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COUNT AND RISK SHALL BE SUBJECT TO THE CONSTITUTK)N. RULES. REGULATIONS. CUSTOMS. USAGES. RULINGS AND INTERPRETATIONS OF THE EXCHANGE OR MARKET AND THE CLEARING FACILITY. IF ANY. WHERE THE TRANSACTIONS ARE EXECUTED ANDIOR SETTLED, OR IF APPLICABLE. OF THE FINANCIAL INDUSTRY REGULATORY AUTHORITY ANO TO ALL APPLICABLE
rmed in writing to further protect your rights, including your rights under the Securities Investor Protection Act. CONFIDENTIAL — PURSUANT TO FED. R CRilvl. P. 6(e) Page 20 of 21 Account Number CONFID L Wed Emden? Emmy Year Since 2007 DALIAR RATED COMMUNICATIONS LXCILLINCI Clearing lamp% PashiglI
COUNT AND RISK SHALL BE SUBJECT TO THE CONSTITUTION. RULES. REGULATIONS. CUSTOMS. USAGES. RULINGS AND INTERPRETATIONS OF THE EXCHANGE OR MARKET AND THE CLEARING FACILITY. IF ANY. WHERE THE TRANSACTIONS ARE EXECUTED ANCWOR SETTLED. OR IF APPLICABLE. OF THE FINANCIAL INDUSTRY REGULATORY AUTHORITY ANO TO ALL APPLICABLE
ershing LLC, Legal Department, One Pershing Plaza, Jersey City, New Jersey 07399; . Errors and Omissions excepted. CONFIDENTIAL — PURSUANT TO FED. R CRilvl. P. 6(e) BO 099389CSP300 18 CONFIDO. L Rated [scented bey Year Since 2007 PALIARMITO COMMUNCAT IONS exautea Page 2) of 22 Clewing through Pen
COUNT AND RISK SHALL BE SUBJECT TO THE CONSTITUTION. RULES. REGULATIONS. CUSTOMS. USAGES. RULINGS AND INTERPRETATIONS OF THE EXCHANGE OR MARKET AND THE CLEARING FACILITY. IF ANY. WHERE THE TRANSACTIONS ARE EXECUTED AND/OR SETTLED, OR IF APPLICABLE. OF THE FINANCIAL INDUSTRY REGULATORY AUTHORITY AND TO ALL APPLICABLE
d turn off paper communications, log in to your account or contact your Investment Specialist for more information. CONFIDENTIAL — PURSUANT TO FED. R CRilvl. P. 6(e) CONFIDWFAL lawn Page 6 of 8 Rated (salient (rev Yew Sect 2C0/ DALBAR RATED COMMUNICATIONS c(co.tuta Cleating through Pershing Luc. a
Entities connected to both THE CLEARING FACILITY and R CRilvl
THE FEDERAL RESERVE SYSTEM
ORGANIZATIONTHE BOARD OF GOVERNORS OF
ORGANIZATION
CUSTOMS
ORGANIZATION
Jeff Sessions
PERSONUSAGES
ORGANIZATIONON PERSHING'S
ORGANIZATIONINDEBTED TO PERSHING LLC
ORGANIZATIONBNY MELLON CAPITAL MARKETS
ORGANIZATIONTAXABLE
ORGANIZATIONthe Pershing Customer Service Department
ORGANIZATIONPershing
LOCATIONthe State of New York
LOCATIONLegal Department
ORGANIZATIONPershing LLC
ORGANIZATIONthe Options Clearing Corporation
ORGANIZATIONClient Service Information
ORGANIZATIONSecurities Investor Protection Corporation
ORGANIZATIONPie Chart
ORGANIZATIONMoney Market Fund
ORGANIZATION
Baltimore
LOCATION