ell Susan Rodriguez Sean Jules Michael King Vincent Commisso Kimberly Hart Mary A Coleman • Carlos Luna Aracely Sanchez ; Michelle Pecorino Mauricio Pretelt Brian P Conve ; Gavin Kim : Anu Barua Stewart Oldfield Salvatore Moore 'Cynthia Rodriguez' [IMCEAEX- ; Brigid Macias Julie Cataudella ; Leann

Moore Natalie Hilde Barak rde Berrios ; Cynthia Rodriguez ; Rebecca Velanis Beatriz DiBugnara ; Elizabeth Payne ; Carol Meister I I; Lesle Mauricio Pretelt ; Theresa Romano ; Anu Barua ; Ma a Fonseca Scott Prokop Janet Sible Theresa Romano ; Elizabeth Payne Julie Cataudella Brenda Guerrier ; Pa

dow • Print This Page • Expand All I Collapse All V Relationship Details Relationship Name LAPIDUS, LILIA JUDITH RELATIONSHIP Primary Officer Mauricio Pretelt Reason for KYC Update to KYC Wealth Details Same for All Parties Moderate Risk High Risk 1 Relationship ■ Number Case Owner Approved KYC

Case: 01774563 - Salesforce - Unlimited Edition Page 3 of 9 v Approvals Primary Officer/WA Mauricio Pretelt Primary Officer/RM 11/2/2017 Approver Approval Date AM Approver (Intl Briana Gargurevich AM Approval Date 11/2/2017 Only) (Intl Only) Offi

Gargurevich Action Changed AM Approver (Intl Only) to Briana Gargurevich. 11/2/2017 4:58 PM User Mauriclo PreteIt Action Changed Cass Owner from Mauricio Pretelt to Briana Gargurevich. 11/2/2017 4:58 PM User Mauriclo Pretelt Action Changed Primary Officer/Ma Approver to Mandeb Pretelt. 11/2/2017 4:57 PM Us

From: Sushant Banerji on behalf of USPWM GTO-Reporting Sent: 1/18/2019 7:04:02 PM To: Scott Prokop Gillin CC: Pecorino Mauricio Pretelt Rosema Vrablic _0=EXCHANGE Josie Alonso Andrea Nicoletti Sequana Beale Westhoff ; Michele-M Quattrocchi ; Carlos Luna ; Aracely Sanchez ;

Case: 01909661 — Salesforce - Unlimited Edition Page 9 of 9 User Mauricio Pretelt Action Changed Case Owner from Mauricio Pretelt to Briana Gargurevich. 3/9/2018 3:27 PM User Mauricio Pretelt Action Changed Primary Officer/RM A

de Lapidus Role Account Holder Please Describe Last Modified Date 3/1/2018 Case Comments 3/20/2018 10:04 AM User Briana Gargurevich Public RM Mauricio Pretelt speaks to client on Comment regular basis. Last being 2/8/2018. No material changes to report Attachments Global Print.pdf Risk calc 1909661 Lil

dow • Print This Page • Expand All I Collapse All v Relationship Details Relationship Name LAPIDUS, LILIA JUDITH RELATIONSHIP Primary Officer Mauricio Pretelt Reason for KYC Update to KYC Wealth Details Same for All Parties Moderate Risk High Risk Relationship Number Case Owner Approved KYC DB Pa

Lapidus, Lilia Judith — Salesforce - Unlimited Edition Page 5 of 12 Customer Team Dearla Oliveira Mauricio Pretelt Team Role Investment Officer Cases Team Role Secondary Client Manager Case Record Type KYC -Onshore Type Case Subject KYC Annual Call Note Con

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6:02:41 PM To: Michele-M Quattrocchi Douglas Robertson Terrence F Tangney • Leanna Rivera Stewart Oldfield Elizabeth Payne I Brendan Heinz • Mauricio Pretelt [email protected]; Leanna Rivera • Elizabeth Payne CC: Sanchez Andrea Nicoletti Janice M Smith Tangney Lori Jackson ; Gavin Kim • Scott

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