New TD Ameritrade Institutional Account Number, as of February 26

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1 February 8, 2018 CL NB-I-SEQ <Name> <Address> <City, State Zip> Dear Valued Client, We re excited to let you know that as of Monday, February 26, the final step in the transition of your Scottrade account ending in ***** <XXX> to, the division of TD Ameritrade serving independent Advisors and their clients, will be complete. Your account will have a new number once it transfers to TD Ameritrade Institutional: Current Scottrade Account Number <sctacct> New Account Number, as of February 26 <tda_acct_nbr> There is nothing you need to do. Your relationship with your Advisor remains the same. Your account holdings will automatically transfer to TD Ameritrade Institutional. When and how to access your account As of 4:15 p.m. ET on Friday, February 23, and through the weekend, you won t have access to your Scottrade account(s) as we transfer your Scottrade holdings to TD Ameritrade. We apologize for any inconvenience this may cause. Please contact us at if you need assistance during this time. Beginning on Monday, February 26, use the TD Ameritade Institutional online client platform, AdvisorClient, to access your account: Log in to AdvisorClient.com using your current Scottrade account credentials Use your existing Scottrade advisor-managed account number as your User ID and use your Scottrade password. For your convenience, we ve prepared a tutorial to help you get started on our website, which will be available on first-time login. You may be prompted to verify your existing security questions. The answers to these security questions will not change from what you have set up at Scottrade. You will be automatically prompted to link any accounts that have the same Tax ID number and date of birth upon initial login. To link any other accounts, you will need to complete and return the enclosed Linking Agreement on or after February 26. Your watch lists at Scottrade will be migrated over and will be available on AdvisorClient.com. Questions about accessing your account? Please contact your Advisor, or call us at , option 4.

2 Account statements and trade confirmations You will receive two February statements one reflecting your Scottrade account, showing zero balances and positions, and one reflecting your new account with. You may continue to receive two statements in March, April and May if there is any residual activity in your Scottrade account, such as dividend or interest payments. Your historical statements, tax documents and transaction history from your Scottrade account will be accessible on AdvisorClient.com. Historical trade confirmations, however, will not be available online. Important upcoming dates February 15: Last day to transfer assets between your Scottrade account and another brokerage firm. Internal transfers will continue to be permitted between Scottrade brokerage accounts until February 22. February 16: This is the last day you can initiate an ACH transaction at Scottrade. As of this date, Scottrade will no longer accept worthless security trade requests. Last day to open a new Scottrade account. February 23: Last day to initiate wires, request check distributions or deposit checks at Scottrade, or use Scottrade debit cards. You ll receive paper confirmations for all trades placed on this date, even if you opted to receive electronic confirmations. Last day to trade in your Scottrade brokerage account. Extended hours trading will not be available in the evening. Any advanced orders (One Cancels Other and One Cancels All) and conditional orders will be canceled after market close on February 23. Any open advanced orders will not transfer over to. As of 4:15 p.m. ET, Scottrade platforms will no longer be accessible. February 24 25: Your existing Scottrade accounts will transfer to. February 26: You can begin opening new accounts at. Scottrade forms and agreements will no longer be accepted. For forms, please contact your Advisor. Please review and retain the enclosed document, TD Ameritrade Business Continuity Statement. If you have any questions, contact your Advisor or call us at Cash management All bank information, distribution instructions and/or standing letters of authorization on file in your Scottrade brokerage account will be migrated to. Scottrade Bank account instructions and information will not migrate. If you have checks or debit cards for your Scottrade brokerage account, or Scottrade Bank account, and used them at least once in the last two years, you ll receive a new set of TD Ameritrade checks and a new TD Ameritrade debit card. You should not start using your new TD Ameritrade checks or debit cards until on or after February 26. If you have not received your new checks or cards by March 12, please contact your Advisor.

3 New check deposit and wire instructions To deposit a check into your account, you can: OR Download the AdvisorClient Mobile app and easily scan checks into your account. Make checks payable to and be sure to include your new TD Ameritrade Institutional account number. Regular Mail: PO BOX Dallas, TX Overnight Mail: 7801 Mesquite Bend Drive, Suite 112 Irving, TX To send a wire from your financial institutional located in the United States: Wells Fargo Bank, NA 420 Montgomery Street San Francisco, CA ABA transit routing # For credit to: TD Ameritrade Clearing, Inc. Account # For benefit of: TD Ameritrade Account Number Your name Your mailing address To send a wire from your financial institutional located outside of the United States: First National Bank of Omaha 16th & Dodge Streets Omaha, NE ABA transit routing # Swift Code / BIC: FNBOUS44XXX (If your bank requires it) For credit to: TD Ameritrade Clearing, Inc. Account # For benefit of: TD Ameritrade Account Number Your name Your mailing address Tax documents and activity Tax Documents: If you have a non-retirement account, you will receive one consolidated Form 1099 for all dividend, interest, and trade activity in If you have a retirement account, you will receive one 1099R for distributions that occurred in 2017, but you may receive two Form 5498s, depending on when you made a contribution to your account. You will receive two sets of tax documents for tax year 2018 one set from Scottrade and one set from. IRA Account Activity: If you have an IRA, your 2017 year-end balance along with your 2017 and 2018 Scottrade contribution and distribution information is available on AdvisorClient.com (Go to My Account > Statements). We re here to make this a smooth transition If you have any questions, please contact your Advisor or call us at We look forward to supporting the relationship between you and your Advisor, and are committed to providing the best service experience in the industry. Sincerely, John V. Tovar Managing Director, Brokerage Services

4 Brokerage services provided by TD Ameritrade, Inc. and Scottrade, Inc., both subsidiaries of TD Ameritrade Holding Corporation. Scottrade, the Scottrade logo and all other trademarks, whether registered or unregistered, are the property of TD Ameritrade IP Company, Inc., Division of TD Ameritrade, Inc., member FINRA/SIPC. TD Ameritrade is a trademark jointly held by TD Ameritrade IP Company, Inc. and The Toronto Dominion Bank TD Ameritrade NB-I-TDAI1166

5 ADVISORCLIENT.COM ACCESS FORM Account # Advisor # Case # Use this form to authorize TD Ameritrade to provide electronic view only access of all account information to an interested party. 1 ACCOUNT INFORMATION Provide the account number(s) you are requesting to have set up for electronic access to your TD Ameritrade account(s). Account Number Account Title 2 Please list any additional accounts on separate page. INTERESTED PARTY INFORMATION I (We) hereby request view only access via be made available to the parties below. Name (First, Middle, Last) Does the Party below require a new user ID? If no, please mark below and provide the existing user ID. Company (if any) 3 AUTHORIZATION AND SIGNATURES All account owners must sign the form to authorize the above instructions. Mailing Address: PO BOX Dallas, TX TDAI 3083 REV. 02/17 *TDAI3083* Investment Products: Not FDIC Insured * No Bank Guarantee * May Lose Value, Division of TD Ameritrade, Inc., member FINRA/SIPC. TD Ameritrade is a trademark jointly owned by TD Ameritrade IP Company, Inc., and The Toronto-Dominion Bank TD Ameritrade. Page 1 of 1