Mullin Customer Number Customer Name Type * High Risk o Exempt Reason Exemption Reason John Lelend Mothershead Vi Trust * Moderate Risk Annual Client Update Due Dat Customer Owner Client N N 4/28/2017 Mich Edward C French Jr Trust Client N Nicholas Panasevich Trust Client N Eleanor J. Panasevich Trust Client N JOHN G LARUSSA 2014 IRRV TR FBO LEAH BROOKS ael Mullin JOHN G LARUSSA 2014 IRRV TR FBO JOHN TAYLOR ael Mullin JOHN G LARUSSA 2014 IRRV TR FBO ANNE PEARCE ael Mullin LaRussa 2014 Trust No 3 Client N LaRussa, John Taylor Client N LaRussa, Anne Pearce Client N Benny S Anne Larussa Grandchildrens TR No • 3 /2017 Michael Mullin Benny S Anne Larussa Grandchildrens TR No 3 /2017 Michael Mullin Benny S Anne Larussa Grandchildrens TR No 3 /2017 Michael Mullin LaRussa, Joseph Bruno Client N LaRussa Daughters GST Trust FBO Anna LaRussa n LaRussa n LaRussa n LaRussa ael Mullin LaRussa ael Mullin LaRussa N N N LARUSSA LARUSSA LARUSSA 5/2/2017 5/3/2017 5/3/2017 Client N Client N Client N 5/27/2017 5/27/2017 5/27/2017 FBO Leah Brooks FBO John Taylor FBO Anne Pearce 5/27/2017 Client N Daughters GST Trust FBO Barrett LaRussa Client Daughters GST Trust FBO Olivia LaRussa Client Grandchildrens Trust No. 2 FBO Anna LaRussa Grandchildrens Trust No. 2 FBO Barrett LaRussa 2014 Trust No. 2 Client N Madeleine Hilton McGraw Revocable Trust Client LaRussa, Leah Brooks Client N LARUSSA, MARY CARSON Client N LARUSSA, JOHN GREGORY Client N McGraw IV, Donald Client N Donald C McGraw Jr Residuary Tr u/a/d /2017 Michael Mullin DONALD C MCGRAW FOUNDATION INC Client N N Client N Client N Y 5/27/2017 Michael Michael Michael Larussa Larussa Larussa Michael Michael Mull Michael Mull Michael Mull Y Y Y 5/27 5/27 5/27 Mullin Mullin Mullin Client N Client N Client N Mullin 5/27/2017 • 5/27/2017 • 5/27/2017 Y Y 5/27 5/27 Michael Mull N N 5/27/2017 • 6/2/2017 • 6/2/20