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079 EFTA01289442 Deutsche Bank P.O Box 1776, Baltimore, MD 21203 Income and Expense Summary December 1, 2018 - December 31, 2018 SOUTHERN FlNA NCIAL LLC I °stint Paled Taxable Non Tenth Taxable Yea-to-Dane Non Taxable Dividend Income Equities 1,867.64 0.00 792,654 57 0.00 Money Market 1
ear Since 2007 OMAR PAITO COMMUNICATIONS UCtLIINCI Page 4 of '8 Clewing through Pealwag U.C. a %l a7 owned Maid's." of TM Bonk Ott. York Mellon CaveratIon (OM Wilco) PerOing literitetty IthRA.PknflieM-00046472 DB-SDNY-0009296 EFTA_00 I 5708 I EFTA01289444 Deutsche Bank P.O. Box 1 7 76, Baltimore,
Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Important Information and Disclosures (continued) January 1,2018 - January 31,2018 SOUTHERN FlNA NCIAL LLC Important Arbitration Disclosures (continued) panel at least 20 days prior to the first scheduled hearing date. • The panel of arbitrators will t
lein Every Yew Since 2007 DALBAR MTV) COMMUNICATIONS LXCLIAINCI Cleanng through Peaking LC* Maly anal ittakflary of The Bank el Mew Yore Mellon CaveratIon (OM Wilco) Per Oing 11.C. meet.. IthitA.Pkilli2PM—OOO46748 DB-SDNY-0009572 EFTA_00157357 EFTA01289720 Deutsche Bank P.O Box 1776, Baltimore, MD
Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Transactions by Type of Activity (continued) December 1,2017 - December 31,2017 SOUTHERN FlNA NCIAL LLC ROGOW Trade, Settlemen1 Transaction Date Dale Activity Type Description Quantity Price Acauee Interest Amount Currency Securities Bought a
ted [smitten trey Yew Since 2007 OMAR MITO COMMUNICATIONS EXCLUINCI Cleanng *roar PEWS 11C. a iota/ corned Maid's." a The Mak a New Yak Mellor. CaveratIon (MY Mike) Per 11. ing rner-bn A.g411WPM-00046276 DB-SDNY-0009100 EFTA_00 156885 EFTA01289248 Transactions by Type of Activity (continued) Roa
Entities connected to both NCIAL LLC and CaveratIon
the Options Clearing Corporation
ORGANIZATION
Angela Merkel
PERSON
Condoleezza Rice
PERSONSecurities Investor Protection Corporation
ORGANIZATION
Ghislaine Maxwell
PERSON
Baltimore
LOCATIONJersey City
LOCATIONM oody's
ORGANIZATION
Deutsche Bank
ORGANIZATIONPershing
LOCATIONPie Chart
ORGANIZATIONLegal Department
ORGANIZATIONthe Pershing Customer Service Department
ORGANIZATIONUSAGES
ORGANIZATIONthe State of New York
LOCATIONON PERSHING'S
ORGANIZATIONTHE FEDERAL RESERVE SYSTEM
ORGANIZATIONInterest - U.S. DOLLARS
ORGANIZATIONPershing LLC
ORGANIZATIONTHE CLEARING FACILITY
ORGANIZATION