EFTA01268461

1D Anievrrikvade Mail or Fax to: PO Box 2760 Omaha, NE 68103-2760 Fax: 866-468-6268 Account Transfer Form Receiving Firm DTC Clearing Number: 0188 Please use the Direct Registration System (DRS) Transfer Form T0A 100557 for transfer from a transfer agent. Instructions: Attach a complete copy of your most recent statement, of the account you are requesting the transfer from, (dated within 90 days) in order for the transfer to be processed. Please submit the completed form to TD Ameritrade Attn: TD Ameritrado, 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 > Message Center to write us, and attach the scanned document(s) to your message. "If you ate requesting to transfer from your Qualified Retirement Plan, please contact your plan administrator; this form may not be required. If you are transferring between two TD 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 banklcredit union. For IRAs, and Beneficiary IRAs where the original owner was 70)4 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 Ameritrade Account (The registration of the account being transferred should match your TO Ameritrade account and the Tax ID for both the TD Ameritrade account and account being transferred.) Account Number (Required): (ON n ne Ferir ) 867-730320 Account Regletradorade: SOUTHERN FINANCIAL LLC Social Security/4x ID Number 66-0799192 Social Security/Tax ID Number: (Secondary if applicable) Account Type (select one) Individual — (Non IRA) OTruSt OCOrp/SUSIneSS D0GMAUM% ElEstate El Traditional or Rollover IRA El Roth IRA K Beneficiary IRA K Beneficiary Roth IRA K Qualified Plan (401k. 4038, PSP. etc.) K SIMPLE IRA K SEP IRA DOther: 2. PLEASE PROVIDE INFORMATION ABOUT THE DELIVERING ACCOUNT (As *acted in Section 1 both registration end Tax IDs for the TO Ameritrade account and account behg transferred should match) Account Number (Required): (0nty one per form) N46-023804 Account RegstrationTee: SOUTHERN FINANCIAL LLC Social Scour/10-ex ID Number: 66-0799192 Social Security/Tax ID Number (Secondary If applicable) ConiraiDelkedng Firm Name Mews* DEUTSCHE BANK PRIVATE WEALTH MANAGMENT Contra/Delivering Ram Address: 345 PARK AVE 26TH FLOOR NY,NY10154 Confracelivering Arm Phone Number (Required): ZZ LIfftt- 0'153 ContraiDetivering Firm Ernalt Account Type (select one) Olndividual — (Non IRA) O.1oint OTrust I:Corp/Business OUGmAiuTmA DEstate 0 Traditional or Rollover IRA E1Rolh IRA 0 Beneficiary IRA K Beneficiary Roth IRA 0 Qualified Plan (401k. 4036, PSR etc.) 0 SIMPLE IRA OSEP IRA 00lher If the registrations do not match, you may either establish a new account online at virww.tdameritrado.com or you must supply additional documentation and all delivering account owners must sign section 4. For unlike tideiregistration transfec please call the transfer department at 888-7234504, option 4 for additional requirements. Please note if 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. 1111111111111111111111111111111111111111 Page 1 ol 3 IDA 190 F 03118 EFTA01268461 TO Amorittado Acct # 867.730320 A. BROKERAGE FIRM TRANSFER (Unless otherwise indicated. TO Amerind° will transfer in Full) ['Full Transfer—To transfer entire account, check here and skip to Section 4. ['Partial Transfer—List specific security and/or cash amount below. If bonds are being transferred, please supply the CUSP Only whole shams can be requested as fractional shares cannot be transferred. Please contact the delivering firm regarding your options. Asset Description (CUSIP or symbol) (Partial Transfers any) Quantity (Indicate a of whole snares or ALI Asset Description (CUSIP or symbol) (Peal Transfers Only) Quantity (Indicate ll of stole shares or'AU.7 1. 539439AG4 1,903,000 5. 2. AAPL 180,000 6. 3. APO 263,157 7. 4. 8. B. 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 mall the Original form to complete the transfer request. IRA Savings Accounts—Typically held with BanklCredit Union, OTotal Transfer (Transfer entire account) OPertial Transfer (Transfer part of account) Portion to transfer 0 Wire pees mar sorAW D Cheek Certificates of Deposit (CDs). ORedeem my CD Immediately l am aware of, and acknowledge, that I am 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 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 have a renewal deadline, maturity date, surrender charge petiodlwindow, etc., paperwork must be received by TO Ameritrade in good order three weeks prior to the firm deadline to allow for proper processing limes. 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 $ 0 Wire I have an annuity policy that I wish to transfer. Please redeem and terminate on my be halt gees may apply) l am aware of, and acknowledge, that lam responsible for any penalties that I may incur from 0 Chock any early withdrawal. Select only one: Liquidate annuity in full or partial liquidation. If partial is selected, amount for partial must be included. TD Ameritrade is not responsible for the timing or execution of liquidations processed by the delivering firm. C. MUTUAL FUND COMPANY TRANSFER Cheek 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 Ameritrade will transfer shares in-kind. This section pertains only to shares of Mutual Funds held direcUy with the fund company, for brokerage accounts containing Mutual Funds and/or Stocks please complete the Brokerage Firm Transfer sedlon (Seetbn 3A, above). Proprietary Mutual Funds and all no4oad Money Market funds cannot be transferred in-kind end must be liquidated. Fund Name or Symbol Mutual Fund Account # Quantity (kid/cage It of shares or ''ALL7 Handling (Check one) Gains 8 Dividends (Check me GM-kind) OlmKinci ['Liquidate ORelmest III Cash Oln•Kind OReinvest OCtlall NI Liquidate In n-Kind M Liquidate Ul I Reinvest OICash If you are transferring more funds Than will fit above, please include an attached list for the complete 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 non4ransferablo proprietary money market and mutual fund assets that are pan of my account and to transfer the resulting credit balance to my account with TO Amerttrade. If the fund is unable to be held by TO Amerind°, I (please initial here) authorize the Transferor to liquidate and transfer as cash. OWlre (tees may apply) 0 Chock Fage2ot 3 70A 190 F 03118 EFTA01268462 TO Ameritrade Acct 0 867-730320 Registration Difference For unlike tilled or type transfers, such as Individual to Joint, I authorize the transfer from account to All parties on the delivering account must sign below. All TD Ameritrade parties must sign In section 6 for transfer authorization. X Client Signature: A r Client Signature: X Client Signature: 5. ONE AND THE SAME LETTER (IF APREICABITE).. . accost. Date: Date: Date: If you are transferring an account, and the name(s) at TD Ameritrade do not exactly match but are still one and the same person, please complete this section. This section should be utilized if your name has changed due to one or more of the following: Marriage, Divorce, Name Spelling Error. or any type of Name Change including Jr.. Sr., 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 Individual to Joint) (please print name), am Ono and the Same as (please print name) as shown on the delivering firm account. (Please specify account types, such as Individual to Joint) Please sign name BOTH ways. X Signature: 6. TO AMERITRADE CLIENTAUTRORIZATION (REQUIRED) 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 TO Ameritrode. 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 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 if the credit balance in 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 affreng any necessary lax 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 receiving a copy of this transfer instruction, for a full account transfer, Transferor will freeze my account and cancel all open orders. I also understand that no new orders may/will be taken. I affrm that I have destroyed or returned to the Transferor all credit/debit cards and/or unused checks issued to me in connection with my account. II this TO AmeritradeeccoDn Alternatively, iphis-TD Arneriln I have adopted an IRA plan so a qualified retirement account, 1 have amended the applicable plan to designate the successor custodian. account is an Individual Retirement Account (IRA), t it names the successor custodian. X Cl int Signature: / y . Coavners Signature: X Co-Owners Signalut,,,,,/" X Co-Owners Signe Date: 2/2.,72019 Date: Date: The undersign • organization accept the a ens being trans Date: (Medallion Signature Guarantee — For TO Arnentrade Use Only) frees to serve as successor custodian for the account of the above-named Individual, and as custodian. we agree to ed. X Repress rive Signe Representative PA% d Na For TD Ameritrade C Faring,,] E. only i.ti Please be advised I t TDishentrade Clearing, Inc. is an 'Approved 403(b)(7) Vendor' and/orhese eree into an InformatiOn Sharing Agreement we' the Employer for the above-captioned 403(b)(7) account. The EmpioyertAgent Signature above hereby authorizes TD Amerilrade Clearing, Inc. to accept this exchange. Date: 2-25-209 (Medallion Signature Guarantee — For TD Ameritrade Use Only) Investment Products: Nol FDIC Insured ' No Bank Guarantee ' May Lose Value TO Ameritrade, Inc. and TO Amerilrade Clearing, Inc., members FINRNSIPC. 'ID Ameritrade is a trademark jointly owned by TD Ameritrade IP Company, Inc. and The Toronto-Dominion Bank. O 2018 TD Ameritrade. Piga 3e1 3 TDA 190F 0lit8 EFTA01268463