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Securities Underwriting and Dealing Subsidiaries
A broker-dealer authorized to engage in securities underwriting, dealing, or market-making may, under certain circumstances, be acquired by a bank holding company, by a foreign bank subject to the Bank Holding Company Act, or by a state member bank. The resulting subsidiaries and the institutions owning them are listed here under the following categories: Section 20 subsidiaries Here is a brief description of the circumstances under which an institution may acquire a securities underwriting and dealing subsidiary. Section 20 Subsidiaries Section 4(k)(4)(E) Securities Subsidiaries Financial Subsidiaries of State Member Banks |
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Section 20 subsidiary | Parent organization | FR District | Date of initial approval |
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BBVA Securities, Inc. | Banco Bilbao Vizcaya Argentaria, S.A. | New York | 3/1998 |
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Section 4(k)(4)(E) securities subsidiary | Parent organization | FR District |
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ABN AMRO, Inc. | UK Financial Investments Limited (UKFI) | Boston |
ABN AMRO Rothschild, LLC | UK Financial Investments Limited (UKFI) | Boston |
ANZ Securities, Inc. | Australia and New Zealand Banking Group Limited | New York |
Banc of America Securities, LLC | Bank of America Corp. | Richmond |
Banca IMI Securities Corp. | Intesa Sanpaolo S.P.A. | New York |
Barclays Capital, Inc. | Barclays PLC | New York |
Berry-Shino Securities, Inc. | Peotone Bancorp, Inc. | Chicago |
BMO Capital Markets Corp. | Bank of Montreal | Chicago |
BNP Paribas Investment Services, LLC | BNP Paribas | New York |
BNP Paribas Securities Corp. | BNP Paribas | New York |
BNY Mellon Capital Markets, LLC | Bank of New York Mellon Corp., The | New York |
BOSC, Inc. | BOK Financial Corp. | Kansas City |
Calyon Securities (USA), Inc. | Fédération Nationale du Crédit Agricole (FNCA) | New York |
Capital Financial Services, Inc. | HSBC Holdings PLC | Chicago |
Capital One Southcoast, Inc. | Capital One Financial Corp. | Richmond |
Chase Investment Services Corp. | JPMorgan Chase & Co. | New York |
CIBC World Markets Corp. | Canadian Imperial Bank of Commerce | New York |
Citigroup Global Markets, Inc. | Citigroup, Inc. | New York |
Commerzbank Capital Markets Corp. | Allianz SE | New York |
Conservative Financial Services, Inc. | First State Bancshares, Inc. | St. Louis |
Credit Suisse Securities (USA), LLC | Credit Suisse Group | New York |
Crews and Associates, Inc. | First Security Bancorp | St. Louis |
Deutsche Bank Securities, Inc. | Deutsche Bank Aktiengesellschaft | New York |
DnB NOR Nor Markets, Inc. | DnB NOR ASA | New York |
Dresdner Kleinwort Securities, LLC | Allianz SE | New York |
DZ Financial Markets, LLC | DZ Bank AG | New York |
FBT Investments, Inc. | First Trust Corporation | Atlanta |
First National Capital Markets, Inc. | Lauritzen Corp. | Kansas City |
First Republic Securities Company, LLC | Bank of America Corp. | Richmond |
Fortis Securities, LLC | Société Fédérale de Participations et d'Investissement S.A. | New York |
Greenwich Capital Markets, Inc. | UK Financial Investments Limited (UKFI) | Boston |
H.D. Vest Investment Securities, Inc. | Wells Fargo & Company | San Francisco |
HSBC Securities (USA), Inc. | HSBC Holdings PLC | New York |
HSH N Financial Securities, LLC | HSH NORDBANK AG | New York |
ICICI Securities | ICICI Bank Limited | New York |
Itaú Securities, Inc. | Itaúsa Investimentos Itaú S.A. | New York |
J B Hanauer & Co. | Royal Bank of Canada | New York |
J.P. Morgan Securities, Inc. | JPMorgan Chase & Co. | New York |
KBC Financial Products USA, Inc. | Cera Ancora VZW | New York |
KeyBanc Capital Markets | Keycorp | Cleveland |
LBBW Securities, LLC | SparkassenVerband Baden-Württemberg | New York |
M&I Financial Advisors, Inc. | Marshall & Ilsley Corporation | Chicago |
Mitsubishi UFJ Securities (USA), Inc. | Mitsubishi UFJ Financial Group | San Francisco |
Morgan Stanley & Co. Incorporated | Morgan Stanley | New York |
Morgan, Keegan & Company, Inc. | Regions Financial Corp. | Atlanta |
Mizuho Securities USA Inc. | Mizuho Financial Group, Inc. | New York |
NatCity Investments, Inc. | PNC Financial Services Group, Inc., The | Cleveland |
National Bank of Canada Financial, Inc. | National Bank of Canada | New York |
Natixis Bleichroeder, Inc. | Banque Fédérale des Banques Populaires | New York |
Natixis Securities North America, Inc. | Banque Fédérale des Banques Populaires | New York |
Newedge USA, LLC | Société Générale | New York |
Oriental Financial Services Corp. | Oriental Financial Group Inc. | New York |
Pershing Advisor Solutions, LLC | Bank of New York Mellon Corp., The | New York |
Pershing, LLC | Bank of New York Mellon Corp., The | New York |
Popular Securities, Inc. | Popular, Inc. | New York |
Rabo Securities USA, Inc. | Coöperatieve Centrale Raiffeisen-Boerenleenbank B.A.,"Rabobank Nederland" | New York |
RBC Capital Markets Corp. | Royal Bank of Canada | New York |
Santander Investment Securities, Inc. | Banco Santander, S.A. | New York |
Santander Securities Corp. | Banco Santander, S.A. | New York |
Scotia Capital (USA), Inc. | Bank of Nova Scotia, The | New York |
Scott & Stringfellow, Inc. | BB&T Corp. | Richmond |
SG Americas Securities, LLC | Société Générale | New York |
Silverton Capital Corporation | Silverton Financial Services, Inc.. | New York |
Sovereign Securities Corp., LLC | Banco Santander, S.A. | New York |
Stifel Nicolaus & Company, Inc. | Stifel Financial Corp. | St. Louis |
Strand, Atkinson, Williams & York, Inc. | Umpqua Holdings Corp. | San Francisco |
SunTrust Investment Services, Inc. | SunTrust Banks, Inc. | Atlanta |
SunTrust Robinson Humphrey, Inc. | SunTrust Banks, Inc. | Atlanta |
Synovus Securities, Inc. | Synovus Financial Corp. | Atlanta |
TD Ameritrade Clearing, Inc. | Toronto-Dominion Bank, The | New York |
TD Ameritrade Inc. | Toronto-Dominion Bank, The | New York |
TD Securities (USA), LLC | Toronto-Dominion Bank, The | New York |
U.S. Bancorp Investments, Inc. | U.S. Bancorp | Minneapolis |
UBS Financial Services, Inc. | UBS AG | New York |
UBS International, Inc. | UBS AG | New York |
UBS Securities, LLC | UBS AG | New York |
Wachovia Capital Markets, LLC | Wells Fargo & Company | San Francisco |
Wachovia Securities Financial Network, LLC | Wells Fargo & Company | San Francisco |
Wachovia Securities, LLC | Wells Fargo & Company | San Francisco |
Wayne Hummer Investments, LLC | Wintrust Financial Corp. | Chicago |
Wells Fargo Brokerage Services, LLC | Wells Fargo & Company | San Francisco |
Wells Fargo Institutional Securities, LLC | Wells Fargo & Company | San Francisco |
Wells Fargo Investments, LLC | Wells Fargo & Company | San Francisco |
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Financial Subsidiaries of State Member Banks | Parent Bank | FR District |
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Comerica Securities, Inc. | Comerica Bank | Dallas |
Fifth Third Securities, Inc. | Fifth Third Bank | Cleveland |
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