EFTA01268310.pdf

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I
Trading Authorization Agreement
TO Ameritrade
PO Box 2760 Omaha. NE 68103-2760
Fax:
If you are wanting to add an Authorized Agent/Officer/Partner to the account and not a Full Trading/Limited Trading Authorization. please submit
the Entity Authorized Agent rorm I LlAttti/ located within me forms livery: https://vnwridamentracte.comnorm-library.
Account Number: S(jarheiciv 17nfignici4l LLC
The Account Owner(s) listed below hereby authorizes and appoints the Authorized Agent(c) below se the Account Owners or owners agents
and attorneys-In-tact for the purchase and sale of securities and other financial Instruments in cash and/or on margin in the Account Owners or
Owners' name or number on the TD Amentrade Clearing, Inc. (the -Clearing Firm') books (the 'Account"). The Authorized Agent(s) may act on
behalf of and without notice to the Account Ovmer(s) to buy, sell, sea short, and to otherwise trade stocks, bonds, mutual funds, options, and/
or any other securities. financial contracts, or financial instruments. Trading Authorization does not allow your Authorized Agent to instruct the
Brokerage Firm to make any changes to the Account (Amens) Account, such as address or record, suitability intormauon, or to upgrade tne
Account to trade on margin or to trade options. The actions of the Authorized Agent(s) have the same force and effect as those of the Account
Owner(c) with roopcot to ouch transactions, TO Amcdtrode. Inc. (the -Brokerage Firm-) is authorized to follow ouch aotione as if directly
instructed by the Account Owner(s). The Authorized Agent(s) represents they are familiar with the Account Owner(s) investment objectives.
financial situation, and needs. and will invest in a manner consistent with these objectives. The Client Agreement set forth in the Account
Agreement and all other agreements applicable to this Account, shall apply equally to the Authorized Agent(s).
If Full Trading Authorization is chosen, this authority includes the right to request delivery of securities or monies from the account in the Anni nt
Owner's or Owners' name(s).
If this is a Mudory account, the Account Owner(c)afrerr* that this grant of trading authomy hoc boon conferred consistent with heehor fiduciary
duties and powers.
The Account Owner(s) understands all such transactions conducted by the Authorized Agent(s) are at the Account Owners or Owners' own
risk. The Account Owner(s) hereby ratifies and confirms any and all transactions made at any time by the Authorized Agent(s) for the Account.
Aaredingly the Antrum/ Owner(s) agrees In indemnify and Mid harmlass the limkaragel Firm and fliaaring Firm from any and all kisses arising
from and to promptly pay on demand any debit balance due on the Account. The Brokerage Firm and Clearing Firm assume no responsibility for
trade monitoring or reviewing any investment activity or decision of the Authorized Agent in the Account Owner(s) account. Furth% the Brokerage
Firm or Clearing does not offer legal or tax advice.
This authorization and indemnity is in addition to. and ei no way limits or restricts, any rights which the Brokerage Firm or Clearing Firm may have
under any other agreement with the Account Owner(s) or Authorized Agent(s). This authorization and indemnification shall benefit the Brokerage
Firm and Clearing Firm, and any successor firms irrespective of any changes at any time in the personnel thereof, and their assigns.
This Trading Authorization Agreement supersedes any prior Trading Authorization Agreements that the Account Owner(s) may have executed with
regard to the Account. This Agreement shall remain in full force and effect until revoked by the Account Owner(s), written notice addressed to the
Brokerage Firm and delivered to its offices. The Account Owner(s) shall be liable for transactions initiated prior to the Brokerage Firm's receipt or
such written revocation.
The Authorized Agent(s) agrees to Immediately notify the Brokerage Firm in writing if any Authorized Agent(s), or members of hisitier household.
are either a) currently employed or licensed by a member of a stock exchange or the Financial Industry Regulatory Authority (FINRA), or registered
es an kivestnient advtsor and using Itie limns° in a professional sales, trathrig, or customer service caoacity, or b) a 'neuter of the board of
directors, 10% shareholder, or policy-making officer of a company which trades pitlidy on a stock exchange.
to help the government fight the funding of ferronsm and money laundering activities, financial institutions obtain and record
information in order to ensure the identity of each person authorized to trade on an account.
What this moans for you: When you are authorized to trade on an account, wo will ask for your name, address, date of birth, and other
information that will allow us to identify you. We may also utilize a third-party information provider for verification purposes and/or ask
But e copy of your di iven's license tit utile, ididdifying
iii
IIIIIIIII
111111111111111111
CONFIDENTIAL sDNY —Gm-0%12490 awe
EFTA_00122846
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AUSITIdentifier (Optional):
Al-FILIA I IONS
nCheck
here if any Authorized Agent is a member of the board of directors, 10% shareholder, or policy-making officer of a publicly traded
company. Specify the name of the Authorized Agent. the company ticker symbol, name, address. city. and state/province:
0 Check here if any Authorized Agent is licensed or employed by a registered broker/dealer, securities exchange, or member of a securities
exchange. We must receive a compliance letter along with this application. Specify the name of the Authorized Agent:
EiChock
horn if any Authorized Agent(*) is. or is employed by. a federal or state registered Investment Advisor.
Are you using your license in a professional sale or trading capacity on this account? ID Yes O No
AUTHORIZED AGENT COMPENSATION
['Check hero if any Authorized Agent is being compensated for providing Investment advice, placing trades, or olhenMse managing your account.
AUTHORIZED AGENT*
gvel
of Authorization: (check only one). If neither Full or Limited is marked, the authorization level will default to Limited.
Full Trading Authorization with Privileges to Withdraw Money and/or Securities (Not applicable on IRA, UTMA, UGMA, Estate,
or Trust Accounts; authorization level will default to Limited.)
El Limited Trading Authorization for Purchase and Sale of Securities Only
Noma Prefix (uptemed. Elea. Emirs. Ones EDr. ORev.
Full Legal Name (7, Relationship to Account Owner:
svecx-%
A )(ti•tiZCI is',0-0"/
Date ct Pith: Soma' Sew Alatmtar••
(MM.00-reng (SSNI
Home Address:
(no PO box or mat drop)
City: ZIP
Please Specify if You Are: Source of Income (if retired or unemployed):
lainemoluno laktinvonalws Ckluifirm4 aelf-Empl
E—Namt Megi(
453ociot 4Ae,
Occupa(ti3on/7Typ)e of Business:
Employer Street Address: 615- LeAg;v14, A.! 4veilve 9 Th Root
city a leut/
y oe k State: Ai tv• ZIP Code:
Joca.Q
*Signakre reeWred below
"If you do not have a Social Security Number. please submit a photocopy of you passport and a copy of a bank or brokerage statement.
CONFIDENTIAL SC/NY_WMeniiir
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Account Number:
AUTHORIZED AGENT'
Level of Authorization: (check only one). If neither Full or Limited is marked, the authorization level will default to Limited.
LiFull
Trading Authorization with Privileges to Withdraw Money and/or Securities (Not applicable on IRA, UTMA, UGMA, Estate,
or Trust Accounts; authorization level will default to Limited.)
OLImIted Trading Authorization for Purchase and Sale of Securities Only
Mims Prof. (0060009, OW ❑fifra. DAL Elot- Oflov-
Full Legal Name: Relationship to Account Owner:
Data of Birth: Social Security Number:"
(MM DD-WYY) (SSN)
Home Address: PrimaryPhone:
(nn PO Me or mesa dor)
City: State: ZIP Code:
Please SPAIN if You Ars: Source of Income (d reared or unemployed):
UUnomplayed ❑Retired ❑Homemaker III Student II Self Employed
Employer Name: OccupatiorWype of Business:
Employer Street Address:
City: State ZIP Code:
'Signature required below.
••if you do not haw a Sooal Security Number. please submit a photocopy of your passport and a copy of a bank or brokerage statement.
TRADING AUTHORIZATION
By our signatures be he A nt Owner(s) and Authorized Agent(s) agree to the provisions within Chia document in its entirety. and
attest that this authorization supers s any prior trading authorization the Account Owner(s) may have executed with regard to the Account.
Furthermore. Mernmt Owner(s) and Linearized Agent(s) acknowledge that the Brokerage Firm or Clearing may refuse to approve. or remove.
the Authorize Agent(s) from acting a the Account Owner(s) agent on this, or any other account.
All Account hers and Authoriz • Agents must sign.
ACCOUNT OWNERS)
XAccount Owner's Sisri ture;—_ Date:
Cergey. /3 201?
XAccount Co-Owner's Signe Date:
Original signature required; lectronic turn smiler signature fonts are not authorized.
r Authorized Agent's Signature: Dale:
Authorized Agent's Signature: Date:
Original signature required; electronic signatures andlor signature fonts aro not authorized.
Investment Products: Not FDIC Insured ' No Bank Guarantee • May Lose Value
TD Ameritrade. Inc. and TO Ameritrade Clearing. Inc., members FINRAMIPC. TD Amoritrodo is o trademark jointly owned by
TD Ameritrade IP Company, Inc. and The Toronto-Dominion Bank. O 2018 TO Ameritrade.
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From: "KOFAX PROD PROCESS"
Date: Wed, 13 Feb 2019 14:52:30 -0500
To: tdarprocessing@tdameritrade.com
Subject: Trading Agent Authorization //- messagelD=103486206 //- case ID=57980026
Attachments: Attachment_20092069.zip
From Address:
Message ID: 103486206
Case ID: 57980026
Form Message
FULL NAME: Richard Kahn
ACCOUNT TITLE: SOUTHERN FINANCIAL LLC
USERID:
ACCOUNTNUMBER:
User-Agent: Mozilla/5.0 (Macintosh; Intel Mac OS X 10.13; rv:65.0) Gecko/201C0101 Firefox/65.0
ENVIRONMENT: investamcritrade.com
Attached is signed form giving Richard Kahn trading agent authorization
Thank you
[ Attachment 1 Type: application/pdf Name: TD_-_Trading_Authorization_Agreement_-_Feb 2019.pdf)
CONFIDENTIAL SONY_GM_00012198
EFTA_00122849
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