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From: rhad Willwrerhinknrcwim To: Cc: PCSTrader@tdameritrade.com Subject: Welcome to TD Ameritrade PCS Trader Date: Monday, September 17, 2018 10:51:34 AM Attachments: jmaae00 t nnq Hello Southern Financial LLC, Welcome to the Private Client Services (PCS) trader program. As part of this program you'll receive a number of special benefits to match your trading style, including: • Priority access: Direct line to a small, dedicated team of veteran traders who are ready to answer your questions • Unmatched trader expertise: Professional-level knowledge of complex derivatives and risk • Account upgrades and money movement: Priority processing to take care of your unique needs • Risk management: Proactive outreach, assistance, and education for expiration risk, dividend risk, and other trading-related issues You can learn more about the individuals on the team and their trading experience in the enclosed bios. You'll discover they're as passionate about trading as you are. You can easily reach the team: • Phone: (800) 587-2226, from 8 a.m. to 6 p.m. ET • Email: PCSTraderOtdameritrade tom • Fax: (402) 970-8488 • Chat: Initiate a support chat request through the thinkorswim• platform, subject: PCS Trader We appreciate your loyalty to TD Ameritrade and look forward to helping you take full advantage of everything the PCS Trader program has to offer. Sincerely, Larry Mikell Manager, PCS Trader team CONFIDENTIAL SDNY_GM_00012346 EFTA_00 122995 EFTA01268409 ---PAGE BREAK--- Your service team Front row: Brad Judd, Micah Riskin, Michael Palermo, Travis Game, Larry Mikell Back row: Stubhy Pandav, Chad Wilber, Bart Leake, Joseph Carava, Alex Coffey, Will Bolton Larry Mikell started his extensive career in trading as an OEX market maker on the Chicago Board of Options Exchange (OBOE) in 1994. Three years later, he moved across the street to trade futures on the Chicago Board of Trade. In 2009 he joined thinkorswim's Trade Desk as a derivatives and risk expert. Larry is now one of our most experienced and knowledgeable Trade Desk managers and will be overseeing this team. Outside the office, Larry enjoys spending time with his wife of 16 years and his eight-year-old son. Brad Judd began as a clerk at the Chicago Mercantile Exchange (CME) in 1990 with a focus on futures options. After leaving the CME in the early 1990s to trade futures on the MidAM, he returned to spend 20 years in the currency pits brokering options to the largest forex trading desks of major U.S. banks with MF Global. He continued to broker forex options on the floor and Globex until 2016 when he left to trade for his own account. Having previously run a 24-hour desk, he joined TD Ameritrade in the fall of 2017 on the futures and forex team on the European shift. Brad graduated from Northwestern University with a major in economics and minor in business. He holds his Series 3, 4, 7, 24, 34, and 63. Micah Riskin graduated from Indiana University with a major in political science and a minor in business. A diehard fan/homer, just ask him about IU athletics. He worked at AXA helping educators with their 403b plans and general retirement planning before joining TD Ameritrade in 2013. After two years offering PCS-level white glove service for any back-office account issues on our concierge team, Micah moved to our Trade Desk where he quickly became a top performer and go-to among the former trading floor reps. Besides complex trading strategies and the thinkorswim platform, he specializes in 1256 contracts and 1099, as well as our mobile trading applications. Micah holds his Series 3, 7, 24, 34, and 66. Michael Palermo began his career as an options market maker in the OEX pit at the CBOE where he managed positions and risk as a sole proprietor for 13 years. In 2011 he joined TD Ameritrade to support the firm's most active trader clients with a special emphasis on the thinkorswim platform. He's known for his unmatched industry acumen as well as his expertise in portfolio margin, complex CONFIDENTIAL SIDNY_GM_000 12347 EFTA 00122996 EFTA01268410 ---PAGE BREAK--- options, futures trading, and a broad knowledge of our back office processes. Michael has a degree in finance and holds his Series 3, 63,and 7 licenses. When not spending time with his wife and two children, he enjoys golf and collecting men's footwear. Travis Game began his career in trading on the floor of the CBOE in 1999 where he worked for six years as a floor broker in both equity and index pits. He joined thinkorswim's Trade Desk 13 years ago, before its purchase by TD Ameritrade. Travis eventually moved to the Order Routing team. Since then, he has managed a Trade Desk team and the portfolio margin risk team, working with our most highly-leveraged accounts. Still a regular trader on thinkorswim, he remains a resource for advanced options, routing and exchange-related issues, and risk. As a father of two girls, he plans to raise his daughters to be extreme skiers and Minnesota Vikings and Twins fans like him. Travis holds his Series 3, 7, 24, and 63. Stubhy Pandav began as an arbitrage clerk at the CME in 1999 with a primary focus on futures options. In addition to his financial acumen, he fronted a popular rock band. Stubhy joined TD Ameritrade in 2010 and built a broad knowledge base supporting retail clients as a member of our Trader Electronic Communications Group and tech support team. He has spent the last three years as the top performer for TD Ameritrade Institutional, servicing investment advisors who trade actively on our Institutional platform, thinkpipes. Stubhy holds his Series 3, 4, 7, 34, and 63. Chad Wilber graduated from the University of Notre Dame with a degree in economics and is naturally a big Fighting Irish fan. His first job was as a runner on the grain floor of the Chicago Board of Trade (CBOT). Chad remained there for a few years before moving over to the financial room at the CBOT, beginning a 20-year career in the treasury futures and options complex. Over the course of his career, he has acted as a futures trader and hedger, an options market-maker in the trading pits, and an automated mass-quoter of options in the electronic marketplace. In 2015, Chad joined the TD Ameritrade Trade Desk where he has won numerous awards for performance and service. He has a passion for educating clients and peers, and draws upon an extensive knowledge of option pricing and volatility, risk management, and thinkorswim functionality. He holds his Series 7 and 63 and is an NFA Associated Person for Futures and Forex. Richard (Bart) Leake has over 15 years of floor trading experience as an options market maker and partner of a proprietary trading firm. He spent most of his career trading options in Treasury 10 year notes at the CBOT, and also traded SPX options at the CBOE and S&P500 options at the CME. He transitioned off the trading floor recently and worked at Bank of America Merrill Edge before joining TD Ameritrade. Bart graduated from DePaul University with a major in finance and also studied abroad at the Karl Marx School of Economics in Budapest Hungary. He obtained Charter Market Technician (CMT) designation from the CMT Association and a Certificate in Financial Planning from DePaul University. Bart also holds his Series 3, 7, 34, and 66. Outside the office, Bart enjoys spending time with his wife and three sons who play football, wrestling, track, and soccer. CONFIDENTIAL SDNY_GM_00012348 EFTA_00 122997 EFTA01268411 ---PAGE BREAK--- Joseph Carava was born and raised in the western suburbs of Chicago and now lives in the city with his family. He began his career on the CME trading floor in 2002 as a clerk in the S&P options pit. He then moved to the CBOT to manage a grain desk dedicated to serving a select group of hedge funds. Later, he transitioned to a floor broker in the S&P Options pit at the CME Group, where he executed volatility driven strategies for his institutional clients. Throughout his 15 years in derivatives, Joseph has seen many different sides to volatility amongst different asset classes of commodities. He brings his unique perspective, voracious appetite for learning, and eagerness for personalized teaching to TD Ameritrade and our PCS Trader clients. lie holds his Series 7, 63, 3, and 34. Alex Coffey graduated from University Nebraska-Lincoln (Go Big Red I) with an impressive double major in finance and accounting, and a double minor in math and economics. He also studied abroad at the University of Oxford's exclusive Jesus College. He began his TD Ameritrade career in Omaha as a financial services representative in 2015. A strong aptitude for options, futures, and forex led Alex to move to Chicago in 2016 to join the Trade Desk. Alex currently serves as the main point of contact for some of TD Ameritrade's most valuable active trader clients with a comprehensive expertise in the inner workings of TD Ameritrade's accounts- related procedures. He holds his Series 3, 7, 34, and 63. Will Bolton grew up in the Detroit area and attended Loyola University's Quinlan School of Business in Chicago, majoring in marketing. After a stint running a small Michigan automotive supply company, he joined TD Ameritrade in 2015 as an Electronics Communication Representative where he gained valuable expertise in a myriad of back-office issues. Last year, a move to the Futures and Forex Trade Desk solidified his knowledge on those products and earned him earn numerous service and teammate awards. He specializes in advanced derivatives—especially futures and forex—as well as anything related to the thinkorswim platform. Will holds his Series 3, 7, 34, and 63. Regards, Chad Wilber Sr. Specialist, PCS Retail Trading (773) 244-7194 Direct (800) 587-2226 General (402) 970-8488 Fax lI . SI thinkorswim by if AMERITRADE thinkorswim, Division of TD AMERITRADE, Inc. 600 west chicago avenue, suite #100 chicago, IL 60654-2597 Member FINRA I SIPC I NFA trademark, all rights reserved CONFIDENTIAL SDNY_GM_000 12349 EFTA 00122998 EFTA01268412 ---PAGE BREAK--- This e-mail is sent by a financial firm and contains information that may be privileged and confidential. If you are not the intended recipient, please delete the e-mail and notify us immediately. CONFIDENTIAL SDNY_GM_000 12350 EFTA_00122999 EFTA01268413