Southern Financial LLC salesforce.com - Unlimited Edition Page 3 of 12 Description Investment Guidelines Initial Financial Review High Risk Updates/ACU Exemptions Exemption Status Auto Exempt Reason Exemption Reason Other (describe reason) Birthdate ACU held in Customer ACU on this Customer also Cover Contacts Southern Financial LLC Annual Client Update 8/25/2016 Due Date Overdue (1=Yes) 0 Past-Due Explanation High Risk InPerson 2016 Meeting Due Year Lending Review Due Date Salutation Primary Main Contact Phone Primary Phone Type Email Fax Mobile Description DB Accounts N4G023804 - SOUTHERN FINANCIAL LLC 42952771 - SOUTHERN FINANCIAL LLC Account Id Contact Name Southern Financial LLC Product Name Brokerage Advisory Market Value $108,959,911.00 Date Opened 8/26/2013 Active  Balance As Of 9/25/2015 Description N4G025080 - SOUTHERN FINANCIAL LLC Account Contact Name Product Name Market Value Date Opened Active Balance As Of Description ut ern Financial LLC Deposit Transactions $2,212,470.13 9/5/2013 9/25/2015 N4G026161 - SOUTHERN FINANCIAL LLC Account Id Contact Name ou tern mancial LLC Product Name Brokerage Advisory Market Value $0.00 Date Opened 10/8/2013 Active  Balance As Of 9/25/2015 Account Id Contact Name Product Name Market Value Date Opened Active Balance As Of Southern Financial LLC Brokerage Advisory $8,554,181.00 11/4/2013 9/25/2015 https://dbforcepb.my.salesforce.com/00 I 6000000qaNVw/p?retURL=100I6000000qaNVw 9/28/2015 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0047632 CONFIDENTIAL SDNY_GM_00193816 EFTA01359547