EFTA01268434

TO Ameritrade Mail or Fax to: PO Box 2760 • Omaha. NE 68103-2760 Fax: Account Transfer Form Receiving Firm DTC Clearing Number: 0188 Please use the Direct Registration System (DRS) Transfer Form TDA100557 for transfer from a transfer agent. Instructions: Attach a complete copy of your most recent statement, of the account you aro requesting tho transfer from, (dated within 90 days) In order for the transfer to be process. It the completed form to TD Ameritrade Attn: TD Ameritrade, PO Box 2760, Omaha, NE 68103-2760 or fax to 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 > Message Center to write us, and attach the scanned document(s) to your message. "If you are requesting to transfer from your Qualified Retirement Plan, please contact your plan administrator; this form may not be required. If you are transferring between f wo 70 Ameritrade accounts, please use the Internal transfer form. Please note you cannot use this form to transfer from a standard checking account and/or savings account from a bank/credit union. For IRAs. and Beneficiary IRAs where the original owner was 70% years or older at death, please attach a copy of your end of year statement to enable us to calculate the required minimum distribution for the account. 1. ACCOUNT INFORMATION Your TD Amoritrade Account (The registration of the account being transferred should match your TO Amen:rade account and the Tax ID for both the TO Ameritrade account and account being transferred) Account Number - (Only one perform Account Roggstrati . SOUTHERN FINANCIAL LLC Social Secant /Tax 10 Number: nty ax ID Number (Seconders tf applicable) Account Toe (select one) — (Non IRA) ❑Joint ❑trust K Corp/Business ❑UGMA(UTMA ❑Estate ❑Traditional a Rollover IRA K Roth IRA ['Beneficiary IRA K Beneficiary Roth IRA K Qualified Plan (401k. 4036. PSR etc.) K SIMPLE IRA El SEP IRA 00ther 2. PLEASE PROVIDE INFORMATION ABOUT THE DELIVERING ACCOUNT (As directed in Section I both registration and Tax las for the TO Ameritrade account and account being transferred should match.) Account Number (Required): (Only one per tom) Account RoCustrationfritle SOUTHERN FINANCIAL LLC Social Smugly/Tax ID Number: UMW ID Number: (Seoandary d apper-able) Contratoliverino Few Nano (RectuireC). DEUTSCHE BANK PRIVATE WEALTH MANAGMENT Contratefivedrig Armada:est 345 PARK AVE 26M FLOOR NY,NY10154 ContraiDeuvedng Fern FAcno Number (Required). Contra/DellwrIng Fern Account Type (select one) —(Non IRA) ❑Joint p Trust K Cap/Business K UGMA/UTMA ❑Estate K Traditional or Rollover IRA K Roth IRA K Beneficiary IRA K Beneficiary Roth IRA K Qualified Plan (401k, 4038. PSP etc.) K SIMPLE IRA K SEP IRA K Other: If the registrations do not match, you may either establish a now account online at www.tdameritrade.com or you must supply additional documentation and alt delivering account owners must sign section 4. For unlike litlelrogistration transfer please call the transfer department at 888-7234504, option 4 for additional requirements. •Please note if there aro any issues with processing your transfer; we will communicate that to you via your secure message center when you log in to your account IIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIII CON Fins E N TIAL SONY_GM_ODM4etic ovig EFTA_00123030 EFTA01268434 TO emcee-ado s A. BROKERAGE FIRM TRANSFER (Unless otherwise indicated, TO Amoritrado will transfer in Full) 0Full Transfer—To transfer entire account, check here and skip to Section 4. OPartial Transfer—List specific security and/or cash amount below. If bands are being transferred. please supply the CUSIP. Only whole shares can be requested as fractional shares cannot be transferred. Please contact the delivering firm regarding your options. Asset Description (CUSIP or symbol) (ParXi Transfers Only) Quantity (indicate lot whole shares or 'ALL') Asset Description (CUSP or symbol) (Partial Transfers OraY) Quantity (Ineicate# of aticre Mans or 'Air) 1. CASH 5,000,000 5. AMZN 1,000 2. GOOG 3,000 6. BABA 5,000 3. CVNA 25,000 T. BI I B 2,095 4. UTX 15,000 8. KPTI 25,000 8. BANK/CREDIT UNION & ANNUITY TRANSFER Transfer cash only. Unless otherwise indicated, all cash will be transferred. Banks, Annuity, and Trust Companies require Original Client Signature. Please mail the Original form to complete the transfer request. IRA Savings Accounts—Typically held with BanklCrectit Union. 0Total Transfer (Transfer entire account) 0 Partial Transfer (Transfer part of account) Portion to transfer S K Wire (foes may apply) 0 Chock Certificates of Deposit (CDs). 0Redeam my CD immediately. am aware of, and acknowledge, that lam responsible for any penalties that may Incur from any early withdrawal. °Redeem my CD at maturity. Maturity Date: Submit request at least 21days prior to maturity Please advise your bank not to roll over your CD to a new term. Indicate in this section whether you wish to liquidate the CD immediately or at maturity. For any investment Instruments that hove a renewal deadline, maturity date, surrender charge period window, etc., paperwork must be received by TO Amentrado in good order throe weeks prior to the firm deadline to allow for proper processing times. To liquidate a CD held in a non-retirement account, contact the bank or credit union at which the assets are being held. Annuity Transfer °Transfer my Annuity 0 Full 0 Partial S 0 Wiro have an annuity policy that! wish to transfer. Please redeem and terminate on my behalf. (fees may apply) I am aware of, and acknowledge, that I am responsible for any penalties that! may incur from 0 Cheek any early withdrawal. Select only ono: Liquidate annuity in full or partial liquidation. If partial is selected, amount for partial must be included. Ti) Amor-Made is not responsible for the timing or execution of liquidations processed by the delivering firm. C. MUTUAL FUND COMPANY TRANSFER Check box for In•kind or Liquidation Transfer. Please list the Symbol or CUSIP for the Mutual Fund(s) you wish to move. Unless otherwise Indicated, TD Amerinade will transfer shares In-kind. This section pertains only to shares of Mutual Finds held directly with the fund company, for brokerage accounts containing Mutual Funds and/or Stocks please compete the Brokerage Firm Transfer section (Section 3A, above). 'Proprietary Mutual Funds and all no-ioad Money Market funds cannot be transferred it-kind and must be liquidated. Fund Name or Symbol Mutual Fund Account ft Quantity (Indicate It of shares or -ALL') Handling (Check ono) Gains &Dividends (Checkone if ht.kinco X • In.Kind Liquidate • • Reinvest Cash an -Kind • Liquidate X X Reinvest Cash • In-Kind • Liquidate 0 Reinvest °Cash 'If you are transferring more funds than will fit above, please include an attached list for the compl to list of funds. A statement MUST be included to ensure proper handling and processing of your Mutual Fund transfer 'Unless otherwise indicated. I authorize the Transferor to liquidate any non-transferable proprietarymoney market and mutual fund assets that are part of my account and to transfer the resulting credit balance to my account with TO Ameritrade. If the fund /s unable to be held by TD Ante/Riad% I (please inset here) authorize the Transferor to liquidate and transfer as cash. CONFFIDENTIAL OWire (fees may zippy) 0 Cheek SDNY_GMLIPMIttabb EFTA_00 I 2303 I EFTA01268435 TD Ameritrade Acct Registration Difference For unlike titled or type transfers, such as Individual to Joint, I authorize the transfer from account to account. Al parties on the delivering account must sign below. All TD Amentrade parties must sign in section 6 for transfer authorization. X Client Signalise: )( Client Signature: X Client Signature: 5. ONE AND THE SAME LETTER (IF APPLICABLE) If you are transferring an acoount, and the name(s) at TD Amentrade do not exactly match bid are still one and the same person, please complete this section_ This section should be utifzed if your name has changed due to one or more of the following: Marriage. Divorce. Nacre Seeing Error. or any type of Name Change inducing Jr., Sc. etc. If last name difference, must supply legal documentation: that is, state issued driver's license, passport, or government ID. (Please specify account types, such as lndMdual to Joint) (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 fo Join() Please sign name BOTH ways. X Signature: 6. TD AMERITRADE CLIENT AUTHORIZATION (REQUIRED) Date: Dale: X Signature: 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, in-kind, all 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 be transferred within the time frames required by apparable regulations. I understand I will be contacted by the carrying and/or receiving firm with regard to any assets that we not transferable. I authorize the Transferor to deduct any outstanding fees due to transfer from the credit balance, or if the credit balance i the account is insufficient to satisfy any outstanding fees. If certificates or other instruments 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 thorn in its name for the purpose of sale, when a a ireeled by me. I understand that upon receiving a copy of this transfer instruction, for a full account transfer, Transferor will freeze royaccount and I all open orders. I also understand that no new orders maylwill be taken. I affirm that I have destroyed or returned to the Trarsferor all credt/d it cards and/or unused checks issued to me in connection with my account. If this TD Amen! Alternatively, if I I have adopted ado account is a gGalified retirement account, I have amended the applicable plan to designate the successor custodian. is TD Arneritradehccount is an Individual Retirement Account (IRA), IRA plan so tht it names the successor custodian. X Client Signalise: X Co-Owner's Signature X Co-Owner's Signature X Co-Oimers Signature: 7. LETTER OF ACCEPTANCE (FOR OFFICE USE ONLY) The undersigned organization agrees to serve as successor custodian for the account of the above-named individual, and as custodian, we agree to accept the assets being transferred. DaeN5 PO/I Date: Date: Dare: (Medallion Signature Guarantee — For TD Artientrade Use Only) X Representative Signalise: Representative Printed Name: Date: For TD Ameritrade Clearing, Inc. use only Please be advised that TD Ameritrade Clearing. Inc. is an Approved 403(6)(7) Vendee and/or has entered ni to an Information Sharing Agreement with the Employer for the above-captioned 403(b)(7) account The Employer/Agent Signature above hereby authorizes TO Amentrade Clearing, Inc. to accept this exchange. (ailedellion Signature Guarantee - For TD Amenable Use Only) Investment Products: Not FDIC Insured ' No Bank Guarantee ' Nay Lose Value TD Ameritrade, Inc. and TD Ameritrade Clearing, Inc., members FINRAISIPC. TD Amentrade Is a trademark jointly owned by TO Ameritrade IP Company Inc. and The Toronto-Dominion Bank. O 2018 TD Ameritrade. CONFIDENTIAL SDNY_GM_000M3B6s 03/18 EFTA_00123032 EFTA01268436