# EDGAR Filing Document

**Accession Number:** 0001261467
**File Stem:** 0001261467-23-000004
**Filing Date:** 2023-2
**Character Count:** 55910
**Document Hash:** 8edcc211316209f7ac26b143ea3aef83
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001261467-23-000004.hdr.sgml**: 20230215

**ACCESSION NUMBER**: 0001261467-23-000004

**CONFORMED SUBMISSION TYPE**: MA/A

**PUBLIC DOCUMENT COUNT**: 1

**FILED AS OF DATE**: 20230208

**DATE AS OF CHANGE**: 20230215

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** SG AMERICAS SECURITIES, LLC
- **CENTRAL INDEX KEY:** 0001261467
- **IRS NUMBER:** 300195590
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** MA/A
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 867-00824
- **FILM NUMBER:** 23634026

**BUSINESS ADDRESS:**
- **STREET 1:** 245 PARK AVENUE
- **CITY:** NEW YORK
- **STATE:** NY
- **ZIP:** 10167
- **BUSINESS PHONE:** 212-278-5004

**MAIL ADDRESS:**
- **STREET 1:** 245 PARK AVENUE
- **CITY:** NEW YORK
- **STATE:** NY
- **ZIP:** 10167

### UNITED STATES SECURITIES AND EXCHANGE COMMISSION
**Washington, D.C. 20549**

## FORM MA: UNIFORM APPLICATION FOR MUNICIPAL ADVISOR REGISTRATION

### Filer and Contact Information

**Filer CIK:** 0001261467

**Filer CCC:** XXXXXXXX

**Contact Name:** Rose Keenan

**Contact Phone:** 212-278-7254

**Contact Email:** rose.keenan@sgcib.com

**Notification Emails:** esteban.umana@sgcib.com, rose.keenan@sgcib.com

### Type of Filing

**Selected Filing Type:** Amendment

### Item 1: Identifying Information

**A. Full Legal Name of the Firm:** SG AMERICAS SECURITIES, LLC

**&nbsp;&nbsp;&nbsp;Organization CRD No.:** 128351

**&nbsp;&nbsp;&nbsp;Is applicant a Sole Proprietor?:** No

**&nbsp;&nbsp;&nbsp;Has the municipal legal name changed since the last filing?:** No

**&nbsp;&nbsp;&nbsp;Has the applicant had any previous DBA names?:** No

**&nbsp;&nbsp;&nbsp;Does the applicant have any additional DBA names?:** No

**C. IRS Employer Identification Number:** 52-1128875

**D. Registrations:**

- **Municipal Advisor (Temporary):** SEC File No: 866-00197-00

- **Municipal Advisor:** SEC File No: 867-00824

- **Broker-Dealer:** SEC File No: 008-66125, CRD No: 128351

**Additional Registrations:**

- **SG Americas Securities, LLC:** Registered in all 50 states, the District of Columbia and Puerto Rico

**E. Principal Office and Place of Business:** 245 PARK AVENUE, NEW YORK, NY, 10167

**Telephone Number:** 212-278-5004

**Mailing Address is Different from Principal Office:** No

**F. Website:** www.sgcib.com

**G. Chief Compliance Officer (CCO):**

**Name:** James Michael Hubbert

**Titles:** Managing Director, Deputy Director of Compliance

**Address:** 245 Park Avenue, New York, NY, 10167

**Phone Number:** 212-278-5004

**Email:** james.hubbert@sgcib.com

**H. Business Affiliates:**

- **Name:** SG Americas Securities Holdings LLC

- **Name:** Societe Generale S.A.

  - **Issuing Agency:** Registry of Commerce and Companies

  - **Jurisdiction:** I0

**I. Location of Books and Records:** No

### Item 2: Form of Organization

**A. Applicant's form of organization:** Limited Liability Company (LLC)

**B. Month of Applicant's Annual Fiscal Year End:** December

**C. State, Other U.S. Jurisdiction, or Foreign Jurisdiction Under Which Applicant is Organized:** DE

**D. Date of Organization:** 08-08-2003

**E. Is the applicant a public reporting company?:** No

### Item 3: Successions

**Is the applicant succeeding to the business of a registered municipal advisor?** No

### Item 4: Information About Applicant's Business

**A. Number of Employees:** 702

**B. Municipal Advisory Activities - Employees:** 8

**C. Registered Representatives - MAA Employees also registered reps of a broker-dealer:** 8

**&nbsp;&nbsp;&nbsp;MAA Employees also associated with an investment adviser:** 0

**D. Public Relations Company?:** No

**E. Soliciting on Behalf of an Affiliate - Number of firms:** 0

**F. Types of Clients - Number of clients served as municipal advisor:** 10

**&nbsp;&nbsp;&nbsp;Types of Clients:** Corporations or other businesses

**G. Solicitation of Municipal Entities and Obligated Persons - Municipal Entities:** 0

**&nbsp;&nbsp;&nbsp;Obligated Persons:** 0

**&nbsp;&nbsp;&nbsp;Total Solicited:** 0

**H. Types of Persons Solicited:** 
Not Applicable
, Not Applicable

**I. Compensation Arrangements (Municipal Advisory):** 
Fixed Fees
Contingent Fees
, Fixed Fees, Contingent Fees

**J. Compensation Arrangements (Solicitation):** 
Not Applicable
, Not Applicable

**K. Does the applicant receive compensation in the context of its municipal advisory business from other than its municipal entity or obligated person clients?:** No

**L. Applicant Business Relating to Municipal Securities:** Advice Insurance Of MS

### Item 5: Other Business Activities

- **Broker-Dealer:** Actively Engaged: Yes, Primary Business: Yes

**Is applicant engaged in any other non-municipal advisor business?** Yes

### Item 6: Financial Industry and Other Activities of Associated Persons

**Types of associated persons:** 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, 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, Other municipal advisor, Other municipal advisor, Other municipal advisor, Other municipal advisor, Other municipal advisor, Other municipal advisor, Broker-dealer municipal securities dealer or government securities broker or dealer, Swap Dealer, Futures commission merchant, Investment Company, Investment Company, Investment Company, Broker-dealer municipal securities dealer or government securities broker or dealer, Swap Dealer, Investment Company, Investment Company, 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, Investment Adviser, Commodity trading advisor, Banking/Thrift institution, Investment Company, Broker-dealer municipal securities dealer or government securities broker or dealer, Futures commission merchant, Broker-dealer municipal securities dealer or government securities broker or dealer, Investment Adviser, Swap Dealer, Banking/Thrift institution, Broker-dealer municipal securities dealer or government securities broker or dealer, Investment Adviser, Swap Dealer, Banking/Thrift institution, Broker-dealer municipal securities dealer or government securities broker or dealer, Futures commission merchant, Investment Company, Broker-dealer municipal securities dealer or government securities broker or dealer, Investment Adviser, Swap Dealer, Banking/Thrift institution, Investment Company, Investment Company, Broker-dealer municipal securities dealer or government securities broker or dealer, Futures commission merchant, Broker-dealer municipal securities dealer or government securities broker or dealer, Investment Adviser, Banking/Thrift institution, Broker-dealer municipal securities dealer or government securities broker or dealer, Futures commission merchant, Investment Company, Sponsor or syndicator of limited partnerships, Broker-dealer municipal securities dealer or government securities broker or dealer, Investment Company, Investment Adviser, Broker-dealer municipal securities dealer or government securities broker or dealer, Futures commission merchant, Broker-dealer municipal securities dealer or government securities broker or dealer, Futures commission merchant, Broker-dealer municipal securities dealer or government securities broker or dealer, Swap Dealer, Banking/Thrift institution, Investment Company, Investment Company, Investment Company, Broker-dealer municipal securities dealer or government securities broker or dealer, Swap Dealer, Security-based swap dealer, Investment Company, Investment Company, Investment Company, Investment Company, Broker-dealer municipal securities dealer or government securities broker or dealer, Investment Company, Investment Company, Broker-dealer municipal securities dealer or government securities broker or dealer, Futures commission merchant, Broker-dealer municipal securities dealer or government securities broker or dealer, Investment Company, Broker-dealer municipal securities dealer or government securities broker or dealer, Banking/Thrift institution, Broker-dealer municipal securities dealer or government securities broker or dealer, Investment Company, Broker-dealer municipal securities dealer or government securities broker or dealer, Swap Dealer, Banking/Thrift institution, Broker-dealer municipal securities dealer or government securities broker or dealer, Broker-dealer municipal securities dealer or government securities broker or dealer, Swap Dealer, Futures commission merchant, Banking/Thrift institution, Swap Dealer, Banking/Thrift institution, Insurance company or agency, Banking/Thrift institution, Banking/Thrift institution, Banking/Thrift institution, Banking/Thrift institution, Banking/Thrift institution, Real estate broker or dealer, Trust Company, Insurance company or agency, Banking/Thrift institution, Banking/Thrift institution, Swap Dealer, Insurance company or agency, Banking/Thrift institution, Insurance company or agency, Banking/Thrift institution, Insurance company or agency, Swap Dealer, Banking/Thrift institution, Banking/Thrift institution, Banking/Thrift institution, Banking/Thrift institution, Insurance company or agency, Banking/Thrift institution, Banking/Thrift institution, Insurance company or agency, Insurance company or agency, Trust Company, Trust Company, Insurance company or agency, Other municipal advisor, Banking/Thrift institution, Banking/Thrift institution, Trust Company, Trust Company, Banking/Thrift institution, Banking/Thrift institution, Insurance company or agency, Banking/Thrift institution, Banking/Thrift institution, Swap Dealer, Banking/Thrift institution, Banking/Thrift institution, Swap Dealer, Banking/Thrift institution, Real estate broker or dealer, Trust Company, Banking/Thrift institution, Insurance company or agency, Banking/Thrift institution, Insurance company or agency, Real estate broker or dealer, Pension consultant, Real estate broker or dealer, Insurance company or agency, Other municipal advisor, Insurance company or agency, Banking/Thrift institution, Insurance company or agency, Trust Company, Trust Company, Insurance company or agency, Banking/Thrift institution, Insurance company or agency, Insurance company or agency, Banking/Thrift institution, Banking/Thrift institution, Banking/Thrift institution, Insurance company or agency, Banking/Thrift institution, Banking/Thrift institution, Real estate broker or dealer, Trust Company, Sponsor or syndicator of limited partnerships, Trust Company, Banking/Thrift institution, Banking/Thrift institution, Banking/Thrift institution, Futures commission merchant, Real estate broker or dealer, Banking/Thrift institution, Banking/Thrift institution, Banking/Thrift institution, Banking/Thrift institution, Banking/Thrift institution

**Total Associated Persons:** 138

### Item 7: Participation or Interest in Client Transactions

- **Buy or sell municipal securities from or to municipal advisory clients for the firm's own account?:** No

- **Buy or sell municipal securities from or to third-parties on behalf of clients?:** No

- **Enter into derivatives transactions with clients for the firm's own account?:** No

- **Recommend to clients to buy/sell securities in which the firm has a financial interest?:** No

- **Recommend to clients products/services of an affiliated person?:** No

- **Recommend to clients securities of an issuer with which the firm has other relationships?:** No

- **Have discretionary authority to buy/sell municipal securities for clients?:** No

- **Have discretionary authority to buy/sell any other securities or investments for clients?:** No

- **Have discretionary authority to determine the broker-dealer to be used for client transactions?:** No

- **Have discretionary authority to determine the commission paid to a broker-dealer?:** No

- **Recommend broker-dealers to clients?:** Yes

- **&nbsp;&nbsp;&nbsp;If yes, are any of these broker-dealers an associated person of the applicant?:** No

- **Compensate any person for client referrals?:** No

- **Receive compensation from any person for client referrals?:** No

### Item 8: Owners, Officers, and Other Control Persons

**A. (2) Does any person not named in Item 1-A or Schedules A, B, or C, directly or indirectly, control the applicant's management or policies?** Yes

**B. (1) Is any person in Schedule A, B, or C, or in Section 8-A of Schedule D a public reporting company?** No

### Item 9: Disclosure Information

**Criminal Disclosure:**

- **Applicant/Advisory Affiliate Convicted/Pled Guilty to Felony?:** No

- **Applicant/Advisory Affiliate Charged with Felony?:** Yes

- **Organization Convicted/Pled Guilty to Felony?:** Yes

- **Organization Charged with Felony?:** Yes

**Regulatory Disclosure:**

- **SEC/CFTC Found False Statement?:** No

- **SEC/CFTC Found Violation?:** Yes

- **SEC/CFTC Found Cause of Denial/Suspension?:** No

- **SEC/CFTC Entered Order?:** Yes

- **SEC/CFTC Imposed Civil Penalty?:** Yes

- **SRO Found Unethical Conduct?:** No

- **SRO Found Violation?:** Yes

- **SRO Found Cause of Denial/Suspension?:** No

- **SRO Barred/Suspended/Fined > $2,500?:** No

- **SRO Denied/Suspended/Revoked Registration?:** No

- **Foreign Authority Found False Statement?:** No

- **Foreign Authority Found Violation?:** Yes

- **Foreign Authority Found Cause of Suspension?:** No

- **Foreign Authority Disciplined?:** Yes

- **Authorization to Act as Attorney/Accountant Revoked?:** No

- **Subject of a Regulatory Complaint?:** Yes

**Civil Disclosure:**

- **Enjoined in Connection with Municipal Advisory Activity?:** No

- **Found to Have Violated Regulations?:** No

- **Civil Proceeding Dismissed Pursuant to Settlement?:** No

- **Named in Civil Proceeding Alleging Violation?:** No

### Item 10: Small Businesses

**Does the applicant have annual receipts of less than $7,000,000?** No

**Is the applicant affiliated with a person that has annual receipts of more than $7,000,000?** Yes

### Schedule A: Direct Owners and Executive Officers

| Name                                 | Title/Status                                    | Date Acquired   | Ownership Code    | Control Person?   | IRS Number   | CRD Number   |
|:---|:---|:---|:---|:---|:---|:---|
| SG Americas Securities Holdings, LLC | Direct Owner                                    | 04-01-2014      | E - 75% or more   | No                | 06-1703332   |  |
| James Michael Hubbert                | Managing Director/Deputy Director of Compliance | 11-01-2013      | NA - less than 5% | No                |  | 3066659      |
| Michael Patrick Walsh                | Head of Operations                              | 02-01-2007      | NA - less than 5% | Yes               |  | 1060871      |
| Gregory W Zielinski                  | COO                                             | 05-01-2017      | NA - less than 5% | Yes               |  | 2384242      |
| EDWARD PATRICK CULLEN                | CHIEF FINANCIAL OFFICER -FINOP                  | 01-01-2015      | NA - less than 5% | No                |  | 1551615      |
| HATEM NMN MUSTAPHA                   | Co - Chief Executive Officer                    | 07-01-2019      | NA - less than 5% | Yes               |  | 6487941      |
| Guido Maria Van Hauwermeiren         | Co - Chief Executive Officer                    | 02-16-2021      | NA - less than 5% | Yes               |  | 5974025      |

### Schedule B: Indirect Owners

| Owning Entity                        | Name             | Title/Status   | Date Acquired   | Ownership Code   | Control Person?   | IRS Number   |
|:---|:---|:---|:---|:---|:---|:---|
| SG Americas Securities Holdings, LLC | Societe Generale | Parent         | 12-01-2008      | E - 75% or more  | Yes               | 52-1128875   |

### Schedule C: Amendments to Schedules A and B

| Type   | Ownership   | Owning Entity                        | Name                                 | Title/Status                                    | Date Acquired   | Ownership Code    | Control Person?   | IRS Number   | CRD Number   |
|:---|:---|:---|:---|:---|:---|:---|:---|:---|:---|
|  | Direct      |  | SG Americas Securities Holdings, LLC | Direct Owner                                    | 04-01-2014      | E - 75% or more   | No                | 06-1703332   |  |
|  | Indirect    | SG Americas Securities Holdings, LLC | Societe Generale                     | Parent                                          | 12-01-2008      | E - 75% or more   | Yes               | 52-1128875   |  |
|  | Direct      |  | James Michael Hubbert                | Managing Director/Deputy Director of Compliance | 11-01-2013      | NA - less than 5% | No                |  | 3066659      |
|  | Direct      |  | Michael Patrick Walsh                | Head of Operations                              | 02-01-2007      | NA - less than 5% | Yes               |  | 1060871      |
|  | Direct      |  | Gregory W Zielinski                  | COO                                             | 05-01-2017      | NA - less than 5% | Yes               |  | 2384242      |
|  | Direct      |  | EDWARD PATRICK CULLEN                | CHIEF FINANCIAL OFFICER -FINOP                  | 01-01-2015      | NA - less than 5% | No                |  | 1551615      |
|  | Direct      |  | HATEM NMN MUSTAPHA                   | Co - Chief Executive Officer                    | 07-01-2019      | NA - less than 5% | Yes               |  | 6487941      |
|  | Direct      |  | Guido Maria Van Hauwermeiren         | Co - Chief Executive Officer                    | 02-16-2021      | NA - less than 5% | Yes               |  | 5974025      |

### Disclosure Reporting Pages (DRPs)

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for SG Americas Securities, LLC

- **CRD Number:** 128351

- **Disclosure Number:** 1333127

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for SG Americas Securities, LLC

- **CRD Number:** 128351

- **Disclosure Number:** 1278728

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for SG Americas Securities, LLC

- **CRD Number:** 128351

- **Disclosure Number:** 1334732

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for SG Americas Securities, LLC

- **CRD Number:** 128351

- **Disclosure Number:** 1347073

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for SG Americas Securities, LLC

- **CRD Number:** 128351

- **Disclosure Number:** 1352159

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for SG Americas Securities, LLC

- **CRD Number:** 128351

- **Disclosure Number:** 1354624

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for SG Americas Securities, LLC

- **CRD Number:** 128351

- **Disclosure Number:** 1394307

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for SG Americas Securities, LLC

- **CRD Number:** 128351

- **Disclosure Number:** 1394322

**Regulatory DRP for: Applicant (Responding to Questions: 9-C2, 9-C5)**

- **Filed On (Applicant):** Form ADV/BD/U4 for SG Americas Securities, LLC

- **CRD Number:** 128351

- **Disclosure Number:** 1442833

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for SG Americas Securities, LLC

- **CRD Number:** 128351

- **Disclosure Number:** 1471470

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for SG Americas Securities, LLC

- **CRD Number:** 128351

- **Disclosure Number:** 1477525

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for SG AMericas Securities, LLC

- **CRD Number:** 128351

- **Disclosure Number:** 1533075

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for SG Americas Securities, LLC

- **CRD Number:** 128351

- **Disclosure Number:** 1536945

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for SG Americas Securities, LLC

- **CRD Number:** 128351

- **Disclosure Number:** 1562858

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for SG Americas Securities, LLC

- **CRD Number:** 128351

- **Disclosure Number:** 1580724

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for SG Americas Securities, LLC

- **CRD Number:** 128351

- **Disclosure Number:** 1594164

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for SG Americas Securities, LLC

- **CRD Number:** 128351

- **Disclosure Number:** 1594234

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for SG Americas Securities, LLC

- **CRD Number:** 128351

- **Disclosure Number:** 1631258

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for SG Americas Securities, LLC

- **CRD Number:** 128351

- **Disclosure Number:** 1667735

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for SG Americas Securities, LLC

- **CRD Number:** 128351

- **Disclosure Number:** 1674970

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for SG Americas Securities, LLC

- **CRD Number:** 128351

- **Disclosure Number:** 1677273

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for SG Americas Securities, LLC

- **CRD Number:** 128351

- **Disclosure Number:** 1679211

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for SG Americas Securities, LLC

- **CRD Number:** 128351

- **Disclosure Number:** 1680499

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for SG Americas Securities, LLC

- **CRD Number:** 128351

- **Disclosure Number:** 1688186

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for SG Americas Securities, LLC

- **CRD Number:** 128351

- **Disclosure Number:** 1714360

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2)**

  - **Associated Person:** —

  - **CRD Number:** 128351

  - **Filed On (AP):** Form ADV/BD/U4 for Societe Generale S.A.

  - **Disclosure Number:** 1432649

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2)**

  - **Associated Person:** —

  - **CRD Number:** 128351

  - **Filed On (AP):** Form ADV/BD/U4 for Societe Generale S.A.

  - **Disclosure Number:** 1528875

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-G)**

  - **Associated Person:** —

  - **CRD Number:** 128351

  - **Filed On (AP):** Form ADV/BD/U4 for Societe Generale S.A.

  - **Disclosure Number:** 1532471

  - **Associated Person:** —

  - **CRD Number:** 128351

  - **Filed On (AP):** Form ADV/BD/U4 for Le Credit du Nord

  - **Disclosure Number:** 1532471

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2)**

  - **Associated Person:** —

  - **CRD Number:** 128351

  - **Filed On (AP):** Form ADV/BD/U4 for Societe Generale

  - **Disclosure Number:** 1581091

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2)**

  - **Associated Person:** —

  - **CRD Number:** 128351

  - **Filed On (AP):** Form ADV/BD/U4 for SG Asset Management

  - **Disclosure Number:** 1599700

  - **Associated Person:** —

  - **CRD Number:** 128351

  - **Filed On (AP):** Form ADV/BD/U4 for SG Asset Management Alternative Investments

  - **Disclosure Number:** 1599700

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2)**

  - **Associated Person:** —

  - **CRD Number:** 128351

  - **Filed On (AP):** Form ADV/BD/U4 for Societe Generale

  - **Disclosure Number:** 1620138

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2)**

  - **Associated Person:** —

  - **CRD Number:** 128351

  - **Filed On (AP):** Form ADV/BD/U4 for Societe Generale Private Banking Japan Ltd.

  - **Disclosure Number:** 1634670

**Regulatory DRP for: Applicant (Responding to Questions: 9-C2, 9-C5, 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 7616

  - **Filed On (AP):** Form ADV/BD/U4 for SG Cowen Securities Corporation

  - **Disclosure Number:** 1154574

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 7616

  - **Filed On (AP):** Form ADV/BD/U4 for SG Cowen Securities Corporation

  - **Disclosure Number:** 1176507

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 36118

  - **Filed On (AP):** Form ADV/BD/U4 for Newedge USA, LLC

  - **Disclosure Number:** 1711800

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 36118

  - **Filed On (AP):** Form ADV/BD/U4 for Newedge USA, LLC

  - **Disclosure Number:** 1711799

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 36118

  - **Filed On (AP):** Form ADV/BD/U4 for Newedge USA, LLC

  - **Disclosure Number:** 1680504

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 36118

  - **Filed On (AP):** Form ADV/BD/U4 for Newedge USA, LLC

  - **Disclosure Number:** 1680503

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 36118

  - **Filed On (AP):** Form ADV/BD/U4 for Newedge USA, LLC

  - **Disclosure Number:** 1668344

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2, 9-E4)**

  - **Associated Person:** —

  - **CRD Number:** 36118

  - **Filed On (AP):** Form ADV/BD/U4 for Newedge USA, LLC

  - **Disclosure Number:** 1668343

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2, 9-E4)**

  - **Associated Person:** —

  - **CRD Number:** 36118

  - **Filed On (AP):** Form ADV/BD/U4 for Newedge USA, LLC

  - **Disclosure Number:** 1668342

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2, 9-E4)**

  - **Associated Person:** —

  - **CRD Number:** 36118

  - **Filed On (AP):** Form ADV/BD/U4 for Newedge USA, LLC

  - **Disclosure Number:** 1668341

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2, 9-E4)**

  - **Associated Person:** —

  - **CRD Number:** 36118

  - **Filed On (AP):** Form ADV/BD/U4 for Newedge USA, LLC

  - **Disclosure Number:** 1668339

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2, 9-E4)**

  - **Associated Person:** —

  - **CRD Number:** 36118

  - **Filed On (AP):** Form ADV/BD/U4 for Newedge USA, LLC

  - **Disclosure Number:** 1668338

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2, 9-E4)**

  - **Associated Person:** —

  - **CRD Number:** 36118

  - **Filed On (AP):** Form ADV/BD/U4 for Newedge USA, LLC

  - **Disclosure Number:** 1668337

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2, 9-E4)**

  - **Associated Person:** —

  - **CRD Number:** 36118

  - **Filed On (AP):** Form ADV/BD/U4 for Newedge USA, LLC

  - **Disclosure Number:** 1668336

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2, 9-E4)**

  - **Associated Person:** —

  - **CRD Number:** 36118

  - **Filed On (AP):** Form ADV/BD/U4 for Newedge USA, LLC

  - **Disclosure Number:** 1668330

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 36118

  - **Filed On (AP):** Form ADV/BD/U4 for Newedge USA, LLC

  - **Disclosure Number:** 1668329

**Regulatory DRP for: Applicant (Responding to Questions: 9-C2)**

  - **Associated Person:** —

  - **CRD Number:** 36118

  - **Filed On (AP):** Form ADV/BD/U4 for Newedge USA, LLC

  - **Disclosure Number:** 1594930

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 36118

  - **Filed On (AP):** Form ADV/BD/U4 for Newedge USA, LLC

  - **Disclosure Number:** 1594549

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 36118

  - **Filed On (AP):** Form ADV/BD/U4 for Newedge USA, LLC

  - **Disclosure Number:** 1589190

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 36118

  - **Filed On (AP):** Form ADV/BD/U4 for Newedge USA, LLC

  - **Disclosure Number:** 1589189

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 36118

  - **Filed On (AP):** Form ADV/BD/U4 for Newedge USA, LLC

  - **Disclosure Number:** 1575332

**Regulatory DRP for: Applicant (Responding to Questions: 9-C2, 9-C5)**

  - **Associated Person:** —

  - **CRD Number:** 36118

  - **Filed On (AP):** Form ADV/BD/U4 for Newedge USA, LLC

  - **Disclosure Number:** 1575331

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 36118

  - **Filed On (AP):** Form ADV/BD/U4 for Newedge USA, LLC

  - **Disclosure Number:** 1575330

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 36118

  - **Filed On (AP):** Form ADV/BD/U4 for Newedge USA, LLC

  - **Disclosure Number:** 1575329

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 36118

  - **Filed On (AP):** Form ADV/BD/U4 for Newedge USA, LLC

  - **Disclosure Number:** 1575328

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 36118

  - **Filed On (AP):** Form ADV/BD/U4 for Newedge USA, LLC

  - **Disclosure Number:** 1668335

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 7616

  - **Filed On (AP):** Form ADV/BD/U4 for SG Cowen Securities Corporation

  - **Disclosure Number:** 1176508

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2)**

  - **Associated Person:** —

  - **CRD Number:** 7616

  - **Filed On (AP):** Form ADV/BD/U4 for SG Cowen Securities Corporation

  - **Disclosure Number:** 1176509

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2)**

  - **Associated Person:** —

  - **CRD Number:** 7616

  - **Filed On (AP):** Form ADV/BD/U4 for SG Cowen Securities Corporation

  - **Disclosure Number:** 1176510

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2)**

  - **Associated Person:** —

  - **CRD Number:** 7616

  - **Filed On (AP):** Form ADV/BD/U4 for SG Cowen Securities Corporation

  - **Disclosure Number:** 1176511

**Regulatory DRP for: Applicant (Responding to Questions: 9-C2, 9-C5)**

  - **Associated Person:** —

  - **CRD Number:** 7616

  - **Filed On (AP):** Form ADV/BD/U4 for SG Cowen Securities Corporation

  - **Disclosure Number:** 1185456

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 7616

  - **Filed On (AP):** Form ADV/BD/U4 for SG Cowen Securities Corporation

  - **Disclosure Number:** 1185758

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 7616

  - **Filed On (AP):** Form ADV/BD/U4 for SG Cowen & Co, LLC

  - **Disclosure Number:** 1222963

**Regulatory DRP for: Applicant (Responding to Questions: 9-C2, 9-C5)**

  - **Associated Person:** —

  - **CRD Number:** 7616

  - **Filed On (AP):** Form ADV/BD/U4 for SG Cowen & Co. LLC

  - **Disclosure Number:** 1222964

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for SG Americas Securities LLC

- **CRD Number:** 128351

- **Disclosure Number:** 1912452

**Regulatory DRP for: Applicant (Responding to Questions: 9-C2, 9-C4, 9-C5)**

- **Filed On (Applicant):** Form ADV/BD/U4 for SG Americas Securities LLC

- **CRD Number:** 128351

- **Disclosure Number:** 1902133

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for SG Americas Securities LLC

- **CRD Number:** 128351

- **Disclosure Number:** 1904741

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for SG Americas Securities LLC

- **CRD Number:** 128351

- **Disclosure Number:** 1898563

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for SG Americas Securities LLC

- **CRD Number:** 128351

- **Disclosure Number:** 1898759

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for SG Americas Securities LLC

- **CRD Number:** 128351

- **Disclosure Number:** 1896909

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for SG Americas Securities LLC

- **CRD Number:** 128351

- **Disclosure Number:** 1892641

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for SG Americas Securities LLC

- **CRD Number:** 128351

- **Disclosure Number:** 1892345

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for SG Americas Securities LLC

- **CRD Number:** 128351

- **Disclosure Number:** 1886259

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 128351

  - **Filed On (AP):** Form ADV/BD/U4 for SG Americas Securities LLC

  - **Disclosure Number:** 1884074

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for SG Americas Securities LLC

- **CRD Number:** 128351

- **Disclosure Number:** 1882577

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for SG Americas Securities LLC

- **CRD Number:** 128351

- **Disclosure Number:** 1875170

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for SG Americas Securities LLC

- **CRD Number:** 128351

- **Disclosure Number:** 1867759

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for SG Americas Securities LLC

- **CRD Number:** 128351

- **Disclosure Number:** 1855125

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for SG Americas Securities LLC

- **CRD Number:** 128351

- **Disclosure Number:** 1859583

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for SG Americas Securities LLC

- **CRD Number:** 128351

- **Disclosure Number:** 1855125

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 128351

  - **Filed On (AP):** Form ADV/BD/U4 for SG Americas Securities, LLC

  - **Disclosure Number:** 1987773

**Regulatory DRP for: Applicant (Responding to Questions: 9-C2, 9-C4, 9-C5)**

  - **Associated Person:** —

  - **CRD Number:** 128351

  - **Filed On (AP):** Form ADV/BD/U4 for SG Americas Securities, LLC

  - **Disclosure Number:** 1984102

**Regulatory DRP for: Applicant (Responding to Questions: 9-C2, 9-C4)**

  - **Associated Person:** —

  - **CRD Number:** 128351

  - **Filed On (AP):** Form ADV/BD/U4 for SG Americas Securities, LLC

  - **Disclosure Number:** 1982219

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 128351

  - **Filed On (AP):** Form ADV/BD/U4 for SG Americas Securities, LLC

  - **Disclosure Number:** 1979359

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 128351

  - **Filed On (AP):** Form ADV/BD/U4 for Societe Generale

  - **Disclosure Number:** 1975818

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for SG Americas Securities LLC

- **CRD Number:** 128351

- **Disclosure Number:** 1975040

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for SG Americas Securities LLC

- **CRD Number:** 128351

- **Disclosure Number:** 1964743

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for SG Americas Securities LLC

- **CRD Number:** 128351

- **Disclosure Number:** 1958858

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for SG Americas Securities LLC

- **CRD Number:** 128351

- **Disclosure Number:** 1953805

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for SG Americas Securities LLC

- **CRD Number:** 128351

- **Disclosure Number:** 1951476

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for SG Americas Securities LLC

- **CRD Number:** 128351

- **Disclosure Number:** 1950546

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for SG Americas Securities LLC

- **CRD Number:** 128351

- **Disclosure Number:** 1947904

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for SG Americas Securities LLC

- **CRD Number:** 128351

- **Disclosure Number:** 1947785

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2)**

  - **Associated Person:** —

  - **CRD Number:** 128351

  - **Filed On (AP):** Form ADV/BD/U4 for SG Americas Securities LLC

  - **Disclosure Number:** 1944106

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 128351

  - **Filed On (AP):** Form ADV/BD/U4 for SG Americas Securities LLC

  - **Disclosure Number:** 1938141

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 128351

  - **Filed On (AP):** Form ADV/BD/U4 for SG Americas Securities LLC

  - **Disclosure Number:** 1934148

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for SG Americas Securities LLC

- **CRD Number:** 128351

- **Disclosure Number:** 1933759

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for SG Americas Securities LLC

- **CRD Number:** 128351

- **Disclosure Number:** 1932006

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for SG Americas Securities LLC

- **CRD Number:** 128351

- **Disclosure Number:** 1930963

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for SG Americas Securities LLC

- **CRD Number:** 128351

- **Disclosure Number:** 1924204

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 128351

  - **Filed On (AP):** Form ADV/BD/U4 for SG Americas Securities LLC

  - **Disclosure Number:** 1923238

**Regulatory DRP for: Applicant (Responding to Questions: 9-C2, 9-C5)**

  - **Associated Person:** —

  - **CRD Number:** 128351

  - **Filed On (AP):** Form ADV/BD/U4 for SG Americas Securities LLC

  - **Disclosure Number:** 1922959

**Regulatory DRP for: Applicant (Responding to Questions: 9-E3)**

- **Filed On (Applicant):** Form ADV/BD/U4 for SG Americas Securities LLC

- **CRD Number:** 128351

- **Disclosure Number:** 1884075

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for SG Americas Securities LLC

- **CRD Number:** 128351

- **Disclosure Number:** 1870413

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 128351

  - **Filed On (AP):** Form ADV/BD/U4 for SG Americas Securities LLC

  - **Disclosure Number:** 1867760

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for SG Americas Securities LLC

- **CRD Number:** 128351

- **Disclosure Number:** 1867141

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for SG Americas Securities LLC

- **CRD Number:** 128351

- **Disclosure Number:** 1862258

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for SG Americas Securities LLC

- **CRD Number:** 128351

- **Disclosure Number:** 1861093

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for SG Americas Securities LLC

- **CRD Number:** 128351

- **Disclosure Number:** 1861092

**Regulatory DRP for: Applicant (Responding to Questions: 9-C2, 9-C4, 9-C5)**

- **Filed On (Applicant):** Form ADV/BD/U4 for SG Americas Securities LLC

- **CRD Number:** 128351

- **Disclosure Number:** 1859576

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for SG Americas Securities LLC

- **CRD Number:** 128351

- **Disclosure Number:** 1843454

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for SG Americas Securities LLC

- **CRD Number:** 128351

- **Disclosure Number:** 1838062

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for SG Americas Securities LLC

- **CRD Number:** 128351

- **Disclosure Number:** 1837755

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for SG Americas Securities LLC

- **CRD Number:** 128351

- **Disclosure Number:** 1837754

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for SG Americas Securities LLC

- **CRD Number:** 128351

- **Disclosure Number:** 1837753

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for SG Americas Securities LLC

- **CRD Number:** 128351

- **Disclosure Number:** 1829895

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for SG Americas Securities LLC

- **CRD Number:** 128351

- **Disclosure Number:** 1808762

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for SG Americas Securities LLC

- **CRD Number:** 128351

- **Disclosure Number:** 1771453

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for SG Americas Securities LLC

- **CRD Number:** 128351

- **Disclosure Number:** 1768447

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for SG Americas Securities LLC

- **CRD Number:** 128351

- **Disclosure Number:** 1763128

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for SG Americas Securities LLC

- **CRD Number:** 128351

- **Disclosure Number:** 1763115

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for SG Americas Securities LLC

- **CRD Number:** 128351

- **Disclosure Number:** 1750949

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for SG Americas Securities LLC

- **CRD Number:** 128351

- **Disclosure Number:** 1750948

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 128351

  - **Filed On (AP):** Form ADV/BD/U4 for SG Americas Securities LLC

  - **Disclosure Number:** 2001569

**Regulatory DRP for: Applicant (Responding to Questions: 9-C2, 9-C4, 9-C5)**

- **Filed On (Applicant):** Form ADV/BD/U4 for SG Americas Securities LLC

- **CRD Number:** 128351

- **Disclosure Number:** 1999471

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 128351

  - **Filed On (AP):** Form ADV/BD/U4 for SG Americas Securities LLC

  - **Disclosure Number:** 2001554

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for SG Americas Securities LLC

- **CRD Number:** 128351

- **Disclosure Number:** 2002869

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for SG Americas Securities LLC

- **CRD Number:** 128351

- **Disclosure Number:** 2002864

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for SG Americas Securities LLC

- **CRD Number:** 128351

- **Disclosure Number:** 2002853

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for SG Americas Securities LLC

- **CRD Number:** 128351

- **Disclosure Number:** 2002782

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for SG Americas Securities LLC

- **CRD Number:** 128351

- **Disclosure Number:** 2002779

**Regulatory DRP for: Applicant (Responding to Questions: 9-D4)**

  - **Associated Person:** —

  - **CRD Number:** 128351

  - **Filed On (AP):** Form ADV/BD/U4 for SG AMERICAS SECURITIES, LLC

  - **Disclosure Number:** 2010285

**Regulatory DRP for: Applicant (Responding to Questions: 9-D4)**

  - **Associated Person:** —

  - **CRD Number:** 128351

  - **Filed On (AP):** Form ADV/BD/U4 for SG AMERICAS SECURITIES, LLC

  - **Disclosure Number:** 2010051

**Regulatory DRP for: Applicant (Responding to Questions: 9-D4)**

  - **Associated Person:** —

  - **CRD Number:** 128351

  - **Filed On (AP):** Form ADV/BD/U4 for SG AMERICAS SECURITIES, LLC

  - **Disclosure Number:** 2010050

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2)**

  - **Associated Person:** —

  - **CRD Number:** 128351

  - **Filed On (AP):** Form ADV/BD/U4 for SG AMERICAS SECURITIES, LLC

  - **Disclosure Number:** 2010049

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 128351

  - **Filed On (AP):** Form ADV/BD/U4 for SG Americas Securities, LLC

  - **Disclosure Number:** 2017963

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for SG Americas Securities, LLC

- **CRD Number:** 128351

- **Disclosure Number:** 2021737

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 128351

  - **Filed On (AP):** Form ADV/BD/U4 for Sg Americas Securities, LLC

  - **Disclosure Number:** 2029108

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for SG Americas Securities, LLC

- **CRD Number:** 128351

- **Disclosure Number:** 2024945

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for SG Americas Securities, LLC

- **CRD Number:** 128351

- **Disclosure Number:** 2033721

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for SG Americas Securities, LLC

- **CRD Number:** 128351

- **Disclosure Number:** 2036382

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for SG Americas Securities, LLC

- **CRD Number:** 128351

- **Disclosure Number:** 2036371

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for SG Americas Securities, LLC

- **CRD Number:** 128351

- **Disclosure Number:** 2035849

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for SG Americas Securities, LLC

- **CRD Number:** 128351

- **Disclosure Number:** 2035698

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for SG Americas Securities, LLC

- **CRD Number:** 128351

- **Disclosure Number:** 2038838

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for SG Americas Securities, LLC

- **CRD Number:** 128351

- **Disclosure Number:** 2039756

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for SG Americas Securities, LLC

- **CRD Number:** 128351

- **Disclosure Number:** 2049406

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for SG Americas Securities, LLC

- **CRD Number:** 128351

- **Disclosure Number:** 2049891

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for SG Americas Securities, LLC

- **CRD Number:** 128351

- **Disclosure Number:** 2049984

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for SG Americas Securities, LLC

- **CRD Number:** 128351

- **Disclosure Number:** 2051051

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for SG Americas Securities, LLC

- **CRD Number:** 128351

- **Disclosure Number:** 2054057

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for SG Americas Securities, LLC

- **CRD Number:** 128351

- **Disclosure Number:** 2071189

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2)**

  - **Associated Person:** —

  - **CRD Number:** 128351

  - **Filed On (AP):** Form ADV/BD/U4 for SG Americas Securities, LLC

  - **Disclosure Number:** 2072442

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for SG Americas Securities, LLC

- **CRD Number:** 128351

- **Disclosure Number:** 2069381

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for SG Americas Securities, LLC

- **CRD Number:** 128351

- **Disclosure Number:** 2074260

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 128351

  - **Filed On (AP):** Form ADV/BD/U4 for SG Americas Securities, LLC

  - **Disclosure Number:** 2078702

**Regulatory DRP for: Applicant (Responding to Questions: 9-C2, 9-C4, 9-C5)**

- **Filed On (Applicant):** Form ADV/BD/U4 for SG Americas Securities, LLC

- **CRD Number:** 128351

- **Disclosure Number:** 2078497

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for SG Americas Securities, LLC

- **CRD Number:** 128351

- **Disclosure Number:** 2078213

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for SG Americas Securities, LLC

- **CRD Number:** 128351

- **Disclosure Number:** 2081363

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for SG Americas Securities, LLC

- **CRD Number:** 128351

- **Disclosure Number:** 2103568

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 128351

  - **Filed On (AP):** Form ADV/BD/U4 for SG Americas Securities, LLC

  - **Disclosure Number:** 2146188

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for SG Americas Securities, LLC

- **CRD Number:** 128351

- **Disclosure Number:** 2154401

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for SG Americas Securities, LLC

- **CRD Number:** 128351

- **Disclosure Number:** 2160574

**Regulatory DRP for: Applicant (Responding to Questions: 9-C2)**

  - **Associated Person:** —

  - **CRD Number:** 128351

  - **Filed On (AP):** Form ADV/BD/U4 for SG Americas Securities, LLC

  - **Disclosure Number:** 2161519

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for SG Americas Securities, LLC

- **CRD Number:** 128351

- **Disclosure Number:** 2172865

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for SG Americas Securities, LLC

- **CRD Number:** 128351

- **Disclosure Number:** 2206897

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for SG Americas Securities, LLC

- **CRD Number:** 128351

- **Disclosure Number:** 2221363

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 128351

  - **Filed On (AP):** Form ADV/BD/U4 for SG Americas Securities, LLC

  - **Disclosure Number:** 2242166

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 128351

  - **Filed On (AP):** Form ADV/BD/U4 for SG Americas Securities, LLC

  - **Disclosure Number:** 2242167

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 128351

  - **Filed On (AP):** Form ADV/BD/U4 for SG Americas Securities, LLC

  - **Disclosure Number:** 2251962

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for SG Americas Securities, LLC

- **CRD Number:** 128351

- **Disclosure Number:** 2255723

### Execution Page

**Signature:** James Hubbert

**Signer Name:** James Hubbert

**Title:** Managing Director

**Date:** 02-08-2023

**CRD Number:** 3066659