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CREDIT SUISSE SECURITIES USA LLC NFA ID: 0002397 Current Status • SWAP FIRM APPROVED  • COMMODITY TRADING ADVISOR REGISTERED  • COMMODITY POOL OPERATOR REGISTERED  • EXEMPT FOREIGN FIRM AGENT APPROVED  • NFA MEMBER APPROVED  • FUTURES COMMISSION MERCHANT REGISTERED  Exemptions Click the link below to view exemptions for this firm View Exemptions FCM Financial Information Click the link below to view financial information for this firm View Financial Information Firm Activity Status Firm has on-exchange futures and/or options customer accounts Yes Firm is soliciting customers Yes Firm manages futures or options customer accounts No Firm operates commodity pools No Firm is engaged in retail off-exchange foreign currency futures and/or options No Regulatory Actions  Agency Number NFA 0 CFTC 0 Exchanges 26 details...   NFA Arbitration Decisions  Role Number Claimant 0 Respondent 0 details...   CFTC Reparations Cases Total 0 details... Formerly Known As • CREDIT SUISSE FIRST BOSTON CORPORATION • CREDIT SUISSE FIRST BOSTON LLC • CS FIRST BOSTON CORPORATION • FIRST BOSTON CORPORATION THE   Business Address ELEVEN MADISON AVENUE NEW YORK, NY  10010 UNITED STATES 212-325-2000 Doing Business As No other names Listed Principals  Listed Principal Name Title 10% or More Financial Interest ROBERT JOSEPH BERNSTONE HEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION NO CREDIT SUISSE USA INC YES ANTHONY DECHELLIS HEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION NO JOHN R FLINT HEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION NO ROBERT EUGENE GRIFFITH HEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION NO LOUISE GUARNERI CHIEF COMPLIANCE OFFICER NO JOSEPH FOWLER HUBER MANAGING DIRECTOR NO WILLIAM FRANCIS JR HUGHES HEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION NO JEFFREY DOUGLAS JENNINGS HEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION NO JOSHUA A LUKEMAN HEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION NO DANIEL CRAIG MATHISSON HEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION NO TIMOTHY OHARA CHIEF EXECUTIVE OFFICER NO CARLOS ONIS CHIEF FINANCIAL OFFICER NO MICHAEL FRANCIS SCALI HEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION NO ROBERT SCOTT SHAFIR HEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION NO GEORGE B JR WEIKSNER MANAGING DIRECTOR NO LEWIS HOWARD WIRSHBA CHIEF OPERATING OFFICER NO STANLEY JOHN ZAREMBA JR HEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION NO History  Status Effective Date • SWAP FIRM APPROVED 01/02/2013  • SWAP FIRM PENDING 12/31/2012  • COMMODITY TRADING ADVISOR REGISTERED 06/13/2012  • COMMODITY POOL OPERATOR REGISTERED 06/13/2012  • COMMODITY POOL OPERATOR PENDING 06/13/2012  • COMMODITY TRADING ADVISOR PENDING 06/13/2012  • EXEMPT FOREIGN FIRM AGENT APPROVED 05/10/1993  • FUTURES COMMISSION MERCHANT REGISTERED 04/18/1986  • FUTURES COMMISSION MERCHANT FAILED TO RENEW 03/31/1986  • NFA MEMBER APPROVED 07/01/1982  • FUTURES COMMISSION MERCHANT REGISTERED 06/30/1982