Nicoletti Customer Number Customer Name Exempt Reason Alpern, Jerome Adam J. Goodman Andrea Nicoletti L. Weicker 1950 Trust FBO T. Weicker ea Nicoletti ea Nicoletti etti Type * High Risk * Moderate Risk Exemption Reason Customer Owner Client N Y 5/3/2017 Lifetime Revocable Trust Client L P Weicker Est L P Weicker Jr Etal Tr Joan M Kettenmann Trust Client N Limestone Partners Client Y BRENT, AVERIL R Client N Bailey, Lilly Beecher Client N Wang, Shu Fang Client N Marty s Dorothy Silverman Foundation Leggett III, John D. Client N Schultz, Michael Client N Isles, Christopher Client N The Mikael M. Purne and Judith Torres Andrea Nicoletti Sussek, Randall Client N Majerholc Esq., Norbert Client N Laplante, Eric H Client N Friedman, Solomon P. Client N Walsh, Michael J. Client N Mtb Holdings Client N Cohen, Edwin Client N Friedberg, Richard Client N Mathez, Hugues Client N Michael s Mary D. Benziger Family • Trust Felice L. Zambetti 1992 Family Trust Rutherfurd Jr., Esq., Winthrop Silverstein, Roger A. Client Trust Uwo Joseph Causin Client Olmsted, Alexandra M. Client Tran Ventures Llc Client Tran, William Client N Lisa Stewart Family Trust under Article 1.0 Client N Client N Client Y Annual Andrea N N N N 5/9/2017 N 5/10/2017 5/16/2017 Andrea N 5/18/2017 5/19/2017 Andrea Client N N Purne 5/20/2017 5/24/2017 5/24/2017 Family Trust 6/3/2017 Andrea N 6/7/2017 N 6/13/2017 6/16/2017 N 6/30/2017 7/5/2017 Andrea 7/6/2017 Andrea N 7/21/2017 7/21/2017 Andrea Client N Client N Client N Client Update Due Dat Nicoletti N 5/4/2017 5/5/2017 Andr 5/5/2017 Andr Andrea Nicoletti Andrea Nicoletti Nicoletti Andrea Nicoletti Nicoletti 5/20/2017 Andrea Andrea Andrea Client Andr Nicoletti Nicoletti Nicoletti N N Nicoletti Andrea Nicoletti Andrea Nicoletti Andrea Nicoletti Andrea Nicoletti Nicoletti Nicoletti Andrea Nicoletti Nicoletti 7/26/2017 8/2/2