MASTER PROFILE a Legal Name Global Risk Master KYC Profile Southern Financial, LLC HIGH SRC Nexus No Summary RDC Check Status Next Review Date CDD Entity Type Has RDC Screening been done? Deferral Flag Migration Date Entity/Legal Name KYCMode Not Alerted 20190503 Private Entity Yes No 201809037101211.523 GMT Southern Financial, LLC Full Last Review Date Entity Details 03,0512018 Internal ID List Is Restricted Identifier SOUTHFIN LE Tax Details Affirmation Status Name Internal Pending COB review - Paragon (PARAGON) DBForce Customer Number (DBFORCE_CUSTOMER_NUMBER) Name OPENLINK Paragon (PARAGON) DBForce Customer Number (DBFORCE_CUSTOMER_NUMBER) • Tax ID Client Role List Client Role Underlying Principal Principal Country ISO United States • Page 1 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0059789 CONFIDENTIAL SDNY_GM_00205973 EFTA01368128