EFTA01297798.pdf

Southern Financial LLC
NAME SEARCHED :
PWM BIS-RESEARCH performed due diligence research in accordance with the standards set by AML Compliance for your business. We completed thorough searches
on your subject name(s) in the required databases and have attached the search results under the correct heading below.
Significant negative media results may require escalation to senior business. Legal and Compliance management. Also, all accounts involving PEPs must be escalated.
Search: Result: Click here for results: Reviewer Comments (as necessary):
No Hit • Not Required
RDC I. RDC Results No RDC alert (Please sox attached)
• I lit
I21 No Hit 0 Not Required
FIRCOSOFT II. FIRCOSOFT Results No FIRCOSOFT alert (Please sec atlachcd)
E Hit
There was no information found
E Yes - r No HI. Negative Media
1315
ID Not Required IV. Non-Negative Media There was no information found
V. Other Lawman Media There was no information found
Results? Er Yes CI No vi. D&B Result found(Pleasc sec attached)
D&B
Il Not Required
There was no information found
Stnanlinx Results? 0 Yes .11 No
II Not Required VII. Smartlinx
0 Review by Legal May There was no information found
Court Cases be Required No Results VIII. Court Cases
El
0 Search not requval
Prepared by: Rccna Cbandwani Datc:07/24/2018
Research Analyst
Instructions:
I. Review and confirm that all results arc returned for your client.
2. Please note that you are still required to perform any Martindale-Hubbell search (if applicable) on each search subject. We have attached the wch link
below for your conveniencc:hfarlindalc-Hubbellhttp://www.marlindale.comhp/Martindak/home.xml
3. As needed, provide comment for any negative results.
4. If applicable, please obtain clearance from Compliance for all alerts.
5. Save any changes you make to this document and attach file to your KYC.
Please note: Submission of a signed KYC is your confirmation that you have fully reviewed the research documents.
For internal use only
For internal use only
Stifir_GM_00061266
CONFIDENTIAL
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DEI-SDNY-0024091
EFTA_00171778
EFTA01297798

OFAC RESULTS
RDC:
S
11636700 Not Alerted KYC 01946825 Country:UNITED STATES i
Southern Financial LLC
FIRCOSOFT:
Alert(s)
Request ID Record ID Type Name Details
ADM INT PEP SAE
Southern
21371624 WR_213716242182 Company Financial No Alert No Alert No Alert No Alert
LLC
BIS RESULTS
Negative Media:
There was no information found
Non-Negative Media:
There was no information found
Other Language Media:
There was no information found
Public Records:
There was no information found
D&B:
Copyright 2018 Dun & Bradstreet, Inc
For internal use only
For internal use only
SDNY_Grvi_00061267
IDENTIAL
CONFIDENTIAL — PURSUANT TO FED R.QQN(F DB-SDNY-0024092
EFTA_00171779
EFTA01297799

Page 2
Worldbase, 01/07/2011, SOUTHERN FINANCIAL LLC
dunb brac street
Worldbase
January 7, 2011
SOUTHERN FINANCIAL LLC
430 DOUGLAS AVE
(registered address)
ALTAMONTE SPRINGS, FL 327142506
USA
COUNTY: SEMINOLE
REGION: NORTH AMERICA
COMMUNICATIONS
TELEPHONE:
COUNTRY CODE: 0001
CABLE TELEX: NNYNNNP
COMPANY IDENTIFIERS
DUNS: 14-388-2210
COMPANY INFORMATION • " * * ******
EMPLOYEES HERE: 2 - Estimate
EMPLOYEES TOTAL: 2 - Estimate
COMPANY TYPE: Private
EXECUTIVES
CEO:
D HARRIS. PRINCIPAL
DESCRIPTION
INVESTMENT ADVICE
For internal use only
For internal use only
SDNY_GM_00061268
IDENTIAL
CONFIDENTIAL - PURSUANT TO FED. R.ctr1;fi(E DB-SDNY-0024093
EFTA_00171780
EFTA01297800

Page 3
Worldbase, 01/07/2011, SOUTHERN FINANCIAL LLC
MARKET AND INDUSTRY
SIC CODES:
6282 - Investment advisory service
LOAD-DATE: June 22, 2018
LEGAL RESULTS:
Court Cases:
There was no information found
For internal use only
For internal use only
SDNY_GM_00061269
IDENTIAL
CONFIDENTIAL - PURSUANT TO FED. R.QQN(F DB-SDNY-0024094
EFTA_00I7178I
EFTA01297801