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Cost Original Cost Unrealized Gain/Loss Est. Annual Inc. Accrued Div. Yield 18.55 70,500.000 1,307,775.00 N/A ** N/A US Small Cap Equity APOLLO GLOBAL MANAGEMENT LLC 037612-30-6 APO Non-US Equity BOMBARDIER INC CL B 097751-20-0 BBD B 21.64 EFTA01547484 263,157.000 5,694,717.48 4,999,983.00 694,734.48
rtant information relating to each 3.P.Morgan account(s). Change In Value 18,779,991.73 0.00 $18,779,991.73 Start on Page 4 14 Client News J.P. Morgan Securities LLC's (JPMS LLC) and J.P. Morgan Clearing Corp.'s (JPMCC) Net Capital 1 EFTA01547472 and Net Capital Requirements At December 31, 2012, JPMS LLC's ne
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et Value/Cost Market Value Tax Cost Note: P indicates position adjusted for Pending Trade Activity. Equity Detail Price US Large Cap Equity P APOLLO GLOBAL MANAGEMENT LLC 037612-30-6 APO 19.00 263,157.000 4,999,983.00 4,999,983.00 Quantity Value Adjusted Tax Cost Original Cost Unrealized Gain/Loss Est. Annu
,298,939.77 0.00 $10,298,939.77 Change In Value (1,963,726.33) 0.00 ($1,963,726.33) 15 Start on Page 4 14 Client News 1 EFTA01556186 J.P. Morgan Securities LLC's (JPMS LLC) and J.P. Morgan Clearing Corp.'s (JPMCC) Net Capital and Net Capital Requirements At December 31, 2010, JPMS LLC's net capital of $6.8
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rent Market Value/Cost Market Value Tax Cost Unrealized Gain/Loss Estimated Annual Income Yield Equity Detail Price US Small/Mid Cap Equity APOLLO GLOBAL MANAGEMENT LLC 037612-30-6 APO Quantity Value Adjusted Tax Cost Original Cost Unrealized Gain/Loss Est. Annual Inc. Accrued Div. Yield Period Value 2,69
ue 2,796,707.11 0.00 $2,796,707.11 Change In Value (729,699.57) 0.00 ($729,699.57) 13 Start on Page 4 12 Client News 1 EFTA01556385 J.P. Morgan Securities LLC's (JPMS LLC) and J.P. Morgan Clearing Corp.'s (JPMCC) Net Capital and Net Capital Requirements At June 30, 2011, JPMS LLC's net capital of $11.3 bil
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Current Market Value/Cost Market Value Tax Cost Unrealized Gain/Loss Estimated Annual Income Yield Equity Detail Price US Small Cap Equity APOLLO GLOBAL MANAGEMENT LLC 037612-30-6 APO 14.28 263,157.000 3,757,881.96 4,999,983.00 (1,242,101.04) 484,208.88 12.89% Quantity Value Adjusted Tax Cost Original Co
important information relating to each 3.P.Morgan account(s). Change In Value (24,537.25) 0.00 ($24,537.25) Start on Page 4 12 Client News J.P. Morgan Securities LLC's (JPMS LLC) and J.P. Morgan Clearing Corp.'s (JPMCC) Net Capital 1 EFTA01556585 and Net Capital Requirements At December 31, 2011, JPMS LLC's ne
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Current Market Value/Cost Market Value Tax Cost Unrealized Gain/Loss Estimated Annual Income Yield Equity Detail Price US Small Cap Equity APOLLO GLOBAL MANAGEMENT LLC 037612-30-6 APO 14.66 263,157.000 3,857,881.62 4,999,983.00 (1,142,101.38) 252,630.72 6.55% Quantity Value Adjusted Tax Cost Original Cos
important information relating to each 3.P.Morgan account(s). Change In Value 306,452.61 0.00 $306,452.61 Start on Page 5 13 Client News J.P. Morgan Securities LLC's (JPMS LLC) and J.P. Morgan Clearing Corp.'s (JPMCC) Net Capital 1 EFTA01556775 and Net Capital Requirements At June 30, 2012, JPMS LLC's net ca
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30 EFTA01569429 GHISLAINE MAXWELL Note: P indicates position adjusted for Pending Trade Activity. Equity Detail Price US Large Cap Equity P APOLLO GLOBAL MANAGEMENT LLC AT&T INC PFIZER INC 037612-30-6 APO 30.61 00206R-10-2 T 20.31 717081-10-3 PFE PROSHARES ULTRASHORT S&P 500 PROSHARES TRUST Total US Large C
Table of Contents Account Summary Holdings Equity Alternative Assets Cash & Fixed Income Portfolio Activity Page 2 4 7 8 13 Client News J.P. Morgan Securities LLC's (JPMS LLC) and J.P. Morgan Clearing Corp.'s (JPMCC) Net Capital and Net Capital Requirements At December 31, 2010, JPMS LLC's net capital of $6.8
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of 17 Consolidated Statement Page 43 EFTA01547121 SOUTHERN FINANCIAL, LLC ACCT. • For the Period 9/1/13 to 9/30/13 Price US Small Cap Equity APOLLO GLOBAL MANAGEMENT LLC 037612-30-6 APO US Small/Mid Cap Equity DEUTSCHE BK AG LDN BRH DBL LONG ETN38 25154H-55-8 DAG SANGAMO BIOSCIENCES INC Total US Small/Mid Cap E
account(s). Change EFTA01547037 In Value (37,587,610.17) 0.00 39,328,582.86 0.00 $1,740,972.69 Start on Page 4 38 39 56 Client News J.P. Morgan Securities LLC's (JPMS LLC) and J.P. Morgan Clearing Corp.'s (JPMCC) Net Capital and Net Capital Requirements At June 30, 2013, JPMS LLC's net capital of $13.8 bil
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Mutual Connections (53)
Entities connected to both Apollo Global Management and J.P. Morgan Securities LLC's
Jeffrey Epstein
PERSON169 w/ Apollo·4 w/ J.P.
JPMorgan Chase
ORGANIZATION38 w/ Apollo·77 w/ J.P.
the Internal Revenue Service
ORGANIZATION39 w/ Apollo·50 w/ J.P.
Net Capital Requirements
ORGANIZATION8 w/ Apollo·76 w/ J.P.
Newark
LOCATION32 w/ Apollo·48 w/ J.P.
Securities Investor Protection Corporation
ORGANIZATION33 w/ Apollo·46 w/ J.P.
Paul Barrett
PERSON32 w/ Apollo·30 w/ J.P.
Ghislaine Maxwell
PERSON16 w/ Apollo·43 w/ J.P.
Paul Morris
PERSON26 w/ Apollo·31 w/ J.P.
FDIC
ORGANIZATION31 w/ Apollo·26 w/ J.P.
Nassau
LOCATION18 w/ Apollo·32 w/ J.P.
JG
Jason Grosse
PERSON8 w/ Apollo·27 w/ J.P.
Justin Trudeau
PERSON18 w/ Apollo·16 w/ J.P.
JN
Justin Nelson
PERSON13 w/ Apollo·16 w/ J.P.
Global Access Portfolios
ORGANIZATION10 w/ Apollo·16 w/ J.P.
NEW YORK NY
LOCATION23 w/ Apollo·3 w/ J.P.
American Century Funds
ORGANIZATION12 w/ Apollo·11 w/ J.P.
CITIGROUP CAPITAL XIII
ORGANIZATION4 w/ Apollo·17 w/ J.P.
Bank of America
ORGANIZATION3 w/ Apollo·18 w/ J.P.
American Century Investment Management Inc.
ORGANIZATION11 w/ Apollo·8 w/ J.P.