dbCAR KYC AFC Escalation - Request ID: LKYCGB-160049, Legal Name: Southern Financial, LLC The request with the following details has been routed to AFC Level I following a KYC assessment in dbCAR Request ID: LKYCGB-160049 Request Type: Extension BR Request Date: 5/3/18 4:54 PM Request Status: Pending-A

PM Subject: dbCAR KYC AFC Escalation - Request ID: Legal Name: Southern Financial, LLC The request with the following details has been routed to AFC Level I following a KYC assessment in dbCAR Request ID: Request Type: ModifyKYC Request Date: 5/16/18 4:13 PM Request Status: Pending-AFCReviewLevel 1