EFTA01518890.pdf

For the Period 9/1/13 to 9/30/13 Account Summary Account Beginning Net Ending Net Change Start on Client News Number Market Value Market Value In Value Page J.P. Morgan Securities LLC's (JPMS LLC) and J.P. Morgan Clearing Corp.'s (JPMCC) Net Capital Investment Account(s) and Net Capital Requirements GHISLANE MAXWELL 5,139,274.77 5,188,385.84 47,091.07 4 At June 30, 2013, JPMS LLC's net capital of $13.8 billion GHISLAME MAXIAELL 430.00 430.00 0.00 38 exceeded the minimum regulatory net capital GHLSLAME MAXIAELL • OAP RID 1,734,284.94 1,851,249.95 118,985.01 43 requirement of $1.8 billion by $12.0 billion. JPMCC's net GHISLAME WUMELL • TAP DVS 997,197.48 1,011,717.77 14,520.29 58 capital of $6.7 billion was approximately 7.9% of GHISLAINE MAXWELL • TAP ARR 987,444.55 993,184.92 5,740.37 71 aggregate debit items and exceeded the minimum Total Value $8,868,811.74 $9,042,848.48 $184,338.74 regulatory net capital requirement of $1.7 billion by $5.0 billion. This account summary is provided for informational purposes and includes assets at different entities. Complete copies of JPMS LLC's and JPMCC's individual unaudited Statement of Financial Condition may be (1) Assets held at JPMorgan Chase Bank, N.A., member Federal Deposit Insurance Corporation ("FDIC"), except for exchange- obtained, at no cost, by accessing: listed options, which are held at JPMorgan Clearing Corporation ("JPMCC"). The Asset Account Statement reflects brokerage transactions executed through J.P. Morgan Securities LLC ("JPMS"), see "Portfolio Activity Detail'. Equity securities. fixed income http:/finvestor.shareholder.comfjpmorganchaseffinancial- securities, and listed options transactions are generally cleared through JPMCC. a wholly owned subsidiary of JPMS. Please see condition.cfm 'Additional Information About Your Accounts" at the end of the Asset Account Statement. Additionally, you may call 1-866-576-1300 to request a (2) Assets held In Margin Account at JPMCC, member Financial Regulatory Authority ("FINRA") and Securities Insurance Protection hard copy of the statement. Corporation (' SIPC"). The Margin Account Statement reflects brokerage transactions executed by JPMS. see "Portfolio Activity Detail". Such transactions are cleared and carried through JPMCC. A misclassification occurred in your June and July month-end statements, whereby some taxable Please see disclosures located at the end of this statement package for important information relating to each J.P.Morgan account(s). transactions were categorized as non-taxable and vice versa. All transaction details are now properly categorized in your account. Please note that this misclassification did not impact the transaction values or any holdings or market value(s) in your account(s). The impacted summary sections have been adjusted and display properly categorized values in the August month-end statements. If you would like an updated statement for June or July, please reach out to your J.P. Morgan learn. Consolidated Statement Page 1 J.P.Morgan Confidential Treatment Requested by JPMorgan JPM-SDNY-00046148 Chase CONFIDENTIAL SDNY_GM_00315346 EFTA01518890