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Referral Source Third Party Referral Source Customer Owner Paul Morris German PO Created By Komal Shahani, 5/28/2013 10:27 AM Last Modified By Relational Junction, 9/28/2015 2:13 PM 00000483882 GCIS Customer Number Bank 1 * Moderate Risk * High Risk Risk Reason KYC1195100 Risk Rating: .521 C 02 KYC 10

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cuments Export Documents View Documents From Repository Unconfirmed Investor Status Investor Status Definitions • DB is Trustee/Co- Trustee Relational Junction, 9/282015 2:13 PI 1 KYC 1195100 Risk Rating: .521 CO2 KYC 1082293 Create Annual Client Update Request ACU Contact Exemptior View Exemption Gu

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ey E. German PO Relationship SOUTHERN FINANCIAL Created By Tanuj Sharma, 4/18/2013 11:30 AM RELATIONSHIP • Type Individual Last Modified By Relational Junction, 1/16/2018 10:18 AM SSN Customer Id Federal Tax ID 0 GC'S Customer Number Referral Source Bank 1 Name of Referral " Moderate Risk Source