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James Brown Pacoima, CA 91331 jabrown385@gmail.com 6738848333 Willing to relocate: Anywhere Work Experience Introduction Legal Entities Owner Controller Ocr Profile Id Active? Last Updated On Legal Entity Name NFA ID (if any) LEI (if any) Website URL (if any) 3rd Party Controller Phone Number Email Address Supplied By LEI Street Address Suite City State/Province Country Postal Code Ocr Profile Id First Name Middle Name Last Name Suffix Contact Phone Number Contact Email Address Contact Relationship to Legal Entity Contact Job Title Profile Manager ABN Amro: ABNA Advantage Futures LLC: ADVF Bank of America Merrill Lynch - FCM: BAMF Bank of America Merrill Lynch - Swap Dealer: BAMS Banque Pictet & Cie SA: BPIC Barclays: BARC BMO Bank of Montreal: BMON BNP Paribas SA: BNPD BNP Paribas SA - Swap Dealer: BNPE BNP Paribas Securities Corp: BNPA BNP Paribas Securities Services: BNPB BP: BPAA Cantor Fitzgerald: CANT Cargill: CARG CIBC: CIBC Citigroup: CITI Credit Suisse: CRED Deutsche Bank (Suisse) SA: DBCH Deutsche Bank Frankfurt: DBFFT Deutsche Bank London Branch: DBLDN Deutsche Bank Securities Inc: DBUS Deutsche Bank Sydney Branch: DBSDY Dorman Trading LLC: DORM Friedberg Mercantile Group: FDBG GH Financials: GHFI Goldman Sachs: GOLD HSBC Bank PLC: HSBB HSBC Broking Futures (Asia) Limited: HSBA HSBC France SA: HSBF HSBC Securities (USA) Inc.: HSBS JP Morgan: JPMO JP Morgan Swap Dealer: JPMS Lloyds Bank Plc: LLOY Macquarie: MACQ Macquarie (Swap Dealer): MACS Mercuria International SA: MERCU Mizuho: MIZH Morgan Stanley: MORG Nomura: NOMU Pictet Overseas Inc.: PICT R.J. O'Brien & Associates LLC: RJOB Rabobank: RABO Royal Bank of Scotland: RBOS Shell: SHLL Societe Generale: NEWE SunTrust Bank: SUNT The Hong Kong and Shanghai Banking Corporation: HSBH TradeStation Securities, Inc.: TDST UBS: UBSL Wells Fargo: WELL If you provide an LEI ID for an account, address information can be extracted from the LEI record and these fields may be omitted. These three columns are optional. Enter the requested information if you have it. These two columns will not be imported. They are intended to help you organize your data. For trading entities, place an "x" under Owner. For firms or organizations that direct trading, place an "x" under Controller. If the entity trades and directs its own trading, place an "x" in both columns. List your funds, accounts, and other trading entities that will be designated as "Owners." In addition, list firms or organizations that direct trading for accounts, functioning as "Controllers." NOTE: Do not enter names of individuals here. Enter individual person Owners and Controllers in the Natural Persons tab. Name of fund, account, firm, or organization. Please do not enter your account numbers. For each Legal Entity, please designate an individual to act as a Main Contact. If the individual also directs trading, or if their address information differs from that of the Legal Entity, enter the Main Contact's information on the next tab and provide reference here. Grant Reporting Firms permission to view your data and use it for reporting by placing an "x" under their name. Permissions are separately assigned for each Legal Entity. Legal Entity Information Address of the Legal Entity Main Contact of the Legal Entity Permissions Granted to Reporting Firms Column names in bold are required! If the Legal Entity already exists in the Portal, this field should include its unique OCR ID WARNING Checking this box will make this legal entity's information available to all system users. If the Legal Entity already exists in the Portal, this field will indicate the user responsible for managing it. Use this column to deactivate a profile in the Portal. This column will not be imported. This value will be in UTC time. If you provide an LEI ID for an account, address information can be extracted from the LEI record and these fields may be omitted. These three columns are optional. Enter the requested information if you have it. These two columns will not be imported. They are intended to help you organize your data. For trading entities, place an "x" under Owner. For firms or organizations that direct trading, place an "x" under Controller. If the entity trades and directs its own trading, place an "x" in both columns. List your funds, accounts, and other trading entities that will be designated as "Owners." In addition, list firms or organizations that direct trading for accounts, functioning as "Controllers." NOTE: Do not enter names of individuals here. Enter individual person Owners and Controllers in the Natural Persons tab. Name of fund, account, firm, or organization. Please do not enter your account numbers. For each Legal Entity, please designate an individual to act as a Main Contact. If the individual also directs trading, or if their address information differs from that of the Legal Entity, enter the Main Contact's information on the next tab and provide reference here. Grant Reporting Firms permission to view your data and use it for reporting by placing an "x" under their name. Permissions are separately assigned for each Legal Entity. Legal Entity Information Address of the Legal Entity Main Contact of the Legal Entity Permissions Granted to Reporting Firms Column names in bold are required! If the Legal Entity already exists in the Portal, this field should include its unique OCR ID WARNING Checking this box will make this legal entity's information available to all system users. If the Legal Entity already exists in the Portal, this field will indicate the user responsible for managing it. Use this column to deactivate a profile in the Portal. This column will not be imported. This value will be in UTC time. Natural Persons Owner Controller Ocr Profile Id Active? Last Updated On First Name Middle Name Last Name Suffix NFA ID (if any) LEI (if any) Website URL (if any) Phone Number Email Address Supplied by LEI Street Address Suite City State/Province Country Postal Code Is Self Employed Ocr Profile Id Name of Employer Natural Person's Relationship to Employer Natural Person's Job Title Profile Manager ABN Amro: ABNA Advantage Futures LLC: ADVF Bank of America Merrill Lynch - FCM: BAMF Bank of America Merrill Lynch - Swap Dealer: BAMS Banque Pictet & Cie SA: BPIC Barclays: BARC BMO Bank of Montreal: BMON BNP Paribas SA: BNPD BNP Paribas SA - Swap Dealer: BNPE BNP Paribas Securities Corp: BNPA BNP Paribas Securities Services: BNPB BP: BPAA Cantor Fitzgerald: CANT Cargill: CARG CIBC: CIBC Citigroup: CITI Credit Suisse: CRED Deutsche Bank (Suisse) SA: DBCH Deutsche Bank Frankfurt: DBFFT Deutsche Bank London Branch: DBLDN Deutsche Bank Securities Inc: DBUS Deutsche Bank Sydney Branch: DBSDY Dorman Trading LLC: DORM Friedberg Mercantile Group: FDBG GH Financials: GHFI Goldman Sachs: GOLD HSBC Bank PLC: HSBB HSBC Broking Futures (Asia) Limited: HSBA HSBC France SA: HSBF HSBC Securities (USA) Inc.: HSBS JP Morgan: JPMO JP Morgan - Swap Dealer: JPMS Lloyds Bank Plc: LLOY Macquarie: MACQ Macquarie (Swap Dealer): MACS Mercuria International SA: MERCU Mizuho: MIZH Morgan Stanley: MORG Nomura: NOMU Pictet Overseas Inc.: PICT R.J. O'Brien & Associates LLC: RJOB Rabobank: RABO Royal Bank of Scotland: RBOS Shell: SHLL Societe Generale: NEWE SunTrust Bank: SUNT The Hong Kong and Shanghai Banking Corporation: HSBH TradeStation Securities, Inc.: TDST UBS: UBSL Wells Fargo: WELL If the Natural Person will act as a Controller, you will need to include information on their Employer. YOU WILL NEED TO ENTER INFORMATION FOR A LEGAL ENTITY EMPLOYER ON THE PREVIOUS TAB. Once you have entered them on the previous tab, provide reference to that Legal Entity here. These two columns will not be imported. They are intended to help you organize your data. For individual accounts, place an "x" under Owner. For individuals who direct trading, place an "x" under Controller. If the individual trades and directs its own trading, place an "x" in both columns. Natural Person Information Column names in bold are required! Enter your accounts that are in the names of individuals, who will be designated as "Owners." In addition, list individuals who direct the trading of accounts, functioning as "Controllers." NOTE: Do not enter funds or organizations here. Enter funds and organizations in the Legal Entities tab. These three columns are optional. Enter the requested information if you have it. Address of the Natural Person Employer of the Natural Person Permissions Granted to Reporting Firms Enter the name of each indivdual ("Natural Person"). Please do not enter your account numbers. If the Natural Person already exists in the Portal, this field should include its unique OCR ID If the individual is Self Employed, indicate here. Otherwise, fill out the remaining Employer fields. Grant Reporting Firms permission to view your data and use it for reporting by placing an "x" under their name. Permissions are separately assigned for each Natural Person. If the Natural Person already exists in the Portal, this field will indicate the user responsible for managing it. Use this column to deactivate a profile in the Portal. This column will not be imported. This value will be in UTC time. If the Natural Person will act as a Controller, you will need to include information on their Employer. YOU WILL NEED TO ENTER INFORMATION FOR A LEGAL ENTITY EMPLOYER ON THE PREVIOUS TAB. Once you have entered them on the previous tab, provide reference to that Legal Entity here. These two columns will not be imported. They are intended to help you organize your data. For individual accounts, place an "x" under Owner. For individuals who direct trading, place an "x" under Controller. If the individual trades and directs its own trading, place an "x" in both columns. Natural Person Information Column names in bold are required! Enter your accounts that are in the names of individuals, who will be designated as "Owners." In addition, list individuals who direct the trading of accounts, functioning as "Controllers." NOTE: Do not enter funds or organizations here. Enter funds and organizations in the Legal Entities tab. These three columns are optional. Enter the requested information if you have it. Address of the Natural Person Employer of the Natural Person Permissions Granted to Reporting Firms Enter the name of each indivdual ("Natural Person"). Please do not enter your account numbers. If the Natural Person already exists in the Portal, this field should include its unique OCR ID If the individual is Self Employed, indicate here. Otherwise, fill out the remaining Employer fields. Grant Reporting Firms permission to view your data and use it for reporting by placing an "x" under their name. Permissions are separately assigned for each Natural Person. If the Natural Person already exists in the Portal, this field will indicate the user responsible for managing it. Use this column to deactivate a profile in the Portal. This column will not be imported. This value will be in UTC time. Owner Controller Association For Legal Entity Owner: For Natural Person Owner: For Legal Entity Controller: For Natural Person Controller: State the relationship between the Owner and Controller Ocr Profile Id Legal Entity Name, OR First Name Middle Name Last Name Suffix Ocr Profile Id Legal Entity Name, OR First Name Middle Name Last Name Suffix Controller Relationship to Owner Enter the name of the fund, account, or trading entity exactly as you entered it in Column D of the Legal Entities tab. Enter the name of firm or organization exactly as you entered it in Column C of the Legal Entities tab. Enter the name of the individual "Natural Person" exactly as you entered it in Columns D-G in the Natural Persons tab. Enter the name of the individual Natural Person exactly as you entered it in in Columns D-G in the Natural Persons tab. All accounts that trade in futures must have at least one Natural Person Controller! Accounts that trade in swaps may have Legal Entity or Natural Person Controllers. Use this column to indicate relationship between your accounts and the individuals or entities that direct the trading. Account Controllers, who direct the trading of your accounts and funds Use Column H for firms and organizations or Columns I-L for individuals. Accounts and funds that engage in trading or swaps Use Column B for funds and other trading entities or Columns C-F for individuals. Account Owner and Controller Relationships Enter an "Owner " in each row, which may be either a Legal Entity or a Natural Person. Then enter the "Controller," either a Legal Entity or Natural Person. Futures Trading Accounts must include at least one Natural Person Controller. Enter multiple rows if there are multiple Controllers for one account. Use this tab to identify the person(s) or firm(s) that directs the trading for each of your funds, accounts, and other trading entities. We suggest that you copy and paste the names that you entered in the Legal Entities and Natural Persons tabs Enter the name of firm or organization exactly as you entered it in Column D of the Legal Entities tab. Enter the name of the fund, account, or trading entity exactly as you entered it in Column D of the Legal Entities tab. Enter the name of firm or organization exactly as you entered it in Column C of the Legal Entities tab. Enter the name of the individual "Natural Person" exactly as you entered it in Columns D-G in the Natural Persons tab. Enter the name of the individual Natural Person exactly as you entered it in in Columns D-G in the Natural Persons tab. All accounts that trade in futures must have at least one Natural Person Controller! Accounts that trade in swaps may have Legal Entity or Natural Person Controllers. Use this column to indicate relationship between your accounts and the individuals or entities that direct the trading. Account Controllers, who direct the trading of your accounts and funds Use Column H for firms and organizations or Columns I-L for individuals. Accounts and funds that engage in trading or swaps Use Column B for funds and other trading entities or Columns C-F for individuals. Account Owner and Controller Relationships Enter an "Owner " in each row, which may be either a Legal Entity or a Natural Person. Then enter the "Controller," either a Legal Entity or Natural Person. Futures Trading Accounts must include at least one Natural Person Controller. Enter multiple rows if there are multiple Controllers for one account. Use this tab to identify the person(s) or firm(s) that directs the trading for each of your funds, accounts, and other trading entities. We suggest that you copy and paste the names that you entered in the Legal Entities and Natural Persons tabs Enter the name of firm or organization exactly as you entered it in Column D of the Legal Entities tab. image2.wmf Confidential. ~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~ image3.wmf OCR105F v.3.3 OCR Data Spreadsheet image4.wmf FIA Tech OCR Data Spreadsheet Introduction The OCR Data Spreadsheet enhances the existing Portal with a streamlined and accessible means for submitting bulk reporting information. The information populates Profiles, which are the structures that we use to organize your data. Each Legal Entity or Natural Person that gets reported to the CFTC will have its own Profile. Once your completed OCR Data Spreadsheet is uploaded, your Profiles will be available within the OCR Portal for you to review and manage. Based on the Permissions that you have established, your Profiles will also be available to the Reporting Firms you have designated. These Reporting Firms will use your ownership and controller data when they submit their reports. How to Complete the OCR Data Spreadsheet From within the OCR Portal, you may either extract your existing Profiles into a spreadsheet to review them and make changes or download a blank spreadsheet to populate your Owner and Controller data from scratch. Both the extract and the blank spreadsheet follow the same formatting and are subject to the same validations upon upload. In each of the tabs that follow, you will be entering your data and setting Permissions for your Reporting Firms. Each tab asks for specific information and contains detailed instructions to guide you. The OCR Data Spreadsheet has three tabs: Legal Entities Captures required information for Legal Entities acting as Owners, Controllers, or as Employers of a Natural Person Natural Persons Captures required information for Natural Persons acting as Owners, Controllers, or as Main Contact for a Legal Entity. Owner Controller Association Establishes relationships between the Owners and Controllers listed on the first two tabs. Once your OCR Data Spreadsheet is complete, upload it to the OCR Portal. The status of your upload, along with any error messages, can be reviewed from the Dashboard. For Further Assistance Please let us know if you have questions or need assistance in any way as you prepare your OCR Data Spreadsheet . Phone: 202-772-3088. Email: ocr.support@fia-tech.com.