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mber. CONFIDO. AL- Paled hceilent Every Vex Since 2007 DAIJAR Ml ED COMMUNCATICOS EX(DAMCC Chains tlwonsh MOM. PIC. orb*/ owned subsidiary aT e Banta New York melon Cannatim (1110 Mellon) PentwKLI.C.MInter FIllitaatiteLGM_00047870 DB-SDNY-0010694 EFTA_00158479 EFTA01290507 Deutsche Bank P.O.
bjectives or financial situation. Expiring options which are valuable are exercised automatically pursuant to the exercise by exception procedure of the Options Clearing Corporation. Additional information regarding this procedure is available upon written request to your introducing firm. Foreign Currency Transactions Pershin
2 mentions1 same-page
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CONFIDO. AL- Rated (Imaged Every Yew Since 2007 DAIL& RAl ED COMMUNICATIONS EXCIMENC( Owing tlwonsh Patti EEC. • wholly owned subskliari a I be Banta New York Melon CiMontim (OW Meta) Penile.; U.C. 'newts. FitikalcititELGM_00049722 DB-SDNY-0012546 EFTA_00160331 EFTA01291817 Portfolio Holdings
bjectives or financial situation. Expiring options which are valuable are exercised automatically pursuant to the exercise by exception procedure of the Options Clearing Corporation. Additional information regarding this procedure is available upon written request to your introducing firm. Foreign Currency Transactions Pershin
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31,2018 SOUTHERN FINANCIAL LLC Date Activity Type Sweep Money Market Fund (continued) DEUTSCHEGOVT CASH INSTI. (continued) Descsiptidi Amount Banta 01128/18 Withdraw al MONEY FUND REDEMPTION 485,065.08 203,142.47 01129118 Deposit MONEY FUND PURCHASE 2,936,251.75 3,139,394.22 01130/18
bjectives or financial situation. Expiring options which are valuable are exercised automatically pursuant to the exercise by exception procedure of the Options Clearing Corporation. Additional information regarding this procedure is available upon written request to your introducing firm. Foreign Currency Transactions Pershin
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Mutual Connections (108)
Entities connected to both Banta and the Options Clearing Corporation
Pershing
LOCATION3 w/ Banta·99 w/ the
Money Market Fund
ORGANIZATION2 w/ Banta·64 w/ the
Securities Investor Protection Corporation
ORGANIZATION3 w/ Banta·55 w/ the
Pershing LLC
ORGANIZATION3 w/ Banta·51 w/ the
the State of New York
LOCATION4 w/ Banta·50 w/ the
the Pershing Customer Service Department
ORGANIZATION3 w/ Banta·49 w/ the
Bank Deposit
ORGANIZATION2 w/ Banta·50 w/ the
Legal Department
ORGANIZATION3 w/ Banta·44 w/ the
Ghislaine Maxwell
PERSON15 w/ Banta·28 w/ the
Pie Chart
ORGANIZATION2 w/ Banta·41 w/ the
Client Service Information
ORGANIZATION2 w/ Banta·40 w/ the
Baltimore
LOCATION3 w/ Banta·37 w/ the
THE FEDERAL RESERVE SYSTEM
ORGANIZATION3 w/ Banta·37 w/ the
Jeff Sessions
PERSON3 w/ Banta·36 w/ the
THE CLEARING FACILITY
ORGANIZATION3 w/ Banta·35 w/ the
THE BOARD OF GOVERNORS OF
ORGANIZATION3 w/ Banta·35 w/ the
CUSTOMS
ORGANIZATION3 w/ Banta·34 w/ the
USAGES
ORGANIZATION3 w/ Banta·33 w/ the
Jersey City
LOCATION3 w/ Banta·33 w/ the
TAXABLE
ORGANIZATION3 w/ Banta·33 w/ the