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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
oviding Trusted Party information to my broker or advisor for electronic capture, I! we authorize the named Financial Institution and Pershing LLC ("Pershing") and their affiliates to share my nonpublic personal information' held at Financial Institution and Pershing with the named trusted contact person(
nsurance Corporation (FDIC)-Insured Bank Deposits are not protected by Securities Investor Protection Corporation(SIPC). For disclosure of rates for DW S money market funds, please visit the DW S Investments website at https:/ / www.dws-investments.comi EN/ products/ moneymarket-funds-yieldslsp Please
Onhe. uE. IMMIX! FIlltallAtira°@ 4945° DB-SDNY-0012274 EFTA_00160059 EFTA01291624 Important Information and Disclosures (continued) 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
ails as to formulas used to calculate the figures. Accrued interest represents interest earned but not yet received. Foreign Currency Transactions Pershing will execute foreign currency transactions as principal for your account. Pershing may automatically convert foreign currency to or from U.S. dollars
nsurance Corporation (FDIC)-Insured Bank Deposits are not protected by Securities Investor Protection Corporation(SIPC). For disclosure of rates for DW S money market funds, please visit the DW S Investments website at hftps://www.dws-investments.com/ EN! products/ money-m arket-funds-yields jsp Pleas
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
nsurance Corporation (FDIC)-Insured Bank Deposits are not protected by Securities Investor Protection Corporation(SIPC). For disclosure of rates for DW S money market funds, please visit the DW S Investments website at httpsi /www.dws-investments.com/ EN/ products/ money-market-funds-yields.jsp Please
ails as to formulas used to calculate the figures. Accrued interest represents interest earned but not yet received. Foreign Currency Transactions Pershing will execute foreign currency transactions as principal for your account. Pershing may automatically convert foreign currency to or from U.S. dollars
surance Corporation (FDIC)-Insured Bank Deposits are not protected by Securities Investor Protection Corpo ration( MPG). For disclosure of rates for DW S money market funds, please visit the DW S Investments website at httpsi I www.dws-investments.com/ EN/ products/ money-market-funds-yields.jsp Pleas
ails as to formulas used to calculate the figures. Accrued interest represents interest earned but not yet received. Foreign Currency Transactions Pershing will execute foreign currency transactions as principal for your account. Pershing may automatically convert foreign currency to or from U.S. dollars
surance Corporation (FDIC)-Insured Bank Deposits are not protected by Securities Investor Protection Corpo ration( MPG). For disclosure of rates for DW S money market funds, please visit the DW S Investments website at httpsi I www.dws-investments.com/ EN/ products/ money-market-funds-yields.jsp Pleas
ails as to formulas used to calculate the figures. Accrued interest represents interest earned but not yet received. Foreign Currency Transactions Pershing will execute foreign currency transactions as principal for your account. Pershing may automatically convert foreign currency to or from U.S. dollars
surance Corporation (FDIC)-Insured Bank Deposits are not protected by Securities Investor Protection Corpo ration( MPG). For disclosure of rates for DW S money market funds, please visit the DW S Investments website at httpsi I www.dws-investments.com/ EN/ products/ money-market-funds-yields.jsp Pleas
Entities connected to both Pershing and DW S
Pershing LLC
ORGANIZATION
Baltimore
LOCATIONPCISrat LLC
ORGANIZATIONthe State of New York
LOCATIONSecurities Investor Protection Corporation
ORGANIZATIONLegal Department
ORGANIZATIONthe Pershing Customer Service Department
ORGANIZATION
Jeffrey Epstein
PERSONJersey City
LOCATIONthe Options Clearing Corporation
ORGANIZATIONMoney Market Fund
ORGANIZATIONBank Deposit
ORGANIZATIONTHE FEDERAL RESERVE SYSTEM
ORGANIZATION
Jeff Sessions
PERSON
FDIC
ORGANIZATIONTHE CLEARING FACILITY
ORGANIZATIONTHE BOARD OF GOVERNORS OF
ORGANIZATION
CUSTOMS
ORGANIZATIONUSAGES
ORGANIZATIONON PERSHING'S
ORGANIZATION