EFTA01268283.pdf

I ArruevE I:made Account Transfer Form Mall or Fax to: PO Box 2760 . Omaha, Na 68103-2760 Fox. Receiving Firm DTC Clearing Number: 188 Please use the Direct Registration System (ORS) Transfer Form TDA 100557 for transfer from a transfer agent. Instructions: Attach a complete copy of your most recent statement, of the account you are ragas:rating the transfer from, (dated within 90 days) in order for the transfer to be processed. Please submit the completed form to TO Ameritrade Attn: TO Amerltrade, PO Box 2760, Omaha, NE 68103-2760 or fax to 866-468-6268. To submit the completed and signed form(s) electronically through our secure Message Center, scan It, along with any other material you're sending. Then log in to your account and go to Client Services > Massage Center to write us, and attach the scanned document(s) to your message. "it you are requesting to transfer from your Qualified Retirement Plan, please contact your plan administrator; this form may not be required. it you are transferring between two TO At:twittede accounts, please use the Internal transfer form. Please now you cannot use this form to transfer from a standard checking account andtor savings account from a banklcredit union. For IRAs, and Beneficiary IRAs where the original owner was 7054 years °raider at death, please attach a copy°, your and of year statement to enable us to calculate the required Minimum &Unbutton for the account. 1. ACCOUNT INFORMATION.. , 2. PLEASE PROVIDE INFORMATION ABOUT THE Your 1D Amodtrado Account DELIVERING ACCOUNT (The registration of the account being transferred should match your (As directedin Section 1 Doak regisvation and max WSW:NI TD Anteritrade account and the Tax ID for both the TO Amentrade TO Amentrade account and account being transferred should match.) account end account being transferred.) Account Number (Required). Account Number (Required): (Only one per form) (Oivy one perform) Account Registra AecouMReolalreilonfrille: SOUTHERN FINANCIAL LLC SOUTHERN FINANCIAL LLC Sods' Se /Tax ID Number sods sea-40,1as ID Maitre: SSRBT 5.cvnty7l3 ur ID Numb.- Soda? Secunty/Tax ID Number: (Secondabt It appecebid (Secondary. a apprcebie) ContraiDolocnno Firm Name (Requirodb Account Typo (select one) DEUTSCHE BANK PRIVATE WEALTH MANAGMENT RJoInt lanais/Wu& - (Non IRA) Trust OTraditionai or Rdlover IRA El Roth IRA Elgenoliciary IRA ContneDaliverino Firm Addeo:sr 345 PARK AVE 26TH FLOOR NY,NY10154 C,. gmaYrdt. OCorp/Business O Beneficiary Roth IRA ❑ UCMAAJTMA El Qualified Plan (401k, 4038, POP etc.) ConttoDalinuing rem Cmail: oEstate El SIMPLE IRA El SEP IRA Account Typo (select ono) I:Other. O lndrvidual — (Non IRA) ❑ Traditional or Rollover IRA 0JOIN O Roth IRA EITrisat O Beneficiary IRA EIC0NYBUSIneSS O Beneficiary Roth IRA OUGMNUTMA El Qualified Plan (4osc. 4030. r0I1 ElEstate ❑ SIMPLE IRA El SEP IRA ElOlher If the registrations do not match, you may either establish a new account online at www.tdameritrade.com or you must supply additional documentation and all delivering aeorount owners mulct sign coction 4. For unlike etielregletratIon transfer; pleas* call the transfer department at 888-723-8504, option 4 for additional requirements. *Please note it there are any issues with processing your transfer, we will communicate that to you via your secure message center when you log In to your account. lull1111IIIfII III Peplc13 TDA 190 F Oarte SDNY_GM_00012159 CONFIDENTIAL EFTA_00122810 EFTA01268283 (Page 2 of 4) r °Amens/ids Pica # A. BROKERAGE FIRM TRANSFER (Unless otherwise indicated, TD &mikado mil transfer in Full) OFuti Transfer—Tn transfer entire arra mt. r.herk here and skip to SactInn 4 [Werth, Transfer—UM specific security and/or cash amount below. If bonds are being transferred, please supply the CUSP Only whole shares can be requested as fractional shares cannot be transferred. Please contact the delivering firm regarding your options. Asset Description (CUSIP or syrignY) Quantity Asset Description (CUSIP or symbol) Quantity (Poetise Transfer> Only) (Indoors et:Inhale shares rectal Transfers Orly) (Wale a *Arno., enema orALL7 orALL7 1. 04621XAK4 2,000,000 3. 30162RAA9 3,000,000 2. 172967JZ6 3,000,000 6. 361860208 80,000 3. 172967341 79.000 7. A29866A85 2.000.000 4. 17453BAW1 1,000,000 8. 46625HHA1 5,760,000 B. BANKfCREDIT UNION & ANNUITY TRANSFER Transfer cash only. Unless otherwise Indicated, all cash will be transferred. Banks, Annuity, and Trust Companies require Original Client Signature. Please mall the Original form to complete the transfer request. IRA Savings Accounts—Typically held with Bank/Credit Union. OTotal Transfer (Transfer entire account) O Wire (fees may apply) OPartia I Transfer (Transfer pert of account) Portion to transfer O Check Certificates of Deposit (CDs). ['Redeem my CD immediately. I am aware of, and acknowledge, that lam responsible for any penalties that I may incur from any early withdrawal. ORedeem my CD at maturity. Maturity Date: Submit request at least 21 days prior to maturity. Please advise your bank not to roll over your CO to a new term. Indicoto In II713 section whether you wish to liquidate the CD immediately or at Tottnity. For any investment inatniMents that have a renewal deadline, maturity date, surrender charge period/window etc., paperwork must be received by TO Ameritrade in good order three weeks prior to the firm deadline to allow /or proper processing times. To liquidate a CO held in a non-refirement account, confect the bank a credit union at which the assets are being held. Annuity Transfer OTransfer my Annuity O Fut/ O Partial $ O Wire • I have an annuity policy that I wish to transfer. Please redeem and terminate on my behalf. ❑ (lees may apply) am aware of, and acknowledge, that am responsible for any penalties that I may incur from n Check any early withdrawal. Select only one: Liquidate annuity in full or partial liquidation. If partial is selected, amount for partial must be included. TO Arnerltrade Is not responsible for the liming or execution of liquidations processed by the delivering firm. C. MUTUAL FUND COMPANY TRANSFER Check box for In-ItInd or Liquidation Transfer. Please list the Symbol or CUSP for the Mutual Fund(s) you wish to move. Unless otherwise indicated. TO Ameritrade will transfer shares in-kind. This section pertains only to shares of Mutual Funds held directly with the fund company, for brokerage accounts containing Mutual Funds and/or Stocks please complete the Brokerage Firm Transfer section (Section 3A. above). 'Proprietary Mutual Funds and all no.load Money Market funds cannot be transferred in•Idnd and must be liquidated. Quantity Handling Gains & Dividends Fund Name or Symbol Mutual Fund Account # (Indicate a ofshares a AU? (Check one) (Check one rfhalms) aln•Kind aReinveal Liquidate Cash In-land Liquidate OReirnest O Cash Oln•Kind pReiment OLiquidate LICash 'If you are transferring more funds than will 6f above, please include an attached list for the complete list of funds ❑wire 'A statement MUST bo included to ensure proper handling andprocessing of your Mutual Fund transfer (fees may taPPlY) Unless otherwise Indicated, I authonle the Transferor to liquidate anynon-trans:orate proprietary money market O Cheek and mutual fund assets that are parf of my account and to transfer the resulting credit balance to my armint with TO Arnenesda.11 the fund is unable to be hell by TO Amcwitrade, I (please initialhero) authorize the Transferor 10 liquidate and transfer as cash. Page20(3 TOA *OF 03718 SDNY_GM_00012160 CONFIDENTIAL EFTA_00122811 EFTA01268284 (Page 3 of 4) TO Amman:de Ama Registration Difference For uniam titled or typo trariefers, such at Individual to Joint. I authorize the transfer from account to SOCOunt. NI parties on the delivering account must sign below. All TO Amentrade parties must sign Si section 6 Icr transfer authorization. Count Sennett Mit X Chant Signature. Date: X Chau &annum: 5. ONE AND THE SAME LETTER (IFIIPPLICABLE) Dar. If you we transferring an account. and the name(s) at TD Amerittade do not exactly match but are dB one arid the same person, please cornplete this section. This section should be utilized if your name has changed due to one or more of the following. Moulage. (Divorce, Name Spelling CrTor. or any type of Name Change including Jr., Sr, etc. If last name difference, must supply legal documentation that is, state Issued drives license. patsprirt, nr grivernment ID (Pkiace T.perity arrant types, sort ac Individual In.hint) (please print name), am One and the Same as (please print name) as shown on the delivering firm account. (Please specify account types, such as Individual to Jo/nd Please sign name BOTH ways. dArr Signatia: 6. TD AMERI (RADE, CLIENTADTHORIZATION (REQUIRED)- X SIgnallet All TD Ameritrade account holders (clients or trustees) as Indicated by the account registration must sign this section. Unless otherwise indicated in the Instructions above, please transfer, Irkkind. an assets into my account with TD Amentrade. I understand that the extent any assets in my account are not readily transferable, with or without any penalties, such assets may not bo transferred within the time frames required by applicable regulations. I understand I will be contacted by the carrying and/or receiving firm with regard to any assets that are not transferable. I authorize the Transferor to deduct any outstanding fees due to transfer from the credit balance, or W the credit balance in the account is Insufficient to satisfy any outstanding feet II certificate, or other instrument, in my account are in your physical possession, I Instruct Transferor to transfer them in good deliverable form, Including affixing any necessary tax waivers, to enable the successor custodian to transfer them In Its name for the purpose of sale. when and as directed by me. I understand that upon retaking a copy of this transfer instruction, for a full account transfer. Transferor wil freeze my account and cancel all open orders. I also understand that no new orders mayAvill be taken. I affirm that I have destroyed or returned to the TIa fWQ, aedittdebit cards anWor unused checks issued to me In connection with my account. If this TO a acco t Is a qualified retirement account. I have amended the applicable plan to designate tho successor custodian. Alone if this TO Am trade account is an Individual Retirement Account (IRA), I have led an IRA plaint so that It names the successor custodian. (fitodolien Signature Guarantor/ - For TO Arrentraie Use Only) X 9icl Signahre: 7/075/xer Date: X 0s-OirmitTSifte: z X CceOrmer's 3 1u Date X Co-Owner's Saner...Fe. Dale The end- signed organizati' agrees to serve as successor custodian for the account of the above-named inenridual, and as custodian, we agree to accent I assets being Ira -erred (Medalbon Signature Guarantee- For TDPmeltrate Use Only) X Ftercelatin Signaler Representative PitntedNarnir 172.5/2o/ 1 For TO Ameritrade Cl ring. Please be advised tha TO of . use only °Tilted° Clearing, Inc. Is an 'Approved 403(b)(7) Vendor' and/or has enterEd into an Information Sharing Agreement with the Employer for the abovecaplioned 403(b)(7) account. The Employer/Agent Signature above hereby authorizes TD Ameritrade Clearing. Inc. to accept this exchange. Investment Products: Not FDIC Insured ' No Bank Guarantee ' May Lose Value To Ameritrade. Inc. and TO Ameritrade Clearing. Inc.. members FINRA/SIPC TO Amergrade is a trademark jointly owned by TO Amentrade IP Company, Inc. and The Toronto-Dominion Bar*. 0 2018 TO Ametitrade. Page Sof 3 TDA TOO F 03/11 SDNY_GM_00012161 CONFIDENTIAL EFTA_00122812 EFTA01268285 (Page 4 of 4) Page 1 From: "KOFAX PROD PROCESS" < Date: Mon, 25 Feb 2019 18:32:2 -0..00 To: Subject ACAT transfer from DB revised //- messagelD=103747981 //- caselD=58160354 Attachments: Attachment_20196564.zip, Attachment_20196565.zip From Address: Message ID: 103747981 Case ID: 58160354 Form Message FULL NAME: Richard Kahn ACCOUNT TITLE: SOUTHERN FINANCIAL LLC USERID: 867730320z ACCOUNT NUMBER: User-Agent: Mozillad5.0 (Macintosh; Intel Mac OS X 10.13; rv:65.0) Gecko/20100101 Firefox/65.0 ENVIRONMENT: invcstameritradecom Attached arc revised forms with signature on correct line #6. Thank you [ Attachment 1 Type: applicattonipdf Name: TD_Bank_ACAT_transfer_from_DB_2-25-2019_1_of 2.pcla [ Attachment 2 Type: application/11dt' Name: TD_Bank_ACAT_transfer_from_DB_2•25.2019 2_of 2.pdfl SDNY_GM_00012162 CONFIDENTIAL EFTA [X1122813 EFTA01268286