EFTA Document EFTA01452702

PO By 1776. Baltimore MD 2120.3 Client Service Information Dpitisoc Dam Mom wo Il 'blurrier wae. (wrap On Des*. Sank 1[M/IIPtIM- Ma ifAClikr• 3411.04 *now. VAIp0r PlemObt. NY 10154 (MI IWO!. Ns% 21114O9S Statement Period: 01101/2014 • 01131/2014 Your Client Advisor: MS TAZiA SMITh 345 PARK MENL,E 14Tr FLOOR NEW YORK NY 1:154 Your Account Information Contact Information Telephone Number: Tax Lot Default Disposition Method Default Method for Mutual Funds: FIRST IN FIRST OUT Default Method for Stocks in a Dividend Reinvestment Plan: FIRST lk FIRST OUT Default Method for all Other Securities: FIRST 1K FIRST OUT Electronic Delivery You have nol selected any account com m unications for electronic delivery. To register and turn off paper can m unications, log in to your account or contact your Client Advisor for m ore inform ation. Important Information and Disclosures Pricing This section includes the net market value of the securities in your account on a settlement date basis. including short positions, at the close of the statement period. The market prices have been obtained from sources which we believe to be reliable. Pershing may not use the closing price of the particular exchange or marketplace where your position was purchased as the 'Market Price.' Securities for which a price is not available are marked —N/A— and are omitted from the Total. The estimated annual income (SAD and estimated current yield (ECY) figures are estimates and for informational purposes only. These figures are not considered to be a forecast or guarantee of future results. These figures are computed using information from providers believed to be reliable; however, no assurance can be made as to the accuracy. Since interest and dividend rates are subject to change at any time, and may be affected by current and future economic, political, and business conditions, they should not be relied on for making investment, trading, or tax decisions. These figures assume that the position quantities, interest and dividend rates, and prices remain constant. A capital gain or return of principal may be included in the figures for certain securities, thereby overstating therm Refer to war .pershing.coralbusiness_continuity.html for specific details as to formulas used to calculate the figures. Accrued interest represents interest eamed but not yet received. THE AS OF PRICE DATE ONLY APPEARS WHEN THE PRICE DATE DOES NOT EQUAL THE STATEMENT DATE. Reinvestment The dollar amount of Mutual Fund distributions. Money Market Fund dividend income, Bank Deposit interest income, or dividends for other securities shown on your statement may have been reinvested. You will not receive confirmation of these reinvestments. Upon written request to your financial institution, information pertaining to these transactions, including the time of execution and the name of the person from whom your security was purchased, may be obtained. In dividend reinvestment transactions. Pershing acts as your agent and receives payment for order flow. Options Information with respect to commissions and other charges incurred in connection with the execution of option transactions has been included in confirmations previously furnished to you. A summary of this information is available to you promptly upon your written request directed to your introducing firm. In order to assist your introducing firm in maintaining current background and financial information conceming your option accounts, please promptly advise them in writing of any material change in your investment objectives or financial situation. Expiring options which are valuable are exercised automatically pursuant to the exercise by exception procedure of the Options Clearing Corporation. Additional information regarding this procedure is available upon written request to your introducing firm. Page 21 of 23 POI CO24 POMO 016 namt.co r Account Number: N46-023804 SOUTHERN FINANCIAL LLC Go pap erless 1 t•—• VI's( I„A 0v AlOU, C-O11 IV. NY . Oat OAR RATED COMMIJNICATIOV6 EXCEL 1.04CE .O.•Tessaynass.tenyr i t .... lia • ...My 4ml:ran ryas. ate 'swam rte. k Pc. u+c CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0109886 CONFIDENTIAL SDNY_GM_00256070 EFTA01452702