Case File
efta-01583218DOJ Data Set 10OtherEFTA01583218
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Unknown
Source
DOJ Data Set 10
Reference
efta-01583218
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1
Persons
0
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J.P. Morgan Account Suitability Supplement
J.P.Morgan
A. Account Information (required for JPMS Brokerage and Investment Management accounts)
Title of Account: SOUTHERN TRUST COMPANY, INC
Personal Accounts
K Individual
O Community Property
Primary Account Owner:
Number of Dependents
Total Net Worth excl.
Owner Annual Income (5)
Liquid Net Worth (5)
primary residence (5)
Joint Account Owner:
Annual Income (5)
Entity Accounts
0 Corporation
O Partnership
K PIC/PHC (applicable to International entitles only)
O Sole Priprietorshlp
O Foundation
O Endowment
O Limited Liability Company
O Limited Liability Partnership
00ther Non Profit
Annual Income (5) 5,000,000
Liquid Net Worth (5) 2%000,000
Total Net Worth (5) 30,000,000
Trust/Estate Accounts
O Trust O Estate O Endowment O Foundation
O ERISA Plan
O Other Charitable Trust
O Other
Trust/Estate Liquid Net Worth (5)
Trust/Estate Total Net Worth (5)
B. Affiliations (required for JPMS Brokerage and Investment Management accounts)
Applicable to account owners or authorized signers or trustees and executors.
I, my spouse, or Immediate family member who receives material support from me or gives material support to me is, or has been, a
director, corporate officer, control person, affiliate or an owner of 10% of a public corporation's stock:
O Yes ® NO
If yes, name of person
Name of corporation
If yes, Is the corporation traded publicly on a U.S. Stock exchange?
O Yes
No
I, my spouse, immediate family member who receives material support from me or gives material support to me, or an individual
controlling the account is employed by or associated with an FCM, broker-dealer, a futures or securities exchange, the NFA or FINRA,
the CFTC, SEC or the MSRB:
ID Yes
to No
If yes,0 name of employer
Name of employee/asses.
Accountholder or immediate family member or another household member is an employee of a financial institution or insurance
company:
K Yes fa No
If yes*, name of institution
Name of employee/assoc.
•If Yes, Broker-Dealer and FINRA member financial institutions must provide written permission on corporate letterhead to open a
Brokerage, Margin, or Investment Management account.
O Joint OTWROS/JAWROS for TX residents)
O Tenants in Common
OTenants by the Entirety
O Transfer on Death (TOO)
o UTMA/UGMA
O IRA
Owen/
Name of Employer
C. Brokerage Account Information (required for JPMS Brokerage accounts only)
Investment Profile
My objective for this account (check one):
O Capital Preservation
O Income Generation
l Capital Appreciation
Speculative or aggressive Investments that may operate higher returns but may be riskier than other investments because I may
lose all or part of my Investment (check one):
0 Are permitted In this account
0 Are not permitted in this account
Primary source of income:
Investments
O Compensation
O Pension
O Other
Please indicate the number of years of personal trading experience for the authorized party(s) on this account:
Hedge Funds/
10 Fx 10 .5r 0Cdttrtsd 1n
v Options •I0 EMmaerkrgeits
n9
ATE/gents
ea rntrodities 1° Venni to
Stocks 1°
Bonds
1 currently have brokerage accounts with the following firms; NO
Approximate value of investable assets held away from the firm? $ 1.000.000
Those assets are invested in the following Asset Classes: filEquities Wised Income & Cash RiAltemative Investments 00ther
Most of those assets are invested In:
El Equities
El Fixed Income & Cash
NI Alternative Investments
00ther
Check only one selection for Investment 77me Horizon, Primary Liquidity Needs, and Secondary Liquidity Needs
O 6-10 years
Investment Time Horizon:
O Less than 1 year
O 1-S years
Greater than 10 years
Primary Liquidity Needs:
°Short Term
O Medium Term
El Long Term
O None
Secondary Liquidity Needs:
OShort Term
O Medium Term
O None
El Long Term
J.P. Morgan Use Only
SOUTHERN TRUST COMPANY, INC Title
CAS
Page 1 of 2
NELSON 0 JUSTIN Banker/Investor
3/13 1522
Confidential Treatment Requested by JPMorgan Chase
JPM-SDNY-00062849
EFTA01583218
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