EFTA01595118.pdf

NAR for FINANCIAL TRUST COMPANY INC l$PN: 2511138) Status: COMPLETED Accounts: Asset (1N23560001I Brokerage (W23560001) X Account (X23560000) Updates: Supplementary Forms: Cover Page Corporate/Partnership Profile Corporate/Partnership information .P45 8.. A ats'55, CAS (D: Conte cf Title Conrad Person - Tax (0 Eniev./ Type Of Business. Fax. Dare Of Inoorporacitiori &NI, Of Incorporellar) Country Of Cbzeris.*: Country. of LegaJ Resta'ence: Corrirk:aboo Nfe* Type of Cerehcarron: Ord( to CAS ID Chern Hie:erchy Entity rype CoroideNiai Name: Coedenhal Address ; NANDI& TRUST COMPANY INC 4100 RED NOOK QtARTER$ 3-3 t.S AMR !SWAM ST THOMAS FO fDEF:, ?I'V9D:40! P707100806 PRESIDENI DARREN rcrisi 4567 418 MELLIENINEFIKASSOCIAILS CUM IINESTMENTS 340-775-25it 1143011M NZ1 ISFOAVAL VRGIN :LI s 1 VIRGIN &ANDS ;LI S I Drin.2010 NEW Dt<TS hteker Corporate/Partnership Profile Core Information sPN- SPN IVOM41 .71N,V.K.LAL TROST coh.r.ANYIH EFTA01595118 PCN 1.44:6152 SIC.s719 HLIM QYPftINES NEc. • t,.?.7 Lava( Entrty. JoNCB Branch Lacesor. Cade US CLIENT MAIT LOB .Indicalor. PB OB Sot) xlicotor corporate!Partnerehip Profile CAS Core Information C r:KAL: tk F.4 ' I CorporatelPartnership Profile : Account Information Account Tee Short Tie Account Type. pHCIP)c. Regional ind cat FlhANCAt TgUST c,(101PANY tioC FlhANL.AL 41.1ST .ZOMPANY rtnershp Will D:or esin CorporatefPartnership Profile: Primary MOL Information Login 1.nio Erne: P494519 Ser10 orporate/Partnership Profile Shareholder Information Corgrollong Shar JEF=FIE1' EPSTErs % Ownersh,o 1030 00 00 00 00 00 Corporate/Partnership Profile : Financial Information Gross Annua/ Revenue Toraf AsserS Toraf 510Ciihafers &July Marginal Tax Rare. Ertigy Total' tVcr INDO $20 1D0 :40 $1030 Oto: P00 CO:1 1 A Au Entity Liquid Net Worth sicc:.:co COD 4rp71.1.91 Income CorporatelPartnership Profile : Authorized MOL Users ..1(irhonzefi itiser 1 HAHHY MOL Aurhon2e1 User Adoress I4ARAY BELLER UNITED STATES Company Oa me Phone idaytirl7e,1 ,ohone ri? Ilkral Otizenship t.N1lECSLAILS EFTA01595119 Email 1-BELLEROHBRKASSOCATES :COJ Atif.PrOflled UMW Accisunts f.r4.cco,..-1 • W23566X New Lop'? CtICKVS 11HBEL1 EP,123 7p HAF51v123 !•ISELLEH I:1 Please Send l Vithime Klt To Owtor CorporateiPartnership Profile Relationship Team Here/ter wins Pau 'i'..OSELY 'lab BUSINESS GROLP•I' Clienf Ser/ke Team rt:ttivittey II ;3..1 BAC N Barer Ofker N Nz:aan Account BAC Cost Osnfer ODSO Brenc17 06-1. Clirvation Uthcer U0365i2 Treasury Officer. Finari2 Corporate/Partnership Profile Affiliate Information Accoonthofder s,00tese or another farmly member is or recently has Leen a director, corparalo oficer or ()melte of 10% of a Atibtic cowatiorra stock Pic is the corwabon fra tied publYcly on L'S Exchave Accounthoiaer spouse or tamiry member 8mph:well by Wore of Broker/Deafer. Name Q Emoloyee. kie 407 ewer 9reting anywhere 4CC4\inthOlder Or imnlediare Family menaker or another hOusetv an employee of a Onannal histilutvn or insurance company ND Broiierege Acc-oun.rs • Corporate/Partnership Profile : Suitability Information Sourrx Of Wealth. hinnlinerni 3:114 Corporate/Partnership Profile : Tradiri F IiEir,T. $1,0Va Bonds CD/modbes Emergiog Mki Cptiortz Experience Corporate/Partnership Profile : Tax Information olvTi Size 7-84 Slabs Ottly SEE =MEWS Sfar8 Of Res.rience. FOIREIGN Other TaA Comments us w Efvrrrr CLASSIFIES AS US POP rAx Corporate/Partnership Profile HoldiSpecial Mail Agreement r Opr,b1-1 :S:ertz .kartirti Corporate/Partnership Profile: E -Consent Prp,s'zic! Type. Accocint fidumber E•Consen! Email Address- HIELLERge4eRKAS Asset Account Account Information Accoi.ott Number orrisbox, EFTA01595120 A crount 1.1%.B.PcIAL rIJs1 COWPANY INC AMNInt Short Tay. ENANCIAL TRUST COmPAPITll Prod/Jot Type Asset wavlawage Type Of Trrles Iva? Len; lei); rex Pr7o CIOC Asset Account: Sweep Options P r.Y.:(15 Itl Trtgv."1.1 R41k, Asset Account: Line Of Credit h.: d3 -01 •equest a L ne cl !Repayment Clorion Asset Account: Cheeks TYP#3 Of Checks: Airernale Check Ceilliery Address N'ame. Company Address Line 1, Address Line 2. City nare HQ INFC) AYAII ZIO COUr.try* Asset Account: Check Details Check Style Cr.sech Calor Oroer Ceposif SAps- SaecTar lostfurbons Asset Account; Computer Check Details A r...co ittr.v Sonwaitl Scf.twa re iierstore: Printer Bram:1 & Mode! Number Minter Type Asset Account Asset Account Details Vanaged AgatizRe Sferialng .1nSfrtiCf.kare SIC*01$ Cash Sen.ices• Performance Performance Dehstds: Canthfrie .PerformancaiSusfrrig M's Lead Accourit Fmm Aboye: Money fvfamager Al Drc.OrA Cosi Accounting ATM Fee Refund Poalted Fund Accouneng Services FolloNo 014o;ourrqing Melhodokisly Mn Profit Charitable That Sub Type Non Profrt Charitable Trost Type. Asset Account : Asset Fee Schedule Information Ffre Sonedufe. Aug- Sc halo) U Zi.(11 Fee Payment. D-ave 'hrs Awe:QM EFTA01595121 Cie TO Fr r3;:pa Transaction Rates. a Minimum Fee SC LP: Per:ent Princval. o a PercerPlncorne: o 13 PR 8 Approval Dafe Fee Sten Date Add/bona) Fee *Info Asset Account: Funding Information g Tyne CoN Funding Source External,' Custodian. C-ontiKt. Name. Ccvits.,:t triu.rn tier !r"errrit: Traoster AtC 4 Detak's Of Transfer AdriPtionad Funding infrxrniatton. Estunated Funding Date Respon Infonotgiun Otilomed. ,a- mixuso..-c :warctrata Asset Account: Common Processing Info Ccdeclico Ors tructionS Shareholder Oadosure Date Documents Signed. 'Send Company RepOols Other Tex Service Code Asset Account: Relationship Information Fnmpa CO? :10,117:,' 0 hic -00i) i,flqr4:"0 Accuar Statement Relaticinsrms. Officer: x AdrrAiti.stratur *s 8 orricer Middle Office &mike Team: Poftfola Accounfarit• SwrearlF.Otivery Officer Merv:8 Admirusfrarcr Asset ACCOUrtt : Authorities - Contacts 0.1ATES USA E aN1rOCt NA131, FP5TF14 .,F=FRFY Participant*. 143t Permiss.+Dei Ca (nary AlACIOns • 1)7.1Lif I •-e. CcAitacf Name Participant .Dnission Cateory l'417E 13A4HL 511 N A.IA.;2 eel • 14D [Inlet gerc Asset Account ; Authorities - Account Info 17.4) Comment Date EFTA01595122 General Accounf 'Votes lifamer 0.0 SignAng Marher's Man'? Name Err, :55741! TIN Availabditv: !IN (r INTL AC KROFHBAC HFR CETERM Asset Account: Client Reportin varenrir f=reqt)eicy /kr Irs' X AcccoV 111 he L n4 13 1.1mIn..10.4.cr_o_nl 0 Lnis 1:.+ runlet: AL3FIES ID BE TAXIED AS DOMES C WE HAVE Ve9 OR FIN -B CO. & 3 MauirAdervy,5r5 Annreas Reiaribnshp Srarer,enr Freq ency 3ErrRui EPSTEN ATTN PAULA SiERMAN 441 MADISON AVENUE NEW YORK. ilEksi YORK 140 USAtr€F1 1Visorig Key EPSIEU2 Ttie Ti -4111r.. To N 0110-44-3310 U SA 03En Special klatructIon Code* NO SPEC NSTRLCT FUMY BELLER C0311BRK ASSOCIATES 301 E 56TH ST AFT' MEW 'eORK, NEW YCRK 10:E5 LNITEC STATES opKey BELL'S Ti LimiTEn STA-ES .,%peval Insindotron Code NO SPEC INSTRUCT FKANCIAL 71UST CCCAPANY ITC Arl:rns Reic:071. IGO 4.E.1) 14COK Plux). 011itiNTERS S-3 ST THOMAS, FOREIGN VIRGIN IS -ANDS :US I Win) Mr, FNAI148 Trt LOWED STATES Special Instruction Code o slsbe INSTIT.ICT Asset Account Securities/Cash Processing Inrerest Q, asianoss. 108 Overtire! Code hONE 108 Payment Code. IONE Reg Code CanasiMn Bond RARE &CO Reg Canadian Cxte Stxrc KARL am Reg Cooe Austreia. AC CT. CA) CrAER Reg Code Other Famigrp ACCT •C:0 0 -HER Reg Code Ocrriesbc: MARE & CO Automatic Sehfernerg IT.TdiCatOr, Yee Overdid! Heide Code P1 5EP 51.113 SEP Rfgell To Se: Off Yin Deposirory frAigrbifity Code Yes EFTA01595123 Fractional' Shares: Se, inco.rne Cash JrNst COO tnrome Cash Rer Accomnt. w2imoopf Asset Account: Defaults Processing W14,4 A cc r Facility Code: 'NW AC4,1r Sere Cede AVA Crectirfjfflf wmi; Loan CUSJP WMA Visa Limit sc US Treasury Report Code. WI CODED Forsvgri Class Code: NONE BC SA Gauntry Reportiry Cade NOT CODED lflr:G Imitator No Asset Account: Tax Reporting Defaults Date Ls? Tax Reports Tax Lot IncinaFor yes Tax .or Setection Code HIGH LlOST Tr Per7cd rrequency Code • 29i Manage Code -„NcuNS'NAINED Stelemeni Fay Paced. ye, Backup Withactin.9 indicatOf SOW 8.901dip IMOICktIng Dare: W-8 Exprebon Cate: W-8 VervDrl !•e"Ji D IRS !thine CONfOl F,16.64 lively Cade Treary Frpirolior. Asset Account Additional Comments A C orn °lent s* TH S ACCOUN- IS AN NTE FcSATIOMM ACCDUN- KAREN R OEHBACHER HAS DETERMINED 'YHA' V PIS ACCOUNF DUALIPI ES TO BE "AXED AS A CKIMESTIC EP-ITY A WO FOR ryi APICIAL TRAT COMPANY HAS BEEN PROVIDED A WO :OR THE OWNER JEF vREY EPSTEIN HAS SEEN PROVVEO REPCRTINO NEEDS TO TARE PLACE FOR TOS ACCOUNT THE BUSINESS ANALYST TEAM AS APPROVED THE CPENIND IN ¶'4E IXNES TIC NNCIRMLOw Brokerage Account : Account Information ct-rourAt Tfilie FINANCIAL TRUST E091=ANY INC Account Short Tile* r- NA.NICLAI I HUS I COsIArNC Accountholder Title: Acklifimai Accounrnokler Tgle Proatic-1 Type 3rohara;re •altioefape /04SSEe. o ::cnirrsor Brnkeragti ACCOLAN No. Asset Accotint No. %WU:MCI Aciirir tiOT11.9ge 5:1 Praspecrus Override .Auttioltrabon. .In Frcdocis Brokerage Account: Account Type mccourn Type Sairinrd EFTA01595124 1281 Fut Ekotte, Acroonr Type Options: Accts CC,Oft Ar nnym Pnme Broker 0 SeleCred PrOO'LIVS EGAIITT GOVERINENT MUNICIPAL FOREIGN EXCHAMIE REIVIONTAKITUAL FUND MOR-GAGE aAztt,Er. (WRONG MARKETS OTC ORM% MONEY MARKET CO.RPORATIE BCND Brokerage Account Investment Objective lovesIrnerg Objective Cams wet -alio Spectreafrwe Inyesfrnenfs. Art Rt•—inoli Brokerage Account: 313141 Use Only Thls 13,2caunr n approved fc.v. the Agovvirig yors olfrah:sachoirs ExMonge Traded Opti &warty: OTC 0,stioln. Equity. Schelde .141* ::c.01:•ro..xic.Vradies a-.41 Gomlanatcrs,'Srulc as Level 1 COmbinfe-rt:51440 14,41 CbStai Le9e4 Cur -b ris)o-slreX let GNIAtilpe Brokerage Account: Related ACCOU Axidctrif Piurnbris Accvor Murnbers (Canoed) Pulakatian date of OCC otiwtaa4 OGG Booklet Send Dale o:maoic Riksk D.Isciasures Send Date 03.v:111201C Account Plumbers AuthortzOCO COCorranratswt Ya4 RP Ragiste.red In Ctienr Slate Yee Addgiow; brokerage ,Intorrnarion Brokerage Account : Authorized Traders Authorized Trader's Name. DARREN IseDYKE COfrwriefifs, AoPICOLECI itAfle$ N/317119: .EFFREY .PSTEIN Comments. Brokerage Account: Cash Account Information Transfer instruCeOns. Fredoeney Crwdendsolniereat tncorre. Pnx:eeds #111rtY .ok) EFTA01595125 As E MCC (1,ritt-ret3; Helts.1R11-64.51 Brokerage Account: Custody Information Cush:den: Confael PrAone: Account (VurribUT Adrires.c. Line V* Address Line 2. State: So WC ANAL Zip: Country ',Peitz) 5114-'f 5 Brokerage Account Relationship Sales Trader. Ernerg.irg trlaikets Ssks Trader 3301 RIATIMOW. JEFFREY MATUROW JEFFREY RI 1 E 3217 F i217 ) Sits Ass Woo' Sens 8 Officer NO OFFICER ASSIGNED WATERS LISA E :ROP,SROP: Brokerage Account : Delivery Instructions very Instruclicos 54R5 b .Pk1 Me/Pod of Delry DTC 0. P7.2 iriStiriA00 27 Agent Ban"( N 2P336 International Account' H PBEIV6-21540 InrehliSled Pity Global Agent 0: 2309 Brokerage Account: Fed Wire Instructions ABA gt: 21:CW21 For Accovnt PEGIIIW235e0 Fed Mnemonic/Book: JPMChne /CUST Special 'instructions. For Acanot tPECIIIINZ3SE8 For Accdumt Name. r NAMCAL TRUST CONFINif INC Address cey State: Codt Country S,C0 A'oAL ..NiTED STATES Brokerage Account : Address Info Address Retatidnship FINANCIAL TF.JST C3MPANY 1N P-mbre Ccrrlrm Oict RED H-DDIc. F" in Shireleel 0.IAR'FR5 B. SI I htLIIIMIS, U VIRG N ISLANDS11.1$ Brokerage Account; Additional Comments A ddil THiS Acc [NMI 1.5 AN err.RNATIONAL Accoura KAREN R EFTA01595126 OENBACH ER HAS DETERNINED MAT TICS ACCOUNT CRALIF ES TO HF TUFO AS A 1XNESTII; ENTITY A WO FOR FRo AKA. TRU$" COMPANY U.S. SEEN RIKYvitifb A 1A5. F eft TwE OWNER ;EP FRE w EPSTEiN tiAS BEEN ROME 10.9 9 REPORTNG NEEDS TO TAKE PLACF FOR THIS ACCO4NT 71-E SLISNE 54 ANALYST -FAM AS APPROVED TI,E OPENING IN 1HE LICTIES'C WORKFLOW X Account: Account information Account N. $23!13 Accoumi rere FINANCIAI TRJST COMPANY INC Account Short Tate. FINANCIAL TRAT COVPANY INC .Product Code Sub-PrxtuO Co& C.sixtf Nona' Sub -P=1/440 C4-cle: Pliqcotoolot Repolting Account Reason. Sraarfienrs -Poterge Gagetted S:atsrnent Relalkostu to Officer LArdced Accounts X Account: Client Reportin Sfaf amen: 1-requeTcy ihfic.ortr X Account Linkino • N* Oh F. girl; x-tazur. 0 Irk ,c *AN X Accruri W23 Mading AddresSes Address Retell onsNo neteni ea! frymvectcy JERRY EPSTEIN ATM FALLA SIIE;MAN t e VACISON A kir NLf NEW YafIK NEW YORK Ie1122 USA ICU, Kap ERSTE:12 TM lftIC ISc 44 334b USA it'EFI Spe.:Ial //MIMIC:J-0n Code 40 SPEC is C' HORY gELLEN C90 HONK ASSOCIATES E smi ST APT i Nut, YOKE. NEW YORK two 14NITED MIES Won Kri BELL El Tde Nto,411),SING,E RAI, CATO TAX CDS- ALPHA Mcrirlit SINGLE &AL CATG TAUS COST ALPHA osrTED SIA TES mec.i 41BretitINVI COCIe• a.0 SPEC aliSTRUCT F KAN:AL TRIJST COMPANY INC IRAOrti Lt 'Inv SINGLE DA- CATG TAA CCS1 ALPIIA (.109 RED PCIDIC QUARTERS B-3 ST TIC.4A5 ;•'.7 REIGN wiCiN ISLANDS U s: kildurrj Ks FKAN4d Tele LINFTED STATE 5 Special. iinsfrucbon Code P.0 SPEC NSTR..C7 EFTA01595127 Cover Page: Forms To Complete F Coln, lo C 0 oip re re 11/441 -111r. ulcn SvaLtrr Cwt.'s COTC(311.),540r•oi, ratifierl) 7,.?lrie,:31,-, Yi9 Lrel:y 4ev:ic4or CIT/thr kt>3,CAVE.i Cover Page Documents Needed Documerizz Needtd: Ceeitt4ir Ir•tx-terrirne F xinletcm Charter aka. Tr.si A7eerner71 Extocrtql ,erttr Ldri L autPe ..-cmaanr Aararrii oarrielvip A4ceemeril PhCIOCLCri qi Dr ytei Lolnfe ar Pauper Pit Each Sgriar :WI) Su ere es As Cellicar Okifvf Cover Page: Reference Documents Referspce DOCZIY17.9f1t 5. Fero 5Lred.it.:51 JFIYI:rsan Prr•a.). Poi cy Gotivei To"ht 4ey x=ueta an Risk cf Ceear- Irreast—ern Apresawlefty AeCoatte Ira Simve:*6 094+14 nifeniati JP,kr7an Soar On torxl JP' Ccmn# and Ccaempertzv R3•lti.t2eAcrga- Tioaoy Fei Wig@ Cover Page : ContaO NE1r7le Fa :r.urrr 1.:arej AS.1:11;r:!!.•.,1 SioN PC:5',L "IU-3 r.i• • 11 Ed it History PAYMed Care eri14.4tr IC II 46 .3 EtI 2tIIC HA- V. 11 5'5$ EST 201C eVed Hi* IC 14 2S (14 EST 201C Wed Mar 1C 14 41 OS EST 201C Wed MEP' 113 14 4S 33 EST 2t11C 0,44kj 1C 144. 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'u firmer el .goi.wi rvij mx.1),FT13 '141.11.1-4. ecerp glcc -rni7n15,; Date[mmddwyy I [1:13L52010 ;.:,•DdE, Doc C-7...-12 D 32 ,i1.7.17.17. iri N,A-nbe.'s Box NUT :>.?_1 C:11-2 Form Type = "CITADEL" I EFTA01595129 DUC COdEl N..rribe-s I W23560001. _J EFTA01595130