EFTA01252212.pdf

(Page 1 of 4/ Trading Authorization Agreement 1D Ameritrade PO Box 2760 . Omaha, NC 68103-2700 Fax: 866-468-6268 If you are wanting to add an Authorized Agent/Deicer/Partner In the arena& and not a Full Trading/I imited Trailing Authorizelinn. please snhmil the Entity Authorized Agent Form T0A 1187 located within the forms library: htrosiNfriwtdameritrade.com/form-lixary Account Number: Account Narnenide: C" 4 'V 4 --- ()Tne-ICN b./ 1 1 The Account Ovener(s) fisted below hereby authorizes and appoints the Authorized Agent(s) below as the Aeo3unt Owners or Genets' agents and attorneys-in-fact for the purchase and sale of securities and other financial instruments in cash andior on margin In the Account Owner's or Owners' name or number on the TD Ameritrade Clearing, Inc. (the 'Clearing Fir ni") bucks (Wu -Amount). The Autlextzed AgeiM(s) may ad (Al behalf of and without notice to the Account Owner(s) to buy, sell, sell short, and to otherwise trade stocks, bonds, mutual funds, options, and/ or any other securities. financial enntractg. or financial instniments Trading Authorization does not allow your Authorized Agent to instruct the Brokerage Firm to make any changes to the Account Cumer(s) Account, such as address of record, suitability information, or to upgrade the Account to trade on margin or to trade options. The actions of the Authorized Agent(s) have the same force and effect as those of the Account Owner(s) with respect to such transactions, TO Ameritrade, Inc. (the 'Brokerage Firm') Is authorized to follow such actions as if directly instructed by the Account Owner(s). The Authorized Agent(s) represents they are familiar with the Account Owner(s) investment objectives, fnanciai situation, and needs, arid will Invest In a manner consistent with these objectives. Tne Ceent Agreement set form in me Account Agreement and all other agreements applicable to this Account, shall apply equally to (he Authorized Agent(s). It I-I/ trading Authorization is chosen, this authority includes the right to request delivery of searifies or monies from the account in the Account Owner's or Owners' name(s). If this Is a fdu0ary account, the Account Ovmer(s) afferris that this grant of trading authority has been conferred consistent with hisiher fiduciary duties and powers. The Account Owner(s) understands all such transactions conducted by the Authorized Agent(s) are at the Account Owner's or Owners' own risk. The Account Ovmer(s) hereby ratifies and confirms any and all transactions made at any time by the Authorized Agent(s) for the Account. Accordingly, me Account Owner(s) agrees to indemnity and hold harmless the Brokerage Firm and Clearing Firm from any and all losses arising from and to prompUy pay on demand any debit balance due on the Account. The Brokerage Firm and Clearing Firm assume no responsibility for trade monitoring or reviewing any Investment activity or decision of the Authorized Agent in the Account Owner(s) account. Further the Brokerage Firm or Clearing does not offer legal or tax advice. This authorization and indemnity is in addition to, and n no way limits or restricts, any rights which the Brokerage Firm cx Clearing Finn may have under any other agreement with the Account Owner(s) or Authorized Agent(s). This authorization and indemnification shall benefit the Brokerage Firm and Clearing Firm, and any st entssrw firms irrespective of any changes at any rime in the personnel thereof, and their assigns. This Trading Authorization Agreement supersedes any prior Trading Authorization Agreements that the Account Owner(s) may have executed with regard to the Account. This Agreement shall remain in full force and effect until revoked by the Account Owner(c), written notice addressed to the Brokerage Firm and delivered to its offices. The Account Owner(s) shall be liable for transactions initiated prior to the Brokerage Firm's receipt of such written revocation. The Authorized Agent(s) agrees to immediately notify the Brokerage Firm in writing if any Authorized Agent(s), or members of his her household, are either a) currently employed or licensed by a member of a stela exchange or the Financial Industry Regulatory Authority (FINRA). n registered as an investment advisor and using the license in a professional sates, trading, or customer service capacity, orb) a member of the board of directors, 10% shareholder, or poficy-making officer of a company which trades publicly on a stock exchange. To help the government light the funding of terrorism and money laundering activities, financial institutions obtain and record information in order to ensure the identity of each person authorized to trade on en account. What this means for you: When you are authorized to trade on an account, we will ask for your name, address, date of birth, and other information that will allow us to Identify you. We may also utilize a third-party Information provider far verification purpntoc anzlinr ask for a copy of your drivers license or other identifying documents. IIIIIIIIIIIII S0NYGM_00012191 CONFIDENTIAL TDA 073F Odle EFTA_00122842 EFTA01252212 (Page 2 of aI AtfOlteyidentifielloptionao: AFFILIATIONS OCheck here if any Aadhnriyert Agent Is a member of the board of directors, 10% shareholder, or policy-making officer of a publicly traded company Specify the name of the Authorized Agent, the company Ucker symbol, name, address. city, and stale/province: Check here if any Authorized Agent is licensed or employed by a registered broker/dealer. securities exchange, or member of a securities exchange. We must receive a compliance letter along with this application. Specify the name of Me Authorized Agent. LICheck here if any Authorized Agent(s) Is. or is employed by, a federal or state registered Investment Advisor. Are you using your license in a professional sale or trading capacity on this account? EJ Yes No El AUTHORIZED AGENT COMPENSATION ['Check here if any Authorized Agent is being compensated for providing investment alvitx. piaciny b Ades. u UttluneriSU Managing your au:wnt. AUTHORIZED AGENT* el of Authorization: (check only one). If neither Full or Limited Is marked, the authorization level will default to Limited. : Full Trading Authorization with Privileges to Withdraw Money and/or Securities (Not applicable on IRA, UTMA, UGMA, Estate, or Trust Accounts; authorization level will default to Limited.) ElLimited Trading Authorization for Purchase and Sale of Securities Only Name Prefix fopliOnar): J*. Dmrs. EMS. nor. DRev. ott New YOLK ZIP Cods. / 6102 PleasesOON if You Are: Source of Income Centered or unernoloYerlk UUMitdevel Lifted(' Domenbas, ostwen, Th ell-Employed EmployerName. iiii3ght Occupelion/Typs of Business: 45.50006 ji:c. rj r () J O Lev;vO 4venive , 9th fl oat Employer Vail Address: Stew y ZIP Code: City /006V Yard< AJ /00a 42 'Signature required below "If you OD not nave a Social Security Number, please submi a photocopy of your passport ands copy of a ban or brokerage Statement SDNY_GM_00012192 ihf•Itir It • IWO CONFIDENTIAL MA 073 F 04/18 EFTA_00122843 EFTA01252213 Mugu 3 of 0 Account Number AUTHORIZED AGENT:* Level of Authorization: (check only one). M neither Full or Limited is marked, the authorization level will default to Limited. OFull Trading Authorization with Privileges to Withdraw Money and/or Securities (Not applicable on IRA, UTMA, UGIAA. Estate, or Trust Accounts; authorization level will default to Limited.) IDLImIted Trading Authorization for Purchase and Sale of Securities Only Name Prefix (optional): UMr. Dirs. UMs. UDr. UPev. Full Legal Name: RelationsNo to Account Owner Date of Birth: Social Security Number:" (MMiDO-YYYY) (SSN) Home Address: Primary Phone: (no PO box a mail drop) City: State: ZIP Code: Please Specify if You Are: Source of Income (dretired Or unemployed): OUnemPloyed ❑Retired ❑Homemaker ❑Student DISeilErneroYed Employer Name: OccoPalionITYPe ol Business' Employer Street Address: City Sale ZIP Code: 'Signature required below -"it you do not nave a sociat secunty Number, please submIt a pnotocopy of your passport and a copy of a on a orowniee statimem TRADING AUTHORIZATION By our signatures bejcw,-the-Aceount Owner(s) and Authorized Agent(s) agree to the provisions within this document in its 'Minty. and attest that this authorization supers tes any prior trading authorization the Account Owner(s) may have executed with regard to the Account. Furthermore, M!! ount Owner(s) and4 uorized th Agent(s) acknowledge that the Brokerage Firm or Clearing may refuse to approve, or remove. the Authorizer Agent(s) horn acting the Account Owner(s) agent on this, or any other acccunL All Account Owners and Authorizri Agents must sign. X Account Ovmer's _ `Te e E p sej Date' 07 /.3 /20/9 Account Co-Owner's Signore. Date: X Original signature required; CleCtsgel rn gate ander signature fonts are not authorized. Authorized Agent's &Qualm,: Dale: X Atehcrized Agent's Signature: Date: /3 20/9 Original signature required; electronic signatures and/or signature fonts are not authorized. Investment Products: Not FDIC Insured • No Bank Guarantee ' May Lose Verge TD Ameritrade, Inc. and TD Ameritrade Clearing, Inc., members FINRA/SIPC. TD Ameri rade is a trademark jointly owned by TD Ameritrade IP Company, Inc. and The Toronto-Dominion Bank. 0 2018 TD Ameritrade. SONY_GM_00012193 CONFIDENTIAL IDS 073 04118 EFTA_00122844 EFTA01252214 (Page 4 o! 1) Page 1 From: "KOFAX PROD PROCESS" <Tea [email protected]> Date: Thu, 21Feb 2019 13:47:28 -0500 To: [email protected] Subject: Tra //- messagelD=103669324 //- caselD=58110010 Attachments: Attachment_20167147.zip From Address: [email protected] Message ID: 103669324 Case ID: 58110010 Form Message FULL NAME: Richard Kahn ACCOUNT TITLE: SOUTHERN FINANCIAL LLC USERID: ACCOUNT NUMBER: User-Agent: Mozilla/5.0 (Macintosh; Intel Mac OS X 10.13; rv:65.0) Gecko/20100101 Firefox/65.0 ENVIRONMENT: invcst.amcritradc.com attached is trading authorization for Richard Kahn, Thank you [ Attachment I Type: appheation/pdf Name: TD_-_Tradtng_Authorimtion_Agreement_-_Feb 2019.pdf] SDNY_GM_00012194 CONFIDENTIAL EFTA_00122845 EFTA01252215