EFTA01398943.pdf

Nicoletti Customer Number Customer Name Type * High Risk * Moderate Risk Annual Client Update Due Dat Exempt Reason Exemption Reason Customer Owner Alpern, Jerome Client N Y 5/3/2017 Andrea Nicoletti Adam J. Goodman Lifetime Revocable Trust Client N N 5/4/2017 Andrea Nicoletti L. Weicker 1950 Trust FBO T. Weicker Client N N 5/5/2017 Andr ea Nicoletti L P Weicker Est L P Weicker Jr Etal Tr Client Y N 5/5/2017 Andr Joan M Kettenmann Trust Client N N 5/9/2017 Andrea Nicoletti Limestone Partners Client Y N 5/10/2017 Andrea Nicoletti BRENT, AVERIL R Client N 5/16/2017 Andrea Nicoletti Bailey, Lilly Beecher Client N N 5/18/2017 Andrea Nicoletti Wang, Shu Fang Client N 5/19/2017 Andrea Nicoletti Marty s Dorothy Silverman Foundation Client N 5/20/2017 Andr Leggett III, John D. Client N 5/20/2017 Andrea Nicoletti Schultz, Michael Client N N 5/24/2017 Andrea Nicoletti Isles, Christopher Client N 5/24/2017 Andrea Nicoletti The Mikael M. Purne and Judith Torres Purne Family Trust Client N N Andrea Nicoletti Sussek, Randall Client N 6/3/2017 Andrea Nicoletti Majerholc Esq., Norbert Client N N 6/7/2017 Andrea Nicoletti Laplante, Eric H Client N N 6/13/2017 Andrea Nicoletti Friedman, Solomon P. Client N 6/16/2017 Andrea Nicoletti Walsh, Michael J. Client N N 6/30/2017 Andrea Nicoletti Mtb Holdings Client N 7/5/2017 Andrea Nicoletti Cohen, Edwin Client N 7/6/2017 Andrea Nicoletti Friedberg, Richard Client N N 7/21/2017 Andrea Nicoletti Mathez, Hugues Client N 7/21/2017 Andrea Nicoletti Michael s Mary D. Benziger Family • Trust Client N 7/26/2017 Andr Felice L. Zambetti 1992 Family Trust Client N 8/2/2017 Andr ea Nicoletti Rutherfurd Jr., Esq., Winthrop Client N Y 8/2/2017 Andrea Nicol etti Silverstein, Roger A. Client N Y 8/2/2017 Andrea Nicoletti Trust Uwo Joseph Causin Client N N 8/4/2017 Andrea Nicoletti Olmsted, Alexandra M. Client N Y 8/16/2017 Andrea Nicoletti Tran Ventures Llc Client N N 8/16/2017 Andrea Nicoletti Tran, William Client N N 8/16/2017 Andrea Nicoletti Lisa Stewart Family Trust under Article 1.0 Client N N 8/17/2017 etti Castleman, Lauriston Client N Y 8/22/2017 Andrea Nicoletti Fouty, Claudia Client N 8/23/2017 Andrea Nicoletti Quattrocchi, Lisa Client Y N 8/29/2017 Andrea Nicoletti Benenson Funding Corporation Client 8/29/2017 Corporate/PI Tther Entity Accounts - See Owner/Siganatory's ACU Andrea Nicoletti 332 East 84 Street Owners Corp. Client Y N 8/29/2017 Corporate/PI C/Other Entity Accounts - See Owner/Siganatory's ACU Andrea Nicoletti 1447 Mccombs Road, Llc Client Y N 8/29/2017 Corporate/PIC/Other iiiiiiiiiiirnts - See Owner/Siganatory's ACU Andrea Nicoletti The Benenson Investments Co Client Y N 8/29/2017 Corporate/PI iiiiiiiiiiiity Accounts - See Owner/Siganatory's ACU Andrea Nicoletti Edward H. Benenson of Connecticut LLC Client Y N 8/29/2017 Corp orate/PIC/Other Entity Accounts - See Owner/Signatory's ACU Andrea Nicoletti HRR Associates LLC Client Y N 8/29/2017 Corporate/PIC/Other Entit Accounts - See Owner/Signatory's ACU Andrea Nicoletti AMLI Holding Co. II Client Y N 8/29/2017 Corporate/PIC/Other Entity Accounts - See Owner/Signatory's ACU Andrea Nicoletti Thorne, Alta Client N N 8/30/2017 Andrea Nicoletti McConnell, Sandra M. Client N Y 8/31/2017 Andrea Nicoletti Thorne, Daniel K. Client N Y 9/6/2017 Andrea Nicoletti Fremina Client Y 9/6/2017 Andrea Nicoletti Hans W. Mathiesen Trust Client N N 9/8/2017 Andrea Nicoletti Minafre Client Y 9/8/2017 Andrea Nicoletti THE RICHARD ZINMAN 2000 INSURANCE TRUST Client N Y 9/9/2017 Andr ea Nicoletti THE AUDREY ZINMAN 2000 INSURANCE TRUST Client N 9/9/2017 Andr ea Nicoletti Alice M Ripley Trust Client N N 9/12/2017 Andrea Nicoletti O'Hara, Mary J. Client N N 9/13/2017 Andrea Nicoletti Rooney Jr, Paul C Client N Y 9/13/2017 Andrea Nicoletti Kristen L Mc Connell Tr U/a Dtd 3-2-02 Client N 9/14/2017 Andr ea N co ett Windels, Mary H Client N N 9/19/2017 Andrea Nicoletti ANNA G L MC CONNELL TR U/A DTD 3/2/02 Client N N 9/21/2017 Andr ea Nicoletti EFTA01398943  Robert Sterling Clark Foundation Client N 9/22/2017 Andr Kahn, Anthony F Client N 9/22/2017 Andrea Nicoletti Causin, Mary B. Client N 9/23/2017 Andrea Nicoletti Elene De Saint Phalle Revocable Trust UA 8/2/04 Client N N 9/23/2017 Andrea Nicoletti Fioravanti, Olga Client N N 9/28/2017 Andrea Nicoletti Boussard, Jean Luc M Client N 9/28/2017 Andrea Nicoletti Bomonti, Nancy M. Client N N 9/29/2017 Andrea Nicoletti Amon III, Carl H Client N 9/29/2017 Andrea Nicoletti CAROL A BENZIGER REV TR 10-18-02 Client N 9/30/2017 Andr Peigney, Gilles Client N Y 10/3/2017 Andrea Nicoletti Colvin, Geoffrey J. Client N N 10/5/2017 Andrea Nicoletti Donovan, Thomas F. Client N N 10/7/2017 Andrea Nicoletti Windels III, Paul Client N N 10/11/2017 Andrea Nicoletti Article Fourth Trust U/W/O of Ruth Harrison Client N 10/11/2017 n rea ico etti Irving Sitnick TTEE, James H. Michaels Insurance Trust Client N Y 10/1 ea Nicoletti :=1 Irving Sitnick TTEE, Sharon Anne Neubauer Insurance Trust U/I/D 3/28/80 Client N 1.....11/2017 Andrea Nicoletti Irving Sitnick TTEE, Frank Neubauer 1990 Trust Client N Y 10/11/2017 Andrea Nicoletti Irving Sitnick TTEE, Deborah R. Neubauer Insurance Trust U/I/D 3/28/80 Client N 11/2017 Andrea Nicoletti Irving Sitnick TTEE, Tamara L. Neubauer Insurance Trust U/I/D 3/28/80 Client N Andrea Nicoletti Windels, James H. Client N N 10/12/2017 Andrea Nicoletti iiIIIIIIiii11/2017 Donovan Esq., Maureen D. Client N N 10/12/2017 Andrea Nicol etti Harbor House Trust Client N 10/12/2017 Andrea Nicoletti Estate of Alice M. Ripley Client N N 10/12/2017 Andrea Nicol Gerard N. Benziger Revocable Trust U/A Dated 10/18/02 Client N N 10/1 4/2017 Andrea Nicoletti Olmsted, Stephanie Client N N 10/17/2017 Andrea Nicoletti Lotos Club Client N Y 10/18/2017 Andrea Nicoletti The Lotos Foundation, Inc. Client N Y 10/18/2017 Andrea Nicol The Lotos Club Pension Plan Client N N 10/19/2017 Andrea Nicol etti Thomas F Donovan Trust Client N N 10/19/2017 Andrea Nicoletti Elizabeth A. Donovan Trust Client N N 10/19/2017 Andrea Nicol etti Alpern, Enid L. Client N 10/21/2017 Andrea Nicoletti Holzer, Chaytor Client N 10/21/2017 Andrea Nicoletti NAMADA Florida LLC Client N Y 10/24/2017 Andrea Nicoletti Namada Partners, G.P. Client N Y 10/24/2017 Andrea Nicoletti Wolff, Sarah Eppler Client N • 10/24/2017 Andrea Nicoletti Moskin Esq., Morton Client N N 10/24/2017 Andrea Nicoletti Colvin, Jeremy Paul Client N • 10/24/2017 Andrea Nicoletti Eppler, Alexander James Client N N 10/24/2017 Andrea Nicoletti Grossman, Matthew A. Client N N 10/24/2017 Andrea Nicoletti Wolff, Jacob A. Client N 10/24/2017 Andrea Nicoletti Ruthe Eppler Trust FBO Michael Benjamin Eppler Client N Y 10/24/2017 Andrea Nicoletti Ruthe Eppler Trustee FBO Jeremy Colvin U/A DTD 11/22/94 Client N Y 10/2 Nicoletti iliiiilliiirea Ruthe Eppler Trustee FBO Leigh Colvin U/A DTD 11/22/94 Client N rea Nicoletti Y 10/2 Michael Benjamin Eppler Client N • 10/24/2017 Andrea Nicoletti JAL Management I LLC Client N N 10/24/2017 Andrea Nicoletti Colvin, Leigh Elizabeth Client N N 10/24/2017 Andrea Nicoletti Wolff, Matthew Client N 10/24/2017 Andrea Nicoletti LAJ Management I, LLC Client N N 10/24/2017 Andrea Nicoletti Eppler, Ruthe Client N 10/24/2017 Andrea Nicoletti WEC Associates, LLC Client N N 10/24/2017 Andrea Nicoletti EPPCO Holdings LLC Client N Y 10/24/2017 Andrea Nicoletti NEW Aspen LLC Client N 10/24/2017 Andrea Nicoletti MEC Aspen LLC Client N 10/24/2017 Andrea Nicoletti Nancy Eppler Wolff 2012 GST Trust Client N 10/24/2017 Andr ea Nicoletti Marcia Eppler Colvin 2012 GST Trust Client N N 10/24/2017 Andr ea Nicoletti David M. Eppler 2012 GST Trust Client N N 10/24/2017 Andrea Nicol etti Article FOURTH GST Exempt Trust fib/0 Ruthe Eppler u/w Heinz Eppler Client N Y 10/24/2017 Andrea Nicoletti EFTA01398944  Eppler Life Insurance Trust U/A/D 09/14/93 Client N Y 10/24/2017 Andrea Nicoletti Tran Thiet, Jean-Paul Client N N 10/31/2017 Andrea Nicoletti Zambetti, Jonathan Client N 11/1/2017 Andrea Nicoletti Stewart Asset Management No. 1, LLC Client N Y 11/2/2017 Andr ea Nicoletti WPS Advisors Ltd Client N 11/2/2017 Andrea Nicoletti Lisa Stewart Family S-Corp Trust Client N Y 11/2/2017 Andr ea Nicoletti Shamrock Aviation, Inc. Client N 11/2/2017 Andrea Nicoletti Abacus Tr Ltd. as Ttees of NN Tr Client N Y 11/7/2017 Andr Wei etti 1997 Unitrust F/8/0 F. J. Ray Client N N 11/7/2017 Andrea Nicol Robert S. Clark 1950 Trust Client N N 11/7/2017 Andrea Nicol etti Mcconnell, Neil R. Client N N 11/8/2017 Andrea Nicoletti Sussek, John Client N N 11/10/2017 Andrea Nicoletti Sussek Realty Holding, LLC Client N N 11/10/2017 Andrea Nicol etti Neil A Mcconnell Est S Mcconnell Trust Client N Y 11/14/2017 Andr ea Nicoletti Wolff, John H. Client N 11/14/2017 Andrea Nicoletti Nickman Family Tenancy-in Common AEN, LLC as Primary Tenant Client N Andrea Nicoletti Robert Kettenmann 1997 Irrevocable Insurance Trust Client N rea Nicoletti The Kettenmann Family 1997 Irrevocable Insurance Trust Client N 4/2017 Andrea Nicoletti Moses & Singer Client N 11/15/2017 Andrea Nicoletti Suite 2500 Associates / Neuberger, T-I-C, CEW Partners as Chief Tenant Client N 11/15/2017 Andrea Nicoletti Suite 2500 Associates / WP Stewart, T-I-C, CEW Partners as Chief Tenant Client N N 15/2017 Andrea Nicoletti Fleischman, Albert Client Y N 11/16/2017 Andrea Nicoletti Sitnick, Irving Client N 11/16/2017 Andrea Nicoletti Gunthel, Richard Client N N 11/17/2017 Andrea Nicoletti Herman E Goodman & Estelle Goodman Foundation Inc. Client N Y 11/1 8/2017 Andrea Nicoletti Holzer, Leonard Client N Y 11/21/2017 Andrea Nicoletti Florence Kahn Weinberg Inter Vivos Trust U/T/A 11/29/77 Client N Y 11/2 1/2017 Andrea Nicoletti Sundin, Mackenzie Client N N 11/22/2017 Andrea Nicoletti Sundin, Callie Client N 11/22/2017 Andrea Nicoletti Colvin, Andrew David Client N 11/22/2017 Andrea Nicoletti GST Exempt T/U/W Art Sixth of Alice M Ripley fbo George G Windels Client N N 11 22/2017 Andrea Nicoletti GST Exempt T/U/W Art Sixth of Alice M Ripley fbo Patrick E Windels Client N N 11/22/2017 Andrea Nicoletti GST Exempt T/U/W Art Sixth of Alice M Ripley fbo Thomas R Windels Client N N 11/22/2017 Andrea Nicoletti BIC University Place LLC Client N Y 11/23/2017 Andrea Nicol etti Mcconnell, Lucinda Client N 11/23/2017 Andrea Nicoletti Green, Franklin L Client N N 11/23/2017 Andrea Nicoletti Green, Joan Shapiro Client N N 11/23/2017 Andrea Nicoletti Lisa S. Benenson Insurance Trust Client 11/23/2017 Andr ea Nicoletti ARB Investors LLC Client N • 11/23/2017 Andrea Nicoletti LQ Investors LLC Client N • 11/23/2017 Andrea Nicoletti 84th Street Partners Client N • 11/23/2017 Andrea Nicoletti Popper, Samantha Drake Client N N 11/25/2017 Andrea Nicoletti Lorotte, Rosine Client N 11/25/2017 Andrea Nicoletti POPPER, ANDREW Client N 11/25/2017 Andrea Nicoletti DANIEL K. FOUNDATION INC Client 11/25/2017 Andrea Nicol etti STAR LAKE LIBERTY LLC Client N • 11/25/2017 Andrea Nicoletti Star Lake Bioventures, LLC Client N N 11/25/2017 Andrea Nicol etti Campaign for the Mary Rose, Inc. Client 11/25/2017 Andr ea Nicoletti Star Lake Design Associates Client 11/25/2017 Andrea Nicol etti Wainwright, Candace D. Client N N 11/25/2017 Andrea Nicoletti Grossman, John A Client N N 11/28/2017 Andrea Nicoletti Grossman, Eliza Client N N 11/28/2017 Andrea Nicoletti Claudia Z. Fouty Trust U/A dtd 1/25/2000 Client N N 11/28/2017 Andrea Nicoletti Olmsted, Katharine H. Client N N 11/29/2017 Andrea Nicoletti EFTA01398945  Jonathan P. Zambetti 2014 Annual Exclusion Trust Client N Y 11/3 0 2017 Andrea Nicoletti Trinder, Marsia M. Client N N 11/30/2017 Andrea Nicoletti Silverman, Lorin J. Client N Y 11/30/2017 Andrea Nicoletti Reed Esq., John G. Client N Y 11/30/2017 Andrea Nicoletti CJL Investment Company Client N N 11/30/2017 Corporate/PIC/Other Entity Accounts - See Owner/Siganatory s ACU Andrea Nicoletti SCHULTE, SANDRA JARMUTH Client N N 11/30/2017 Andrea Nicoletti Jonathan P. Zambetti Trust U/A dtd 1/25/2000 Client N N 11/30/2017 r a l etti Strauss Esq., Richard E. Client N Y 12/1/2017 Andrea Nicol etti Castleman, Valerie Client N N 12/2/2017 Andrea Nicoletti Mathiesen, Hans William Client N N 12/2/2017 Andrea Nicoletti Windels, Catherine Client Y N 12/4/2017 Andrea Nicoletti William, Olga Fioravanti TTEES William Fioravanti Defined Benefit Plant and Trus Client N N 12/5/2017 Andrea Nicoletti Zambetti 1992 GST Exemption Trust Client N N 12/6/2017 Andr ea Nicoletti Ada Zambetti 2000 GST Exemption Trust Client N N 12/6/2017 Andr ea ,111.31.3. Zambetti, Ada Client N N 12/6/2017 Andrea Nicoletti Richard Zinman 2012 Insurance Trust Client N N 12/6/2017 Andr ea Nicoletti Rover Esq., Edward F. Client N Y 12/7/2017 Andrea Nicoletti The Howard Herman 1998 Insurance Trust Client N N 12/7/2017 Andr ea Nicoletti Sachs, David P Client N Y 12/7/2017 Andrea Nicoletti Estate of David S. Schulte, Jr. Client N N 12/7/2017 Andrea Nicol etti Ruby McConnell Supplemental Needs Trust Client N N 12/8/2017 Andr ea Nicoletti Fioravanti, William Client N 12/12/2017 Andrea Nicoletti McConnell, B. Scott Client N 12/15/2017 Andrea Nicoletti Hayden, Catherine D. Client N 12/15/2017 Andrea Nicoletti W.P.S. SERVICES LLC Client N 12/16/2017 Andrea Nicoletti Mitchell, Clyde Client N 12/19/2017 Andrea Nicoletti Alice M. Ripley Trust DTD 11-28-85 FB0 Patrick D. Windels Client N N Andrea Nicoletti Estate Of Rachel Gei Client N N 12/28/2017 Andrea Nicoletti GST Exempt T/U/W Art Sixth of Alice M Ripley fbo Paul Eugene Ru Hao Windels Clie nt N N 12/28/2017 Andrea Nicoletti Causin, Edward S. Client N Y 12/29/2017 Andrea Nicolett Rutherfurd, Mary K Client N Y 12/29/2017 Andrea Nicolett GST Exempt T/U/W Art Sixth of Alice M Ripley fbo Mary Catherine Yue Lan Windels N N 12/29/2017 Andrea Nicoletti Kettenmann, Robert K. Client N N 1/4/2018 Andrea Nicoletti Kettenmann, Christopher Client N N 1/4/2018 Andrea Nicoletti Kettenmann, Thomas Client N N 1/4/2018 Andrea Nicoletti Joan Kettenmann Trust Bene IRA Catherine Kettenmann Deed Client N N 1/4/2018 Andrea Nicoletti Leggett, Susan C. Client N 1/4/2018 Andrea Nicoletti McCormick, Alison Client N N 1/4/2018 Andrea Nicoletti Weicker, Theodore M. Client N N 1/5/2018 Andrea Nicoletti Helen F Benziger 1990 Family Trust Client N N 1/5/2018 Andr ea Nicoletti Holzer, Edward Client N N 1/11/2018 Andrea Nicoletti Holzer, Christin Client N N 1/18/2018 Andrea Nicoletti L P Weicker Est H Weicker Et At Tr Client Y N 1/18/2018 Andr ea Nicole L P Weicker Est T M Weicker Et Al Tr Client Y N 1/18/2018 Andr ea Nicoletti L P Weicker Est Mary A Mellor Etal Tr Client N 1/18/2018 Andr ea Nicoletti Goodwillie Jr., Esq., Eugene W. Client N • 1/19/2018 Andrea Nicol etti Ian David Eppler Client N Y 1/19/2018 Andrea Nicoletti Hannah R. Hopkins Client N N 1/23/2018 Andrea Nicoletti Grossman, Charlotte Alexandra Client N N 1/23/2018 Andrea Nicol etti Lake Esq., Mark G. Client N Y 1/25/2018 Andrea Nicoletti Gregory Stewart Trust Client N N 1/27/2018 Andrea Nicoletti Stewart Family LLC Client N Y 1/27/2018 Andrea Nicoletti Schultz, Maggy Client N N 1/30/2018 Andrea Nicoletti Maggy Frances L.L.C. Client N Y 1/30/2018 Andrea Nicoletti Ruthe Eppler Trustee FB0 Alexander Eppler U/A DTD 11/11/94 Client N 2/1/2018 Andrea Nicoletti Neil Ryan McConnell 2013 Trust Client N N 2/1/2018 Andrea Nicol etti EFTA01398946  Fishman Esq., Joseph L. Client N Y 2/7/2018 Andrea Nicoletti McCann, Kevin M Client N N 2/10/2018 Andrea Nicoletti Olmsted, Robert M. Client N N 2/22/2018 Andrea Nicoletti Eppler, David M. Client N Y 2/22/2018 Andrea Nicoletti DTC Corporation Client N Y 2/23/2018 Andrea Nicoletti Kest, Martin Client N N 3/7/2018 Andrea Nicoletti 45 Rockefeller Associates / Neuberger, T-I-C, CEW Partners as Chief Tenant Clie nt N N 3/8/2018 Andrea Nicoletti Eppler-wolff, Nancy Client N N 3/17/2018 Andrea Nicoletti Ruthe Eppler Trustee FBO Andrew Colvin U/A DTD 11/22/94 Client N Y 3/17 /2018 Andrea Nicoletti Brent, Douglas B. Client N N 3/24/2018 Andrea Nicoletti BRENT ENTERPRISES LLC Client N Y 3/24/2018 Andrea Nicoletti L. P. Weicker 1940 Trust FBO T. M. Weicker Client N N 4/27/2018 Andrea Nicoletti For internal use only EFTA01398947