Deutsche Bank Wealth mdilagernerri Volcker Questionnaire for Onboarcling of WM Vehicles The Client Rep is required to provide this questionnaire for any new WM client that is not a natural person. If none of the categorizations under Part I or Part 2 applies to the new WM client, the Volcker Resource will contact the business line coverage lawyer. Name of Client: Southern Financial LLC Part 1 Check the box if the person or entity for which the account is being opened. corresponds to any of the following classifications: : A legal entity, for example a corporation or single-member LLC. that is wholly-owned by one person. A family trust' that is established by a single natural person, by spouses. by several Family Members2 ("Family Trust, or by such persons together with a Family Trust or Family Vehicle (as defined below) established by Family Members of the same family. x A corporation, limited liability company or partnership that is wholly-owned by a single natural person, by spouses, by several Family Members ("Family Vehicle") or together with a Family Trust or Family Vehicle established by Family Members of the same family. If owned or established by related Family Members, the principals have described the relationship to among the Family Members as follows: An estate. An ERMA, US Pension or Profit Sharing Plan (including any employee's stock bonus, pension or profit-sharing trust) which is a broad-based employee benefit plan that is qualified under Section 401 of the Internal Revenue Code of 1986 (excluding plans for senior executives only), or the foreign equivalents of such plans. A governmental plan which has been established for the exclusive benefit of its employees or its beneficiaries for the purpose of distributing the corpus and income of the fund accumulated in such plan. A charitable organization that qualifies for tax exempt status under Section 501(c)(3) of the Internal Revenue Code or that is operated exclusively for r