EFTA01268283

ArruevE I:made Mall or Fax to: PO Box 2760 . Omaha, Na 68103-2760 Fox. I Account Transfer Form Receiving Firm DTC Clearing Number: 188 Please use the Direct Registration System (ORS) Transfer Form TDA 100557 for transfer from a transfer agent. Instructions: Attach a complete copy of your most recent statement, of the account you are ragas:rating the transfer from, (dated within 90 days) in order for the transfer to be processed. Please submit the completed form to TO Ameritrade Attn: TO Amerltrade, PO Box 2760, Omaha, NE 68103-2760 or fax to 866-468-6268. To submit the completed and signed form(s) electronically through our secure Message Center, scan It, along with any other material you're sending. Then log in to your account and go to Client Services > Massage Center to write us, and attach the scanned document(s) to your message. "it you are requesting to transfer from your Qualified Retirement Plan, please contact your plan administrator; this form may not be required. it you are transferring between two TO At:twittede accounts, please use the Internal transfer form. Please now you cannot use this form to transfer from a standard checking account and tor savings account from a banklcredit union. For IRAs, and Beneficiary IRAs where the original owner was 7054 years °raider at death, please attach a copy°, your and of year statement to enable us to calculate the required Minimum &Unbutton for the account. 1. ACCOUNT INFORMATION.. , Your 1D Amodtrado Account (The registration of the account being transferred should match your TD Anteritrade account and the Tax ID for both the TO Amentrade account end account being transferred.) Account Number (Required). (Only one per form) Account Registra SOUTHERN FINANCIAL LLC Sods' Se /Tax ID Number SSRBT 5.cvnty7l3 ur ID Numb.- (Secondabt It appecebid Account Typo (select one) lanais/Wu& - (Non IRA) RJoInt Trust OCorp/Business K UCMAAJTMA oEstate OTraditionai or Rdlover IRA El Roth IRA Elgenoliciary IRA O Beneficiary Roth IRA El Qualified Plan (401k, 4038, POP etc.) El SIMPLE IRA El SEP IRA I:Other. 2. PLEASE PROVIDE INFORMATION ABOUT THE DELIVERING ACCOUNT (As directed in Section 1 Doak regisvation and max WSW:NI TO Amentrade account and account being transferred should match.) Account Number (Required): (Oivy one perform) AecouMReolalreilonfrille: SOUTHERN FINANCIAL LLC sods sea-40,1as ID Maitre: Soda? Secunty/Tax ID Number: (Secondary. a apprcebie) ContraiDolocnno Firm Name (Requirodb DEUTSCHE BANK PRIVATE WEALTH MANAGMENT ContneDaliverino Firm Addeo:sr 345 PARK AVE 26TH FLOOR NY,NY10154 C,. gmaYrdt. ConttoDalinuing rem Cmail: Account Typo (select ono) O lndrvidual — (Non IRA) 0JOIN EITrisat EIC0NYBUSIneSS OUGMNUTMA ElEstate K Traditional or Rollover IRA O Roth IRA O Beneficiary IRA O Beneficiary Roth IRA El Qualified Plan (4osc. 4030. r0I1 K SIMPLE IRA El SEP IRA ElOlher If the registrations do not match, you may either establish a new account online at www.tdameritrade.com or you must supply additional documentation and all delivering aeorount owners mulct sign coction 4. For unlike etielregletratIon transfer; pleas* call the transfer department at 888-723-8504, option 4 for additional requirements. *Please note it there are any issues with processing your transfer, we will communicate that to you via your secure message center when you log In to your account. lull 1111 I I IfII III Peplc13 TDA 190 F Oarte CONFIDENTIAL SDNY_GM_00012159 EFTA_00 122810 EFTA01268283 (Page 2 of 4) r °Amens/ids Pica # A. BROKERAGE FIRM TRANSFER (Unless otherwise indicated, TD &mikado mil transfer in Full) OFuti Transfer—Tn transfer entire arra mt. r.herk here and skip to SactInn 4 [Werth, Transfer—UM specific security and/or cash amount below. If bonds are being transferred, please supply the CUSP Only whole shares can be requested as fractional shares cannot be transferred. Please contact the delivering firm regarding your options. Asset Description (CUSIP or syrignY) (Poetise Transfer> Only) Quantity (Indoors et:Inhale shares orALL7 Asset Description (CUSIP or symbol) rectal Transfers Orly) Quantity (Wale a *Arno., enema orALL7 1. 04621XAK4 2,000,000 3. 30162RAA9 3,000,000 2. 172967JZ6 3,000,000 6. 361860208 80,000 3. 172967341 79.000 7. A29866A85 2.000.000 4. 17453BAW1 1,000,000 8. 46625HHA1 5,760,000 B. BANKfCREDIT UNION & ANNUITY TRANSFER Transfer cash only. Unless otherwise Indicated, all cash will be transferred. Banks, Annuity, and Trust Companies require Original Client Signature. Please mall the Original form to complete the transfer request. IRA Savings Accounts—Typically held with Bank/Credit Union. OTotal Transfer (Transfer entire account) OPartia I Transfer (Transfer pert of account) Portion to transfer O Wire (fees may apply) O Check Certificates of Deposit (CDs). ['Redeem my CD immediately. I am aware of, and acknowledge, that lam responsible for any penalties that I may incur from any early withdrawal. ORedeem my CD at maturity. Maturity Date: Submit request at least 21 days prior to maturity. Please advise your bank not to roll over your CO to a new term. Indicoto In II713 section whether you wish to liquidate the CD immediately or at Tottnity. For any investment inatniMents that have a renewal deadline, maturity date, surrender charge period/window etc., paperwork must be received by TO Ameritrade in good order three weeks prior to the firm deadline to allow /or proper processing times. To liquidate a CO held in a non-refirement account, confect the bank a credit union at which the assets are being held. Annuity Transfer OTransfer my Annuity O Fut/ O Partial $ • O Wire I have an annuity policy that I wish to transfer. Please redeem and terminate on my behalf. K (lees may apply) am aware of, and acknowledge, that am responsible for any penalties that I may incur from n Check any early withdrawal. Select only one: Liquidate annuity in full or partial liquidation. If partial is selected, amount for partial must be included. TO Arnerltrade Is not responsible for the liming or execution of liquidations processed by the delivering firm. C. MUTUAL FUND COMPANY TRANSFER Check box for In-ItInd or Liquidation Transfer. Please list the Symbol or CUSP for the Mutual Fund(s) you wish to move. Unless otherwise indicated. TO Ameritrade will transfer shares in-kind. This section pertains only to shares of Mutual Funds held directly with the fund company, for brokerage accounts containing Mutual Funds and/or Stocks please complete the Brokerage Firm Transfer section (Section 3A. above). 'Proprietary Mutual Funds and all no.load Money Market funds cannot be transferred in•Idnd and must be liquidated. Fund Name or Symbol Mutual Fund Account # Quantity (Indicate a of shares a AU? Handling (Check one) Gains & Dividends (Check one rf halms) aln•Kind Liquidate aReinveal Cash In-land Liquidate OReirnest O Cash Oln•Kind OLiquidate pReiment LICash 'If you are transferring more funds than will 6f above, please include an attached list for the complete list of funds 'A statement MUST bo included to ensure proper handling and processing of your Mutual Fund transfer Unless otherwise Indicated, I authonle the Transferor to liquidate anynon-trans:orate proprietary money market and mutual fund assets that are parf of my account and to transfer the resulting credit balance to my armint with TO Arnenesda.11 the fund is unable to be hell by TO Amcwitrade, I (please initial hero) authorize the Transferor 10 liquidate and transfer as cash. Page20(3 ❑wire (fees may taPPlY) O Cheek TOA *OF 03718 CONFIDENTIAL SDNY_GM_00012160 EFTA_00122811 EFTA01268284 (Page 3 of 4) TO Amman:de Ama If this TO a acco Alone if this TO Am trade account is an Individual Retirement Account (IRA), I have led an IRA plaint so that It names the successor custodian. X 9icl Signahre: X 0s-OirmitTSifte: z X CceOrmer's 3 1u X Co-Owner's Saner...Fe. 7/075/xer Date: Date Dale Registration Difference For uniam titled or typo trariefers, such at Individual to Joint. I authorize the transfer from account to NI parties on the delivering account must sign below. All TO Amentrade parties must sign Si section 6 Icr transfer authorization. SOCOunt. Count Sennett Mit X Chant Signature. X Chau &annum: 5. ONE AND THE SAME LETTER (IFIIPPLICABLE) Date: Dar. If you we transferring an account. and the name(s) at TD Amerittade do not exactly match but are dB one arid the same person, please cornplete this section. This section should be utilized if your name has changed due to one or more of the following. Moulage. (Divorce, Name Spelling CrTor. or any type of Name Change including Jr., Sr, etc. If last name difference, must supply legal documentation that is, state Issued drives license. patsprirt, nr grivernment ID (Pkiace T.perity arrant types, sort ac Individual In. hint) (please print name), am One and the Same as (please print name) as shown on the delivering firm account. (Please specify account types, such as Individual to Jo/nd Please sign name BOTH ways. dArr Signatia: 6. TD AMERI (RADE, CLIENTADTHORIZATION (REQUIRED)- X SIgnallet All TD Ameritrade account holders (clients or trustees) as Indicated by the account registration must sign this section. Unless otherwise indicated in the Instructions above, please transfer, Irk kind. an assets into my account with TD Amentrade. I understand that the extent any assets in my account are not readily transferable, with or without any penalties, such assets may not bo transferred within the time frames required by applicable regulations. I understand I will be contacted by the carrying and/or receiving firm with regard to any assets that are not transferable. I authorize the Transferor to deduct any outstanding fees due to transfer from the credit balance, or W the credit balance in the account is Insufficient to satisfy any outstanding feet II certificate, or other instrument, in my account are in your physical possession, I Instruct Transferor to transfer them in good deliverable form, Including affixing any necessary tax waivers, to enable the successor custodian to transfer them In Its name for the purpose of sale. when and as directed by me. I understand that upon retaking a copy of this transfer instruction, for a full account transfer. Transferor wil freeze my account and cancel all open orders. I also understand that no new orders mayAvill be taken. I affirm that I have destroyed or returned to the TIa fWQ, aedittdebit cards anWor unused checks issued to me In connection with my account. t Is a qualified retirement account. I have amended the applicable plan to designate tho successor custodian. (fitodolien Signature Guarantor/ - For TO Arrentraie Use Only) The end- signed organizati' agrees to serve as successor custodian for the account of the above-named inenridual, and as custodian, we agree to accent I assets being Ira -erred X Ftercelatin Signaler Representative PitntedNarnir For TO Ameritrade Cl of ring. Please be advised tha TO 1172.5/2o/ . use only °Tilted° Clearing, Inc. Is an 'Approved 403(b)(7) Vendor' and/or has enterEd into an Information Sharing Agreement with the Employer for the abovecaplioned 403(b)(7) account. The Employer/Agent Signature above hereby authorizes TD Ameritrade Clearing. Inc. to accept this exchange. (Medalbon Signature Guarantee- For TDPmeltrate Use Only) Investment Products: Not FDIC Insured ' No Bank Guarantee ' May Lose Value To Ameritrade. Inc. and TO Ameritrade Clearing. Inc.. members FINRA/SIPC TO Amergrade is a trademark jointly owned by TO Amentrade IP Company, Inc. and The Toronto-Dominion Bar*. 0 2018 TO Ametitrade. Page Sof 3 TDA TOO F 03/11 CONFIDENTIAL SDNY_GM_00012161 EFTA_00 122812 EFTA01268285 (Page 4 of 4) Page 1 From: Date: To: Subject Attachments: From Address: "KOFAX PROD PROCESS" < Mon, 25 Feb 2019 18:32:2 -0..00 ACAT transfer from DB revised //- messagelD=103747981 //- caselD=58160354 Attachment_20196564.zip, Attachment_20196565.zip Message ID: 103747981 Case ID: 58160354 Form Message FULL NAME: Richard Kahn ACCOUNT TITLE: SOUTHERN FINANCIAL LLC USERID: 867730320z ACCOUNT NUMBER: User-Agent: Mozillad5.0 (Macintosh; Intel Mac OS X 10.13; rv:65.0) Gecko/20100101 Firefox/65.0 ENVIRONMENT: invcstameritradecom Attached arc revised forms with signature on correct line #6. Thank you [ Attachment 1 Type: applicattonipdf Name: TD_Bank_ACAT_transfer_from_DB_2-25-2019_1_of 2.pcla [ Attachment 2 Type: application/11dt' Name: TD_Bank_ACAT_transfer_from_DB_2•25.2019 2_of 2.pdfl CONFIDENTIAL SDNY_GM_00012162 EFTA [X1122813 EFTA01268286