EFTA01359547.pdf

Southern Financial LLC salesforce.com - Unlimited Edition Page 3 of 12 Description Investment Guidelines Initial Financial Review High Risk Updates/ACU Exemptions Exemption Status Annual Client Update 8/25/2016 Due Date Auto Exempt Reason Overdue (1=Yes) 0 Exemption Reason Past-Due Explanation Other (describe High Risk InPerson 2016 reason) Meeting Due Year Birthdate Lending Review Due Date ACU held in Customer ACU on this Customer also Cover Contacts Southern Financial LLC Salutation Primary Main Contact Phone Primary Phone Type Email Fax Mobile Description DB Accounts N4G023804 - SOUTHERN FINANCIAL LLC 42952771 - SOUTHERN FINANCIAL LLC Account Id Account Contact Name Southern Financial LLC Contact Name ut ern Financial LLC Product Name Brokerage Advisory Product Name Deposit Transactions Market Value $108,959,911.00 Market Value $2,212,470.13 Date Opened 8/26/2013 Date Opened 9/5/2013 Active ✓ Active Balance As Of 9/25/2015 Balance As Of 9/25/2015 Description Description N4G025080 - SOUTHERN FINANCIAL LLC N4G026161 - SOUTHERN FINANCIAL LLC Account Id Account Id Contact Name ou tern mancial LLC Contact Name Southern Financial LLC Product Name Brokerage Advisory Product Name Brokerage Advisory Market Value $0.00 Market Value $8,554,181.00 Date Opened 10/8/2013 Date Opened 11/4/2013 Active ✓ Active Balance As Of 9/25/2015 Balance As Of 9/25/2015 https://dbforcepb.my.salesforce.com/00 I 6000000qaNVw/p?retURL=100I6000000qaNVw 9/28/2015 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0047632 CONFIDENTIAL SDNY_GM_00193816 EFTA01359547