# EDGAR Filing Document

**Accession Number:** 0000740906
**File Stem:** 0000740906-25-000010
**Filing Date:** 2025-9
**Character Count:** 14709
**Document Hash:** c9674ebd2bc99fc1642c9e0520d31f59
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0000740906-25-000010.hdr.sgml**: 20250919

**ACCESSION NUMBER**: 0000740906-25-000010

**CONFORMED SUBMISSION TYPE**: SBSE-A/A

**PUBLIC DOCUMENT COUNT**: 3

**FILED AS OF DATE**: 20250919

**DATE AS OF CHANGE**: 20250919

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** WELLS FARGO BANK N A
- **CENTRAL INDEX KEY:** 0000740906

**ORGANIZATION NAME:**
- **EIN:** 941347393
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** SBSE-A/A
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 026-00170
- **FILM NUMBER:** 251326378

**BUSINESS ADDRESS:**
- **STREET 1:** 3201 N 4TH AVE
- **CITY:** SIOUX FALLS
- **STATE:** SD
- **ZIP:** 57104
- **BUSINESS PHONE:** 605-575-6900

**MAIL ADDRESS:**
- **STREET 1:** 3201 N 4TH AVE
- **CITY:** SIOUX FALLS
- **STATE:** SD
- **ZIP:** 57104

### Attached PDF Documents

**Attachment 1:** `7r3q2025.pdf`

_No text found in this document._

**Attachment 2:** `changes9.18.25.pdf`

_No text found in this document._

## Form SBSE-A: Registration for Security-Based Swap Dealers

### Applicant Information

**Full Applicant Name:** WELLS FARGO BANK N A

**NFA Number:** 399337

**IRS Employer ID No.:** 94-1347393

**CIK:** 0000740906

**UIC:** KB1H1DSPRFMYMCUFXT09

**Main Address:** 3201 N 4TH AVE, SIOUX FALLS, SD, 57104

**Mailing Address:** 3201 N 4TH AVE, SIOUX FALLS, SD, 57104

**Business Telephone:** 605-575-6900

**Contact Employee:**

- **Name:** Chris Ragsdale

- **Title:** Compliance Senior Manager

- **Phone:** 314-875-3294

- **Email:** chris.ragsdale@wellsfargoadvisors.com

**Chief Compliance Officer:**

- **Name:** Peter Macchio

- **Title:** Chief Compliance Officer

- **Phone:** 212-214-1109

- **Email:** Peter.Macchio@wellsfargo.com

### Business and Activities

**Registered as Swap Dealer?:** Yes

**Registered as Swap Participant?:** No

**Uses Mathematical Models?:** Yes

**Is a Non-Resident Entity?:** No

**Subject to Prudential Regulator?:** Yes

**Is an Investment Advisor?:** No

**Engaged in Other Business?:** Yes

**Holds Customer Funds?:** Yes

**Prudential Regulators:** The Office of the Comptroller of the Currency

**Description of Business:**
Wells Fargo Bank, National Association is a federally chartered bank.

### Control and History

**Are records kept by another entity?:** Yes

**Does another entity hold funds on behalf of applicant?:** Yes

**Is control exercised through an agreement?:** Yes

**Is applicant financed by another entity?:** Yes

**Is applicant succeeding a prior entity?:** No

**Subject to foreign regulation?:** No

**Number of Principals:** 40

### Schedule A: Principals

| Name                     | Title or Status                                | Date Acquired   | Date Began Working   | Ownership         | NFA ID No.   |
|:---|:---|:---|:---|:---|:---|
| Benjamin Thomas Bonner   | Head of business unit, division or function    | 05/2014         | 06/2001              |  | 477406       |
| Mark Alan Chancy         | Director                                       | 10/2020         | 08/2020              |  | 303002       |
| Theodore F Craver        | Director                                       | 08/2019         | 12/2017              |  | 200242       |
| Mark Jonathan Kohn       | Head of business unit, division or function    | 04/2019         | 07/2013              |  | 300619       |
| Maria Morris             | Director                                       | 10/2019         | 12/2017              |  | 524015       |
| Timothy Paul Mullins     | Head of a business unit, division or function  | 05/2018         | 04/2002              |  | 452535       |
| Alexander Francis Papson | Head of business unit, division or function    | 03/2021         | 04/2011              |  | 537698       |
| Michael Santomassimo     | Chief Financial Officer                        | 11/2020         | 10/2020              |  | 534329       |
| Charles William Scharf   | Chief Executive Officer                        | 10/2019         | 10/2019              |  | 288529       |
| Thad Marcus Sharrett     | Head of business unit, division or function    | 10/2020         | 01/1997              |  | 482001       |
| Man Yi Mandy Wan         | Head of business unit, division or function    | 01/2021         | 03/2014              |  | 534066       |
| James William Gnall      | Principal                                      | 12/2021         | 06/2020              |  | 427087       |
| William Joseph Kearns    | head of a Business Unit, Division or Function  | 02/2022         | 09/2013              |  | 546565       |
| James Douglas Marriott   | Head of a Business Unit, Division or Function  | 04/2022         | 09/2021              |  | 547721       |
| Charles Peck             | HEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION  | 07/2022         | 04/2018              |  | 548924       |
| Christopher Marchal      | Head of a Business Unit, Division, or Function | 09/2022         | 07/2015              |  | 550747       |
| James Patrick Oneill     | Head of a Business Unit, Division, or Function | 10/2022         | 12/2019              |  | 264809       |
| Peter Macchio            | Chief Compliance Officer                       | 10/2022         | 10/2022              |  | 552260       |
| Judith Barry             | HEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION  | 01/2023         | 07/2017              |  | 244096       |
| Bradford Jack Heitman    | HEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION  | 12/2022         | 06/2010              |  | 552982       |
| Vincent Paul Hindman     | Head of a Business Unit, Division or Function  | 02/2023         | 06/1999              |  | 554229       |
| Alessandro Al Morante    | Head of a Business Unit, Division or Function  | 10/2023         | 06/2007              |  | 559619       |
| Graeme E Mcevoy          | Chief Operating Officer                        | 11/2023         | 02/2023              |  | 422776       |
| Richard K Davis          | Director                                       | 06/2023         | 04/2022              |  | 452324       |
| Christopher R Iannuzzi   | Head of a Business Unit, Division or Function  | 09/2023         | 04/2013              |  | 305359       |
| Chris M Foley            | Head of a Business Unit, Division or Function  | 12/2023         | 05/2014              |  |  |
| Michael S Pryor          | Head of a Business Unit, Division or Function  | 03/2024         | 08/1998              |  |  |
| Josh L Durham            | Head of a Business Unit, Division or Function  | 03/2024         | 06/2003              |  |  |
| Chris M Lee              | Head of a Business Unit, Division or Function  | 04/2024         | 09/2006              |  | 563196       |
| Jill Ford                | Head of a Business Unit, Division or Function  | 03/2024         | 09/2023              |  |  |
| James Lafayette Perry    | Head of a Business Unit, Division or Function  | 08/2024         | 07/2018              |  | 564965       |
| Mark Christopher Burns   | Head of a Business Unit, Division or Function  | 08/2024         | 06/2004              |  | 564962       |
| Cecelia Glenn Morken     | Director                                       | 06/2024         | 04/2022              |  | 563771       |
| Fernando Rivas           | Head of a Business Unit, Division or Function" | 08/2024         | 05/2024              |  | 550221       |
| Sharif Maurice Saba      | Head of a Business Unit, Division or Function  | 10/2024         | 06/2015              | NA - less than 5% | 566602       |
| Jill D Trainor           | Head of a Business Unit, Division or Function  | 10/2024         | 06/2019              | NA - less than 5% | 566604       |
| James L Wang             | Head of a Business Unit, Division or Function  | 10/2024         | 06/2005              |  | 566603       |
| Danny David Smith        | Head of a Business Unit, Division or Function  | 10/2024         | 09/2024              |  | 547697       |
| Gregory Joseph Gruber    | Head of a Business Unit, Division or Function  | 10/2024         | 06/2013              |  |  |
| Nigel Dyble              | Head of a Business Unit, Division or Function  | 03/2025         | 07/2005              |  | 570307       |

### Schedule B: Explanations

**Description:**
Wells Fargo Bank, National Association is a federally chartered bank.

**Records Keeper:**

- **Name:** Iron Mountain Information Management, LLC

  - **Address:** 1 Federal Street, Boston, MA, 02110-2012

  - **Effective Date:** 10-30-2009

  - **Arrangement:** Custodial Arrangement

- **Name:** RegEd

  - **Address:** 2100 Gateway Centre Blvd, Suite 200, Moorisville, NC, 27560-6228

  - **Effective Date:** 08-23-2019

  - **Arrangement:** Custodial Arrangement

- **Name:** Cisive

  - **Address:** 5000 Corporate Court, Suite 203, Holtsville, NY, 11742-2010

  - **Effective Date:** 09-15-2021

  - **Arrangement:** Custodial Arrangement

- **Name:** DTCC ITP, LLC (formerly Omgeo, LLC)

  - **Address:** 55 Thomson Place, Boston, MA, 02210-1244

  - **Effective Date:** 08-16-2010

  - **Arrangement:** Custodial Arrangement

**Onbehalf:**

- **Name:** J.P. Morgan Securities LLC

  - **Address:** 383 Madison Ave, 11th Floor, New York, NY, 10179-3217

  - **Effective Date:** 06-12-2002

  - **Arrangement:** FCM Agreement

- **Name:** Wells Fargo Securities, LLC.

  - **Address:** 550 S. Tryon Street, 10th Floor, Charlotte, NC, 28202-4200

  - **Effective Date:** 12-21-2016

  - **Arrangement:** FCM Agreement

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

  - **Address:** 245 Park Ave, New York, NY, 10167-0002

  - **Effective Date:** 04-20-2017

  - **Arrangement:** FCM Agreement

- **Name:** BGC Financial, L.P.

  - **Address:** One Seaport Plaza, 19th Floor, New York, NY, 10038-3526

  - **Effective Date:** 12-13-2016

  - **Arrangement:** Broker Agreement

- **Name:** tpSEF Inc.

  - **Address:** 1100 Plaza Five, Floor 11, Harborside Financial Center, Jersey Citt, NJ, 07311-4996

  - **Effective Date:** 01-01-2016

  - **Arrangement:** SEF Agreement

- **Name:** ICE Clear Credit LLC

  - **Address:** 353 N Clark St, Chicago, IL, 60654

  - **Effective Date:** 05-17-2006

  - **Arrangement:** Clearing Agreement

- **Name:** Bloomberg SEF LLC

  - **Address:** 731 Lexington Ave, New York, NY, 10022

  - **Effective Date:** 03-26-2013

  - **Arrangement:** SEF Agreement

- **Name:** TW SEF LLC

  - **Address:** 1177 Avenue of the Americas, New York, NY, 10036-2714

  - **Effective Date:** 09-27-2013

  - **Arrangement:** SEF Agreement

- **Name:** GFI Swaps Exchange LLC

  - **Address:** 55 Water St, New York, NY, 10041

  - **Effective Date:** 10-31-2013

  - **Arrangement:** SEF Agreement

- **Name:** Tradition SEF, Inc

  - **Address:** 255 Greenwich St., 4th Floor, New York, NY, 10007

  - **Effective Date:** 10-01-2007

  - **Arrangement:** SEF Agreement

- **Name:** BGC Derivatives Markets, L.P.

  - **Address:** 499 Park Avenue, New York, NY, 10022

  - **Effective Date:** 10-29-2013

  - **Arrangement:** SEF Agreement

- **Name:** DW SEF LLC

  - **Address:** 1177 Avenue of Americas, New York, NY, 10036-2714

  - **Effective Date:** 05-28-2014

  - **Arrangement:** SEF Agreement

- **Name:** Continuous Linked Settlements (CLS)

  - **Address:** 32 Old Slip, New York, NY, 10005

  - **Effective Date:** 06-20-2016

  - **Arrangement:** Settlement Agreement

- **Name:** Fedwire Funds Service

  - **Address:** Customer Contact Center, Federal Reserve, P.O. 219416, Kansas City, MO, 64121-9416

  - **Effective Date:** 10-22-2008

  - **Arrangement:** Settlement Agreement

- **Name:** The Bank of New York Mellon

  - **Address:** 240 Greenwich St, New York, NY, 10286

  - **Effective Date:** 11-04-2010

  - **Arrangement:** Custodian Agreement

- **Name:** ICAP Global Derivatives Limited

  - **Address:** 135 Bishopsgate, London, X0, EC2M 3TP

  - **Effective Date:** 09-27-2013

  - **Arrangement:** SEF Agreement

- **Name:** Euroclear Bank SA/NV

  - **Address:** 1 Blvd Du Roi Albert II, Brussels,, C9, BE-BRU1210

  - **Effective Date:** 11-06-2018

  - **Arrangement:** Custodial Agreement

- **Name:** BGC Brokers US, LP

  - **Address:** One Seaport Plaza, 19th Floor, New York, NY, 10038

  - **Effective Date:** 12-13-2006

  - **Arrangement:** Broker Agreement

- **Name:** BGC Capital Markets, L.P.

  - **Address:** One Seaport Plaza, 19th Floor, New York, NY, 10038

  - **Effective Date:** 12-13-2016

  - **Arrangement:** Broker Agreement

- **Name:** Clearstream Banking S.A.

  - **Address:** 42 Avenue J.F.K, Luxembourg, N4, L1855-LU

  - **Effective Date:** 05-25-2018

  - **Arrangement:** Collateral Management Service Agreement

- **Name:** Tradition Securities & Derivatives Inc.

  - **Address:** 32 Old Slip, 28th Floor, New York, NY, 10005

  - **Effective Date:** 10-20-2021

  - **Arrangement:** Brokerage Rate Agreement

- **Name:** The Depository Trust Company

  - **Address:** 55 Water St, New York, NY, 10041-0099

  - **Effective Date:** 03-01-2010

  - **Arrangement:** Custodial Agreement

- **Name:** Bay Crest Partners, LLC

  - **Address:** 40 Wall Street, 42nd St., New York, NY, 10005

  - **Effective Date:** 10-19-2021

  - **Arrangement:** Broker Rate Agreement

- **Name:** FGC Securities, LLC

  - **Address:** 11 Broadway, Suite 615, New York, NY, 10004

  - **Effective Date:** 10-19-2021

  - **Arrangement:** Broker Rate Agreement

- **Name:** Tullett Prebon Financial Services LLC

  - **Address:** 200 Vesey Street, 5th Floor, New York, NY, 10281-1008

  - **Effective Date:** 10-21-2020

  - **Arrangement:** Brokerage Rate Agreement

- **Name:** ICAP Corporates LLC

  - **Address:** 200 Vesey Street, 6th Floor, New York, NY, 10281-1008

  - **Effective Date:** 10-21-2021

  - **Arrangement:** Brokerage Rate Agreement

- **Name:** Wallbachbeth Capital, LLC

  - **Address:** 7999 North Federal Highway, Suite 100, Boca Raton, FL, 33487

  - **Effective Date:** 10-21-2021

  - **Arrangement:** Brokerage Rate Agreement

**Controlling Entity:**

- **Name:** WFC Holdings, LLC

  - **Address:** 420 Montgomery Street, San Francisco, CA, 94104-1207

  - **Effective Date:** 11-02-1998

  - **Arrangement:** WFC Holdings, LLC is the direct owner of Wells Fargo Bank N.A.

- **Name:** Wells Fargo & Company

  - **Address:** 420 Montgomery Street, San Francisco, CA, 94104

  - **Effective Date:** 11-02-1998

  - **Arrangement:** Wells Fargo & Company is an indirect owner of Wells Fargo Bank N.A.

### Execution

**Date:** 09-19-2025

**Name of Applicant:** WELLS FARGO BANK N A

**Signature:** Charlie Blume

**Printed Name:** Charlie Blume

**Title:** Compliance Manager