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structions that appear to be third party asset movements, as well as first and third party journal Instructions for accounts that are custodied with Pershing. We may remove any standing instructions that have not been used in the past 36 months (except for Automated Clearing House (ACH) which does not exp
1776, Baltimore, MD 21203 Important Information and Disclosures (continued) January 1, 2019 - January 31,2019 SOUTHERN FINANCIAL LLC The Role of Pershing (continued) rights, including your rights under the Securities Investor Protection Act. • Your financial organization's contact information can be
Processed section of your statement for more details. 3 The cost basis of this security has been provided to us by you or your introducing firm and Pershing makes no representation as to the accuracy of this information. 11 Pershing has received updated cost basis information, therefore cost basis provid
Basis:S*1001006.00 Page 3 of 15 CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Account Number C ONIFIDO. AL- Med hallent Every Yew Shwa 2007 DAYAR RAI ID COMMLNICATICMS EX.:MD.10E Owing tinge,. ,mks'. PC. • wholly owned subsidiary SIM Bordtel New York Mellon Colnatim (OW Mellon) Penn.'s MC. 'wan F
uding the time of execution and the name of the person from whom your security was purchased. may be obtained. In dividend reinvestment transactions. Pershing acts as your agent and receives payment for order flow. Option Disclosure Information with respect to commissions and other charges incurred in co
, Baltimore, MD 21203 Important Informs: of and Disclosures (continued) December 1,2018 - December 31,2018 I EPSTBN VIRGIN ISLANDS I The Role of Pershing (continued) if any, to you and in general, for the ongoing relationship that it has with you. • Inquiries concerning the positions and balances in
1 $0.00 CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Page 2 of 7 Await( Number A:Cit:n CI CONFIDO. L-- Med Cacellent Every Year Shwa 2007 DAYAR RAI ID COMMLINICATIM EXCLUDICIE Owing engem ',enlists PIC • Wile/ CMOS subsidiary a The Bonita New York Mellon CA•Watim (MY Melon) Penn.'s LIX. 'sent.
776, Baltimore, MD 21203 Import ant Information and Disclosures (continued) November 1,2018 - November 30,2018 SOUTHERN FINANCIAL LLC The Role of Pershing (continued) it any. to you and in general, for the ongoing relationship that it has with you. • Inquiries concerning the positions and balances in
uding the time of execution and the name of the person from whom your security was purchased, may be obtained. In dividend reinvestment transactions, Pershing acts as your agent and receives payment for order flow. Option Disclosure Information with respect to commissions and other charges incurred in co
$0 .00 Page 2 of 7 CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Account Mamba' Amu: I. i s CONFIDE iq . AL- Mee Every Year Since 2007 DAYAR RAI ID COMMUNICATIONS EXCLUDICt Owing through Pining Ilt. a wally owned subsidiary SIM Bonita New York Melba Caponthal (SW Meta) Pentw, LIX.inerrter Fi
Entities connected to both Pershing and DAYAR RAI ID
Pershing LLC
ORGANIZATION
Baltimore
LOCATIONthe State of New York
LOCATIONSecurities Investor Protection Corporation
ORGANIZATIONLegal Department
ORGANIZATIONthe Pershing Customer Service Department
ORGANIZATIONJersey City
LOCATIONthe Options Clearing Corporation
ORGANIZATIONMoney Market Fund
ORGANIZATIONBank Deposit
ORGANIZATIONClient Service Information
ORGANIZATIONTHE FEDERAL RESERVE SYSTEM
ORGANIZATIONTHE BOARD OF GOVERNORS OF
ORGANIZATION
Jeff Sessions
PERSONTHE CLEARING FACILITY
ORGANIZATION
CUSTOMS
ORGANIZATIONPie Chart
ORGANIZATIONTAXABLE
ORGANIZATIONUSAGES
ORGANIZATIONON PERSHING'S
ORGANIZATION