EFTA Document EFTA01368145

Southern FinanciaLA LLC Southern Financial.A LLC Southern Financial,A LLC Southern Financial,A LLC Southern Financial,A LLC Southern Financial,A LLC Southern Financial,A LLC Southern Financial,A LLC Southern Financial,A LLC Southern FinanciaLA LLC Southern Financial,A LLC Southern Financial,A LLC Southern Financial,A LLC Southern Financial,A LLC Southern FinanciaLA LLC Southern Financial,A LLC Southern Financial,A 11.0 Southern Financial,A LLC with Client ISDA Uncleared Margin Self- Disclosure Letter Account Opening Checklist PCR check Evidence PCR check Evidence PCR check Evidence Lexis/Nexis Results 1 1 1 1 Correspondence) Correspondence) 007406812Verified 0074C6812Proposed 007406812Verified 007406812Verified 007406812Verified OD7406612Venfied 007406812Verified with Client 007406812Verified Volcker Super 23A Screening Result PCR check Evidence Aminet Screenshot Commercial! Business Registry Extract Correspondence with Client PCR check Evidence Financial Statement Aminet Screenshot Volcker Super 23A Screening Result Financial Statement 1007406812Verified 1007406812Verified 1007406812Verified 1007406812Verified 1007406812Verified 1007406812Verified 1007406812Verified 1007406812 Verified 1007406812Verified 1007406812Verified Classification Documents Onboarding Documents KYC Documents KYC Documents KYC Documents KYC Documents KYC Documents KYC Documents KYC Documents KYC Documents KYC Documents KYC Documents KYC Documents KYC Documents KYC Documents KYC Documents KYC Documents KYC Documents UM Dummy Doc.pdf Checklist 1.xlsx NLS - LITs.pdf NLS Alert • Darren K. Indyke.pdf NLS IBO.pdf Lexis Nexis.pdf SCR Confirm on NOB.pdf W9 signed 2017 11 20.01 VOLCKER UPDATED 12-14-2017.pdf PCR.pdf AMINET.pdf ORBIS.pdf SCR_Confirm_on_all_docs_and_info.pdf NLS.pdf Southern_FinancialLLC_Financials_June_2017.pdf Aminet.pdf yokker_non_us.pdf Southern_Trust_Company_Inc._Financials_June_2017.pdf Page 18 CONFIDENTIAL - PURSUANT TO FED. R. CRI M. P. 6(e) DB-SDNY-0059806 CONFIDENTIAL SDNY_GM_00205990 EFTA01368145