EFTA01297798.pdf

NAME SEARCHED : Southern Financial LLC PWM BIS-RESEARCH performed due diligence research in accordance with the standards set by AML Compliance for your business. We completed thorough searches on your subject name(s) in the required databases and have attached the search results under the correct heading below. Significant negative media results may require escalation to senior business. Legal and Compliance management. Also, all accounts involving PEPs must be escalated. Search: Result: Click here for results: Reviewer Comments (as necessary): No Hit • Not Required RDC I. RDC Results No RDC alert (Please sox attached) • I lit I21 No Hit 0 Not Required FIRCOSOFT II. FIRCOSOFT Results No FIRCOSOFT alert (Please sec atlachcd) E Hit There was no information found E Yes - r No HI. Negative Media 1315 ID Not Required IV. Non-Negative Media There was no information found V. Other Lawman Media There was no information found Results? Er Yes CI No vi. D&B Result found(Pleasc sec attached) D&B Il Not Required There was no information found Stnanlinx Results? 0 Yes .11 No II Not Required VII. Smartlinx 0 Review by Legal May There was no information found Court Cases be Required No Results VIII. Court Cases El 0 Search not requval Prepared by: Rccna Cbandwani Datc:07/24/2018 Research Analyst Instructions: I. Review and confirm that all results arc returned for your client. 2. Please note that you are still required to perform any Martindale-Hubbell search (if applicable) on each search subject. We have attached the wch link below for your conveniencc:hfarlindalc-Hubbellhttp://www.marlindale.comhp/Martindak/home.xml 3. As needed, provide comment for any negative results. 4. If applicable, please obtain clearance from Compliance for all alerts. 5. Save any changes you make to this document and attach file to your KYC. Please note: Submission of a signed KYC is your confirmation that you have fully reviewed the research documents. For internal use only For internal use only Stifir_GM_00061266 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDENTIAL DEI-SDNY-0024091 EFTA_00171778 EFTA01297798  OFAC RESULTS RDC: 11636700 Not Alerted KYC 01946825 S Country:UNITED STATES i Southern Financial LLC FIRCOSOFT: Alert(s) Request ID Record ID Type Name Details ADM INT PEP SAE Southern 21371624 WR_213716242182 Company Financial No Alert No Alert No Alert No Alert LLC BIS RESULTS Negative Media: There was no information found Non-Negative Media: There was no information found Other Language Media: There was no information found Public Records: There was no information found D&B: Copyright 2018 Dun & Bradstreet, Inc For internal use only For internal use only SDNY_Grvi_00061267 CONFIDENTIAL — PURSUANT TO FED R.QQN(F IDENTIAL DB-SDNY-0024092 EFTA_00171779 EFTA01297799  Page 2 Worldbase, 01/07/2011, SOUTHERN FINANCIAL LLC dunb brac street Worldbase January 7, 2011 SOUTHERN FINANCIAL LLC 430 DOUGLAS AVE (registered address) ALTAMONTE SPRINGS, FL 327142506 USA COUNTY: SEMINOLE REGION: NORTH AMERICA COMMUNICATIONS TELEPHONE: COUNTRY CODE: 0001 CABLE TELEX: NNYNNNP COMPANY IDENTIFIERS DUNS: 14-388-2210 COMPANY INFORMATION • " * * ****** EMPLOYEES HERE: 2 - Estimate EMPLOYEES TOTAL: 2 - Estimate COMPANY TYPE: Private EXECUTIVES CEO: D HARRIS. PRINCIPAL DESCRIPTION INVESTMENT ADVICE For internal use only For internal use only SDNY_GM_00061268 CONFIDENTIAL - PURSUANT TO FED. R.ctr1;fi(E IDENTIAL DB-SDNY-0024093 EFTA_00171780 EFTA01297800  Page 3 Worldbase, 01/07/2011, SOUTHERN FINANCIAL LLC MARKET AND INDUSTRY SIC CODES: 6282 - Investment advisory service LOAD-DATE: June 22, 2018 LEGAL RESULTS: Court Cases: There was no information found For internal use only For internal use only SDNY_GM_00061269 CONFIDENTIAL - PURSUANT TO FED. R.QQN(F IDENTIAL DB-SDNY-0024094 EFTA_00I7178I EFTA01297801