIGROUP FIRST INVESTMENT MANAGEMENT LIMITED is under common control with the firm. Business Address: 50/F, CITIBANK TOWER, CITIBANK PLAZE 3 GARDEN ROAD CENTRAL, HONG KONG Effective Date: 08/01/2011 Foreign Entity: Yes Country: HONG KONG Securities Activities: Yes Investment Advisory No Activities: Description: THE APPLICANT AND THE CONTROL AFFILIATE ARE UNDER COMMON CONTROL OF CITIGROUP INC., THE APPLICANT'S INDIRECT OWNER.

CITIGROUP GLOBAL MARKETS MAURITIUS PRIVATE LIMITED is under common control with the firm. Business Address: 608 ST. JAMES COURT ST. DENIS STREET PORT LOUIS, MAURITIUS

Organization Affiliates (continued)

Effective Date: 08/01/2011 Foreign Entity: Yes Country: MAURITIUS Securities Activities: Yes Investment Advisory No Activities: Description: THE APPLICANT AND THE CONTROL AFFILIATE ARE UNDER COMMON CONTROL OF CITIGROUP INC., THE APPLICANT'S INDIRECT OWNER.

CITIGROUP GLOBAL MARKETS MALAYSIA SDN. BHD is under common control with the firm. Business Address: MENARA CITIBANK 165 JALAN AMPANG KUALA LUMPUR, MALAYSIA 50450 Effective Date: 08/01/2011 Foreign Entity: Yes Country: MALAYSIA Securities Activities: Yes Investment Advisory No Activities: Description: THE APPLICANT AND THE CONTROL AFFILIATE ARE UNDER COMMON CONTROL OF CITIGROUP INC., THE APPLICANT'S INDIRECT OWNER.

CITIGROUP GLOBAL MARKETS INDIA PRIVATE LIMITED is under common control with the firm. Business Address: BAKHTAWAR, 12F NARIMAN POINT MUMBAI, INDIA 400021 Effective Date: 08/01/2011 Foreign Entity: Yes Country: INDIA Securities Activities: Yes Investment Advisory No Activities: Description: THE APPLICANT AND THE CONTROL AFFILIATE ARE UNDER COMMON CONTROL OF CITIGROUP INC., THE APPLICANT'S INDIRECT OWNER. ©2021 FINRA. All rights reserved. Report about CITICORP SECURITIES SERVICES, INC. 21 www.finra.org/brokercheck User Guidance Firm Operations

Organization Affiliates (continued)THE APPLICANT AND THE CONTROL AFFILIATE ARE UNDER COMMON CONTROL OF CITIGROUP INC., THE APPLICANT'S INDIRECT OWNER.

CITIGROUP FINANCIAL PRODUCTS ISRAEL LIMITED is under common control with the firm. Business Address: 21 HAARBAHA STREET PLATINUM BUILDING TEL AVIV, ISRAEL 64739 Effective Date: 08/01/2011 Foreign Entity: Yes Country: ISRAEL Securities Activities: Yes Investment Advisory No Activities: Description: THE APPLICANT AND THE CONTROL AFFILIATE ARE UNDER COMMON CONTROL OF CITIGROUP INC., THE APPLICANT'S INDIRECT OWNER.

CIFINANCE LIMITED is under common control with the firm. Business Address: 63-67 KNUTSFORD BOULEVARD KINGSTON, JAMAICA Effective Date: 08/01/2011 Foreign Entity: Yes Country: JAMAICA Securities Activities: Yes Investment Advisory No Activities: Description: THE APPLICANT AND THE CONTROL AFFILIATE ARE UNDER COMMON CONTROL OF CITIGROUP INC., THE APPLICANT'S INDIRECT OWNER.

CITI VALORES ACCIVAL S.A. is under common control with the firm. Business Address: NORTE DE LA ROTONDA JUAN PABLO II CENTRO COMERCIAL CAFESA SAN JOSE, COSTA RICA Effective Date: 08/01/2011 Foreign Entity: Yes Country: COSTA RICA Securities Activities: Yes ©2021 FINRA. All rights reserved. Report about CITICORP SECURITIES SERVICES, INC. 22 www.finra.org/brokercheck User Guidance Firm Operations

Organization Affiliates (continued) Securities Activities: Yes Investment Advisory No Activities: Description: THE APPLICANT AND THE CONTROL AFFILIATE ARE UNDER COMMON CONTROL OF CITIGROUP INC., THE APPLICANT'S INDIRECT OWNER.

CITI MENKUL DEGERLER ANONIM SIRKETI is under common control with the firm. Business Address: BUYUKDERE C. KONAKLAR M. YAPI KREDI PLAZA C BLOK K ISTANBUL, TURKEY Effective Date: 08/01/2011 Foreign Entity: Yes Country: TURKEY Securities Activities: Yes Investment Advisory No Activities: Description: THE APPLICANT AND THE CONTROL AFFILIATE ARE UNDER COMMON CONTROL OF CITIGROUP INC., THE APPLICANT'S INDIRECT OWNER.

CITIBANAMEX CASA DE BOLSA, S.A. DE C.V., CASA DE BOLSA, INTEGRANTE DEL GRUPO FINANCIERO CITIBANAMEX is under common control with the firm. Business Address: AV. PASEO DEL LA REFORMA NO. 398 COL. JUAREZ MEXICO, D.F., MEXICO 06600 Effective Date: 11/01/2001 Foreign Entity: Yes Country: MEXICO Securities Activities: Yes Investment Advisory Yes Activities: Description: THE APPLICANT AND THE CONTROL AFFILIATE ARE UNDER COMMON CONTROL OF CITIGROUP INC., THE APPLICANT'S INDIRECT OWNER.

CITIGROUP GLOBAL MARKETS (PROPRIETARY) LIMITED is under common control with the firm. Business Address: FIRST FLOOR, GROSVENOR CORNER 195 JAN SMUTS AVENUE ©2021 FINRA. All rights reserved. Report aboutROSEBANK CITICORP 2196, SECURITIES JOHANNESBURG, SERVICES, INC. SOUTH AFRICA 23 www.finra.org/brokercheck User Guidance Firm Operations

Organization Affiliates (continued)FIRST FLOOR, GROSVENOR CORNER 195 JAN SMUTS AVENUE ROSEBANK 2196, JOHANNESBURG, SOUTH AFRICA Effective Date: 07/02/2001 Foreign Entity: Yes Country: SOUTH AFRICA Securities Activities: Yes Investment Advisory No Activities: Description: THE APPLICANT AND THE CONTROL AFFILIATE ARE UNDER COMMON CONTROL OF CITIGROUP INC., THE APPLICANT'S INDIRECT OWNER.

CITINVERSIONES DE TITULOS Y VALORES (PUESTO DE BOLSA) S.A. is under common control with the firm. Business Address: JOHN F. KENNEDY BOULEVARD NO. 1 SANTO DOMINGO, DOMINICAN REPUBLIC N/A Effective Date: 10/08/1998 Foreign Entity: Yes Country: DOMINICAN REPUBLIC Securities Activities: Yes Investment Advisory No Activities: Description: THE APPLICANT AND THE CONTROL AFFILIATE ARE UNDER COMMON CONTROL OF CITIGROUP INC., THE APPLICANT'S INDIRECT OWNER.

CITIGROUP DERIVATIVES MARKETS INC. is under common control with the firm. CRD #: 133084 Business Address: 130 CHESHIRE LANE SUITE 102 MINNETONKA, MN 55305 Effective Date: 12/10/2004 Foreign Entity: No Country: Securities Activities: Yes Investment Advisory No Activities:

Description:©2021 FINRA. All rights reserved. Report aboutTHE CITICORPAPPLICANT SECURITIES AND THE SERVICES, CONTROL INC. AFFILIATE ARE UNDER COMMON 24 CONTROL OF CITIGROUP INC., THE APPLICANT'S INDIRECT OWNER. www.finra.org/brokercheck User Guidance Firm Operations

Organization Affiliates (continued)

Description: THE APPLICANT AND THE CONTROL AFFILIATE ARE UNDER COMMON CONTROL OF CITIGROUP INC., THE APPLICANT'S INDIRECT OWNER.

AO CITIGROUP GLOBAL MARKETS is under common control with the firm. Business Address: 8-10 GASHEKA STREET MOSCOW, RUSSIA N/A Effective Date: 10/08/1998 Foreign Entity: Yes Country: RUSSIA Securities Activities: Yes Investment Advisory No Activities: Description: THE APPLICANT AND THE CONTROL AFFILIATE ARE UNDER COMMON CONTROL OF CITIGROUP INC., THE APPLICANT'S INDIRECT OWNER.

CITIGROUP GLOBAL MARKETS SINGAPORE PTE. LIMITED is under common control with the firm. Business Address: 1 TEMESEK AVENUE SINGAPORE, SINGAPORE 13192 Effective Date: 10/08/1998 Foreign Entity: Yes Country: SINGAPORE Securities Activities: Yes Investment Advisory Yes Activities: Description: THE APPLICANT AND THE CONTROL AFFILIATE ARE UNDER COMMON CONTROL OF CITIGROUP INC., THE APPLICANT'S INDIRECT OWNER.

CITIGROUP GLOBAL MARKETS ASIA LIMITED is under common control with the firm. Business Address: CITIGROUP CENTRE - CITIBANK "K" TOWER, 50TH FLOOR 3 GARDEN ROAD HONG KONG, HONG KONG N/A Effective Date: 10/08/1998 Foreign Entity: Yes Country: HONG KONG

Organization Affiliates (continued)

Securities Activities: Yes Investment Advisory No Activities: Description: THE APPLICANT AND THE CONTROL AFFILIATE ARE UNDER COMMON CONTROL OF CITIGROUP INC., THE APPLICANT'S INDIRECT OWNER.

CITIGROUP GLOBAL MARKETS CANADA INC. is under common control with the firm. Business Address: 181 BAY STREET BCE PLACE TORONTO, CANADA M5J 2T3 Effective Date: 10/08/1998 Foreign Entity: Yes Country: CANADA Securities Activities: Yes Investment Advisory No Activities: Description: THE APPLICANT AND THE CONTROL AFFILIATE ARE UNDER COMMON CONTROL OF CITIGROUP INC., THE APPLICANT'S INDIRECT OWNER.

CITIGROUP GLOBAL MARKETS AUSTRALIA PTY LIMITED is under common control with the firm. Business Address: LEVEL 16, GROSVENOR PLACE 225 GEORGE STREET SYDNEY, NSW, AUSTRALIA 2000 Effective Date: 10/08/1998 Foreign Entity: Yes Country: AUSTRALIA Securities Activities: Yes Investment Advisory No Activities: Description: THE APPLICANT AND THE CONTROL AFFILIATE ARE UNDER COMMON CONTROL OF CITIGROUP INC., THE APPLICANT'S INDIRECT OWNER.

CITIGROUP GLOBAL MARKETS TAIWAN LIMITED is under common control with the firm. Business Address: 9TH FLOOR, WAISIN FINANCIAL BUILDING, NO. 117 MING SHENG EAST ROAD, SECTION 3 ©2021 FINRA. All rights reserved. Report aboutTAIPEI, CITICORP TAIWAN SECURITIES 90646 SERVICES, INC. 26 www.finra.org/brokercheck User Guidance Firm Operations

Organization Affiliates (continued)9TH FLOOR, WAISIN FINANCIAL BUILDING, NO. 117 MING SHENG EAST ROAD, SECTION 3 TAIPEI, TAIWAN 90646 Effective Date: 10/08/1998 Foreign Entity: Yes Country: TAIWAN Securities Activities: Yes Investment Advisory No Activities: Description: THE APPLICANT AND THE CONTROL AFFILIATE ARE UNDER COMMON CONTROL OF CITIGROUP INC., THE APPLICANT'S INDIRECT OWNER.

PT CITIGROUP SEKURITAS INDONESIA is under common control with the firm. Business Address: LANDMARK CENTRE, TOWER A 6TH FLOOR J1 JENDRAL SUDIRMAN NO. 1 12910, JAKARTA 12910 Effective Date: 10/08/1998 Foreign Entity: Yes Country: INDONESIA Securities Activities: Yes Investment Advisory No Activities: Description: THE APPLICANT AND THE CONTROL AFFILIATE ARE UNDER COMMON CONTROL OF CITIGROUP INC., THE APPLICANT'S INDIRECT OWNER.

CITIGROUP GLOBAL MARKETS JAPAN INC. is under common control with the firm. Business Address: AKASAKA PARK BUILDING 2-20 AKASAKA 5-CHOME MINATO-KU, TOKYO, JAPAN 107-6122 Effective Date: 10/08/1998 Foreign Entity: Yes Country: JAPAN Securities Activities: Yes Investment Advisory No Activities: Description: THE APPLICANT AND THE CONTROL AFFILIATE ARE UNDER COMMON ©2021 FINRA. All rights reserved. Report aboutCONTROL CITICORP OF SECURITIES CITIGROUP SERVICES, INC., THE INC. APPLICANT'S INDIRECT OWNER. NAME 27 CHANGE FROM NIKKO CITIGROUP LIMITED. www.finra.org/brokercheck User Guidance Firm Operations

Organization Affiliates (continued)

Description: THE APPLICANT AND THE CONTROL AFFILIATE ARE UNDER COMMON CONTROL OF CITIGROUP INC., THE APPLICANT'S INDIRECT OWNER. NAME CHANGE FROM NIKKO CITIGROUP LIMITED.

LATIN AMERICAN INVESTMENT BANK BAHAMAS LIMITED is under common control with the firm. Business Address: CITIBANK BUILDING THOMPSON BLVD. & OAKES FIELD NASSAU, BAHAMAS N/A Effective Date: 10/08/1998 Foreign Entity: Yes Country: BAHAMAS Securities Activities: Yes Investment Advisory No Activities: Description: THE APPLICANT AND THE CONTROL AFFILIATE ARE UNDER COMMON CONTROL OF CITIGROUP INC., THE APPLICANT'S INDIRECT OWNER.

CITIGROUP GLOBAL MARKETS KOREA SECURITIES LTD. is under common control with the firm. Business Address: DONG-AH LIFE INSURANCE BUILDING 33, DA-DONG, CHUNG-KU SEOUL, KOREA 100-180 Effective Date: 10/08/1998 Foreign Entity: Yes Country: SOUTH KOREA Securities Activities: Yes Investment Advisory No Activities: Description: THE APPLICANT AND THE CONTROL AFFILIATE ARE UNDER COMMON CONTROL OF CITIGROUP INC., THE APPLICANT'S INDIRECT OWNER.

CITIVALORES S.A. COMISIONISTA DE BOLSA is under common control with the firm. Business Address: CARRERA 9 A NO. 99-02 PISO 2 BOGOTA, COLOMBIA N/A Effective Date: 10/27/1987

Organization Affiliates (continued)

Foreign Entity: Yes Country: COLOMBIA Securities Activities: Yes Investment Advisory No Activities: Description: THE APPLICANT AND THE CONTROL AFFILIATE ARE UNDER COMMON CONTROL OF CITIGROUP INC., THE APPLICANT'S INDIRECT OWNER.

CITIVALORES S.A. is under common control with the firm. Business Address: VIA ESPANA 124 PANAMA CITY, PANAMA N/A Effective Date: 08/01/1990 Foreign Entity: Yes Country: PANAMA Securities Activities: Yes Investment Advisory No Activities: Description: THE APPLICANT AND THE CONTROL AFFILIATE ARE UNDER COMMON CONTROL OF CITIGROUP INC., THE APPLICANT'S INDIRECT OWNER.

CITICORP MERCHANT BANK LIMITED is under common control with the firm. Business Address: 74 INDEPENDENCE SQUARE PORT OF SPAIN, TRINIDAD & TOBAGO N/A Effective Date: 01/23/1987 Foreign Entity: Yes Country: TRINIDAD & TOBAGO Securities Activities: Yes Investment Advisory No Activities: Description: THE APPLICANT AND THE CONTROL AFFILIATE ARE UNDER COMMON CONTROL OF CITIGROUP INC., THE APPLICANT'S INDIRECT OWNER.

CITINVERSIONES, S.A. is under common control with the firm. Business Address: AVENIDA REFORMA 15-45 ©2021 FINRA. All rights reserved. Report aboutZONA CITICORP 10 SECURITIES SERVICES, INC. 29 GUATEMALA CITY, GUATEMALA N/A www.finra.org/brokercheck User Guidance Firm Operations

Organization Affiliates (continued)

Business Address: AVENIDA REFORMA 15-45 ZONA 10 GUATEMALA CITY, GUATEMALA N/A Effective Date: 08/17/1998 Foreign Entity: Yes Country: GUATEMALA Securities Activities: Yes Investment Advisory No Activities: Description: THE APPLICANT AND THE CONTROL AFFILIATE ARE UNDER COMMON CONTROL OF CITIGROUP INC., THE APPLICANT'S INDIRECT OWNER.

CITIGROUP GLOBAL MARKETS BRASIL CCTVM SA is under common control with the firm. Business Address: AVENIDA PAULISTA 1111 SAO PAULO, BRAZIL 01311 Effective Date: 04/30/1984 Foreign Entity: Yes Country: BRAZIL Securities Activities: Yes Investment Advisory Yes Activities: Description: THE APPLICANT AND THE CONTROL AFFILIATE ARE UNDER COMMON CONTROL OF CITIGROUP INC., THE APPLICANT'S INDIRECT OWNER.

CITICORP SECURITIES WEST AFRICA is under common control with the firm. Business Address: 28 AVENUE DELA FOSSE ABIDJAN, IVORY COAST 01 Effective Date: 12/03/1997 Foreign Entity: Yes Country: IVORY COAST Securities Activities: Yes Investment Advisory No Activities: Description: THE APPLICANT AND THE CONTROL AFFILIATE ARE UNDER COMMON ©2021 FINRA. All rights reserved. Report aboutCONTROL CITICORP OF SECURITIES CITIGROUP SERVICES, INC., THE INC. APPLICANT'S INDIRECT OWNER. 30 www.finra.org/brokercheck User Guidance Firm Operations

Organization Affiliates (continued)

Description: THE APPLICANT AND THE CONTROL AFFILIATE ARE UNDER COMMON CONTROL OF CITIGROUP INC., THE APPLICANT'S INDIRECT OWNER.

CITICORP FINANCIAL SERVICES AND INSURANCE BROKERAGE PHILIPPINES, INC. is under common control with the firm. Business Address: AYALA AVENUE MAKATI, PHILIPPINES M/A Effective Date: 04/06/1987 Foreign Entity: Yes Country: PHILIPPINES Securities Activities: Yes Investment Advisory No Activities: Description: THE APPLICANT AND THE CONTROL AFFILIATE ARE UNDER COMMON CONTROL OF CITIGROUP INC., THE APPLICANT'S INDIRECT OWNER.

CITICORP INVESTMENT BANK (SINGAPORE) LIMITED is under common control with the firm. Business Address: 5 SHENTON WAY UIC BUILDING SINGAPORE, SINGAPORE 068808 Effective Date: 04/30/1984 Foreign Entity: Yes Country: SINGAPORE Securities Activities: Yes Investment Advisory No Activities: Description: THE APPLICANT AND THE CONTROL AFFILIATE ARE UNDER COMMON CONTROL OF CITIGROUP INC., THE APPLICANT'S INDIRECT OWNER.

CITICORP INTERNATIONAL LIMITED is under common control with the firm. Business Address: CITIBANK PLAZA 3 GARDEN ROAD, 48TH FLOOR VICTORIA, HONG KONG N/A Effective Date: 04/30/1984 Foreign Entity: Yes ©2021 FINRA. All rights reserved. Report about CITICORP SECURITIES SERVICES, INC. 31 www.finra.org/brokercheck User Guidance Firm Operations

Organization Affiliates (continued) Foreign Entity: Yes Country: HONG KONG Securities Activities: No Investment Advisory Yes Activities: Description: THE APPLICANT AND THE CONTROL AFFILIATE ARE UNDER COMMON CONTROL OF CITIGROUP INC., THE APPLICANT'S INDIRECT OWNER.

CITICORP CAPITAL PHILIPPINES, INC. is under common control with the firm. Business Address: CITIBANK TOWER 8741 PASEO DE ROXAS MAKATI, PHILIPPINES N/A Effective Date: 08/30/1995 Foreign Entity: Yes Country: PHILIPPINES Securities Activities: Yes Investment Advisory Yes Activities: Description: THE APPLICANT AND THE CONTROL AFFILIATE ARE UNDER COMMON CONTROL OF CITIGROUP INC., THE APPLICANT'S INDIRECT OWNER.

CITICORP CAPITAL MARKETS SOCIEDAD ANONIMA is under common control with the firm. Business Address: BARTOLOME MITRE 502 BUENOS AIRES, ARGENTINA 1036 Effective Date: 04/30/1984 Foreign Entity: Yes Country: ARGENTINA Securities Activities: Yes Investment Advisory No Activities: Description: THE APPLICANT AND THE CONTROL AFFILIATE ARE UNDER COMMON CONTROL OF CITIGROUP INC., THE APPLICANT'S INDIRECT OWNER.

CITICORP ADMINISTRADORA DE INVERSIONES S.A. is under common control with the firm. Business Address: MISIONES 1374 ©2021 FINRA. All rights reserved. Report aboutMONTEVIDEO, CITICORP SECURITIES URUGUAY SERVICES, N/A INC. 32 www.finra.org/brokercheck User Guidance Firm Operations

Organization Affiliates (continued)

Business Address: MISIONES 1374 MONTEVIDEO, URUGUAY N/A Effective Date: 05/30/1990 Foreign Entity: Yes Country: URUGUAY Securities Activities: No Investment Advisory Yes Activities: Description: THE APPLICANT AND THE CONTROL AFFILIATE ARE UNDER COMMON CONTROL OF CITIGROUP INC., THE APPLICANT'S INDIRECT OWNER.

DOM MAKLERSKI BANKU HANDLOWEGO S.A. is under common control with the firm. Business Address: U.I. SENATORSKA 12 WARSAW, POLAND 00 923 Effective Date: 10/08/1998 Foreign Entity: Yes Country: POLAND Securities Activities: Yes Investment Advisory No Activities: Description: THE APPLICANT AND THE CONTROL AFFILIATE ARE UNDER COMMON CONTROL OF CITIGROUP INC., THE APPLICANT'S INDIRECT OWNER.

CITIBANK EUROPE PLC is under common control with the firm. Business Address: 1 NORTH WALL QUAY DUBLIN, IRELAND Effective Date: 04/30/1984 Foreign Entity: Yes Country: IRELAND Securities Activities: No Investment Advisory Yes Activities: Description: THE APPLICANT AND THE CONTROL AFFILIATE ARE UNDER COMMON CONTROL OF CITIGROUP INC., THE APPLICANT'S INDIRECT OWNER. ©2021 FINRA. All rights reserved. Report about CITICORP SECURITIES SERVICES, INC. 33 www.finra.org/brokercheck User Guidance Firm Operations

Organization Affiliates (continued) Description: THE APPLICANT AND THE CONTROL AFFILIATE ARE UNDER COMMON CONTROL OF CITIGROUP INC., THE APPLICANT'S INDIRECT OWNER.

CITIBANK DISTRIBUIDORA DE TITULOS E VALORES MOBILIARIOS S.A. is under common control with the firm. Business Address: AVENIDA PAULISTA 2ND FLOOR SAO PALO, BRAZIL 1311 Effective Date: 04/30/1984 Foreign Entity: Yes Country: BRAZIL Securities Activities: No Investment Advisory Yes Activities: Description: THE APPLICANT AND THE CONTROL AFFILIATE ARE UNDER COMMON CONTROL OF CITIGROUP INC., THE APPLICANT'S INDIRECT OWNER.

CITIBANK (SWITZERLAND) is under common control with the firm. Business Address: BAHNHOFSTRASSE 63 ZURICH, SWITZERLAND CH-8022 Effective Date: 04/30/1984 Foreign Entity: Yes Country: SWITZERLAND Securities Activities: Yes Investment Advisory Yes Activities: Description: THE APPLICANT AND THE CONTROL AFFILIATE ARE UNDER COMMON CONTROL OF CITIGROUP INC., THE APPLICANT'S INDIRECT OWNER.

BANCO CITIBANK S.A. is under common control with the firm. Business Address: AVENIDA PAULISTA,111 SAO PAULO, BRAZIL 01311 Effective Date: 04/30/1984 Foreign Entity: Yes Country: BRAZIL

Organization Affiliates (continued)

Securities Activities: No Investment Advisory Yes Activities: Description: THE APPLICANT AND THE CONTROL AFFILIATE ARE UNDER COMMON CONTROL OF CITIGROUP INC., THE APPLICANT'S INDIRECT OWNER.

CITIGROUP GLOBAL MARKETS LIMITED is under common control with the firm. Business Address: CANADA SQUARE CANARY WHARF LONDON, ENGLAND E14 5LB Effective Date: 11/28/1997 Foreign Entity: Yes Country: ENGLAND Securities Activities: Yes Investment Advisory No Activities: Description: THE APPLICANT AND THE CONTROL AFFILIATE ARE UNDER COMMON CONTROL OF CITIGROUP INC., THE APPLICANT'S INDIRECT OWNER.

CITI INTERNATIONAL FINANCIAL SERVICES LLC is under common control with the firm. CRD #: 17053 Business Address: 273 SCOTIA PLAZA, PONCE DE LEON AVENUE HATO REY, PR 00918 Effective Date: 10/08/1998 Foreign Entity: No Country: Securities Activities: Yes Investment Advisory No Activities: Description: THE APPLICANT AND THE CONTROL AFFILIATE ARE UNDER COMMON CONTROL OF CITIGROUP INC., THE APPLICANT'S INDIRECT OWNER.

CITIGROUP GLOBAL MARKETS INC. is under common control with the firm. CRD #: 7059

Organization Affiliates (continued)

Business Address: 390 - 388 GREENWICH STREET NEW YORK, NY 10013 Effective Date: 10/08/1998 Foreign Entity: No Country: Securities Activities: Yes Investment Advisory Yes Activities: Description: THE APPLICANT AND THE CONTROL AFFILIATE ARE UNDER COMMON CONTROL OF CITIGROUP INC., THE APPLICANT'S INDIRECT OWNER.

This firm is directly or indirectly, controlled by the following: · bank holding company · national bank · state member bank of the Federal Reserve System · state non-member bank · savings bank or association · credit union · or foreign bank

CITIBANK, N.A. is a National Bank and controls the firm. Business Address: 399 PARK AVENUE. NEW YORK, NY 10043 Effective Date: 10/08/1998 Description: CITICORP SECURITIES SERVICES INC. IS A WHOLLY-OWNED DIRECT SUBSIDIARY OF CITIGROUP FINANCIAL PRODUCTS INC. ("CFPI"), A WHOLLY-OWNED DIRECT SUBSIDIARY OF CITIGROUP GLOBAL MARKETS HOLDINGS INC. ("CGMHI"). CGMHI IS A WHOLLY-OWNED DIRECT SUBSIDIARY OF CITIGROUP INC. THE AFFILIATED ENTITY AND THE APPLICANT ARE UNDER COMMON CONTROL OF CITIGROUP INC.

CITIGROUP INC. is a Bank Holding Company and controls the firm. Business Address: 153 EAST 53RD STREET NEW YORK, NY 10043 Effective Date: 10/08/1998 Description: CITICORP SECURITIES SERVICES INC. IS A WHOLLY-OWNED DIRECT SUBSIDIARY OF CITIGROUP FINANCIAL PRODUCTS INC. ("CFPI"), A ©2021 FINRA. All rights reserved. Report aboutWHOLLY-OWNED CITICORP SECURITIES DIRECT SERVICES, SUBSIDIARY INC. OF CITIGROUP GLOBAL MARKETS 36 HOLDINGS INC. ("CGMHI"). CGMHI IS A WHOLLY-OWNED DIRECT SUBSIDIARY OF CITIGROUP INC. www.finra.org/brokercheck User Guidance Firm Operations

Organization Affiliates (continued) Description: CITICORP SECURITIES SERVICES INC. IS A WHOLLY-OWNED DIRECT SUBSIDIARY OF CITIGROUP FINANCIAL PRODUCTS INC. ("CFPI"), A WHOLLY-OWNED DIRECT SUBSIDIARY OF CITIGROUP GLOBAL MARKETS HOLDINGS INC. ("CGMHI"). CGMHI IS A WHOLLY-OWNED DIRECT SUBSIDIARY OF CITIGROUP INC.

All firms registered to sell securities or provide investment advice are required to disclose regulatory actions, criminal or civil judicial proceedings, and certain financial matters in which the firm or one of its control affiliates has been involved. For your convenience, below is a matrix of the number and status of disclosure events involving this brokerage firm or one of its control affiliates. Further information regarding these events can be found in the subsequent pages of this report. Pending Final On Appeal Regulatory Event 0 2 0

Disclosure Event Details What you should know about reported disclosure events:

1. BrokerCheck provides details for any disclosure event that was reported in CRD. It also includes summary information regarding FINRA arbitration awards in cases where the brokerage firm was named as a respondent. 2. Certain thresholds must be met before an event is reported to CRD, for example: o A law enforcement agency must file formal charges before a brokerage firm is required to disclose a particular criminal event. 3. Disclosure events in BrokerCheck reports come from different sources: o Disclosure events for this brokerage firm were reported by the firm and/or regulators. When the firm and a regulator report information for the same event, both versions of the event will appear in the BrokerCheck report. The different versions will be separated by a solid line with the reporting source labeled. 4. There are different statuses and dispositions for disclosure events: o A disclosure event may have a status of pending, on appeal, or final. § A "pending" event involves allegations that have not been proven or formally adjudicated. § An event that is "on appeal" involves allegations that have been adjudicated but are currently being appealed. § A "final" event has been concluded and its resolution is not subject to change. o A final event generally has a disposition of adjudicated, settled or otherwise resolved. § An "adjudicated" matter includes a disposition by (1) a court of law in a criminal or civil matter, or (2) an administrative panel in an action brought by a regulator that is contested by the party charged with some alleged wrongdoing. § A "settled" matter generally involves an agreement by the parties to resolve the matter. Please note that firms may choose to settle customer disputes or regulatory matters for business or other reasons. § A "resolved" matter usually involves no payment to the customer and no finding of wrongdoing on the part of the individual broker. Such matters generally involve customer disputes. 5. You may wish to contact the brokerage firm to obtain further information regarding any of the disclosure events contained in this BrokerCheck report. Regulatory - Final This type of disclosure event involves (1) a final, formal proceeding initiated by a regulatory authority (e.g., a state securities agency, self-regulatory organization, federal regulator such as the U.S. Securities and Exchange Commission, foreign financial regulatory body) for a violation of investment-related rules or regulations; or (2) a revocation or suspension of the authority of a brokerage firm or its control affiliate to act as an attorney, accountant or federal contractor. Disclosure 1 of 2 Reporting Source: Regulator Current Status: Final Allegations: RECORDS OF THE CRD REFLECT THAT AS OF 12/25/99, RESPONDENT HAD ©2021 FINRA. All rights reserved. Report aboutNO AGENTCITICORP REGISTERED SECURITIES SERVICES, IN MARYLAND INC. IN VIOLATION OF THE MD. 39 SECURITIES ACT. www.finra.org/brokercheck User Guidance

Allegations: RECORDS OF THE CRD REFLECT THAT AS OF 12/25/99, RESPONDENT HAD NO AGENT REGISTERED IN MARYLAND IN VIOLATION OF THE MD. SECURITIES ACT. Initiated By: MARYLAND DIVISION OF SECURITIES Date Initiated: 03/02/2000 Docket/Case Number: 2000-0047 URL for Regulatory Action: Principal Product Type: No Product Other Product Type(s): Principal Sanction(s)/Relief Revocation Sought: Other Sanction(s)/Relief Sought:

Resolution: Order Resolution Date: 03/02/2000 Sanctions Ordered: Revocation/Expulsion/Denial Other Sanctions Ordered: Sanction Details: ON 1/5/00, THE SECURITIES COMMISSIONER ISSUED AN ORDER TO SHOW CAUSE AND SUMMARY SUSPENSION AGAINST RESPONDENT FOR FAILURE TO MAINTAIN A REGISTERED AGENT IN MD. NO RESPONSE WAS RECEIVED FROM THE ORDERS AND THE BROKER-DEALER REGISTRATION IS REVOKED. i Reporting Source: Firm Current Status: Final Allegations: FAILURE TO HAVE AGENT REGISTERED IN THE STATE OF MARYLAND Initiated By: STATE OF MARYLAND DIVISION OF SECURITIES Date Initiated: 01/06/2000 Docket/Case Number: FILE NO. 2000-0047

Principal Product Type: Other Other Product Type(s): SECURITIES BORROWING AND LENDING Principal Sanction(s)/Relief Suspension Sought: ©2021 FINRA. All rights reserved. Report about CITICORP SECURITIES SERVICES, INC. 40 www.finra.org/brokercheck User Guidance

Principal Sanction(s)/Relief Suspension Sought: Other Sanction(s)/Relief Sought:

Resolution: Order Resolution Date: 05/09/2000 Sanctions Ordered: Monetary/Fine $1,500.00 Revocation/Expulsion/Denial Other Sanctions Ordered: Sanction Details: VACATED UPON SUBMISSION OF FORM OF UNDERTAKING AND $1,500.00 ADMINISTRATIVE FEE. Firm Statement CITICORP SECURITIES SERVICES INC. ("CSSI") PROVIDED UNDERTAKING THAT NO TRANSACTIONS HAVE BEEN EFFECTED IN MARYLAND OR WITH MARYLAND RESIDENTS SINCE IT HAD NO AGENTS REGISTERED IN THE STATE. CSSI AGREED TO COMPLY WITH THE MARYLAND SECURITIES ACT AND TO REFRAIN FROM TRANSACTING BUSINESS AS A BROKER-DEALER UNTIL SUCH TIME AS AN AGENT IS DULY REGISTERED WITH THE MARYLAND DIVISION OF SECURITIES. i Disclosure 2 of 2 Reporting Source: Regulator Current Status: Final Allegations: SURETY BOND LAPSE VIOLATION OF 9 VSA SECTION 4216 Initiated By: VERMONT SECURITIES DIVISION Date Initiated: 11/01/1994 Docket/Case Number: 94-072-S URL for Regulatory Action: Principal Product Type: Other Product Type(s): Principal Sanction(s)/Relief Sought: Other Sanction(s)/Relief Sought:

Resolution: Consent Resolution Date: 11/01/1994 Sanctions Ordered: Monetary/Fine $250.00 Other Sanctions Ordered: Sanction Details: RESPONDENT ENTERED INTO A CONSENT ORDER WHEREIN IT NEITHER ADMITTED NOR DENIED THE DIVISION'S ALLEGATIONS. RESPONDENT AGREED TO TENDER A $250 ADMINISTRATIVE PENALTY AND $250 IN COSTS. THE COMMISSIONER AGREED THAT THE ORDER WOULD NOT TRIGGER STATUTORY DISQUALIFICATIONS Regulator Statement CONTACT: SECURITIES DIVISION 802-828-3420 i Reporting Source: Firm Current Status: Final Allegations: ALLEGATION THAT PREDECESSOR FIRM NEWBRIDGE SECURITIES INC. FAILED TO MAINTAIN A CONTINUOUS SURETY BOND FOR THE USE AND BENEFIT OF THE STATE OF VERMONT AND ITS RESIDENTS IN VIOLATION OF 9 V.S.A. SECTION 4216 OF THE SECURITIES ACT. Initiated By: STATE OF VERMONT DEPARTMENT OF BANKING, INSURANCE & SECURITIES Date Initiated: 10/20/1994 Docket/Case Number: DOCKET NO. 94-072-S

Principal Product Type: No Product Other Product Type(s): Principal Sanction(s)/Relief Civil and Administrative Penalt(ies) /Fine(s) Sought: Other Sanction(s)/Relief Sought:

Resolution: Order Resolution Date: 10/20/1994 Sanctions Ordered: Monetary/Fine $500.00 Other Sanctions Ordered: Sanction Details: ADMINISTRATIVE PENALTY OF $250.00 PLUS SUM OF $250.00 TO DEFRAY ADMINISTRATIVE COSTS INCURRED DUE TO THE INVESTIGATION WAS ©2021 FINRA. All rights reserved. Report aboutPAID CITICORP BY PREDECESSOR SECURITIES SERVICES, FIRM ON INC. OR AQBOUT 10/20/1994. 42 www.finra.org/brokercheck User Guidance

Sanction Details: ADMINISTRATIVE PENALTY OF $250.00 PLUS SUM OF $250.00 TO DEFRAY ADMINISTRATIVE COSTS INCURRED DUE TO THE INVESTIGATION WAS PAID BY PREDECESSOR FIRM ON OR AQBOUT 10/20/1994. Firm Statement WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, PREDECESSOR FIRM NEWBRIDGE SECURITIES INC. AGREED TO ENTER INTO THE CONSENT ORDER IN FULL SETTLEMENT, SATISFACTION AND DISCHARGE OF THIS MATTER.

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