2026-09-12_Brandon-Jim_email_Kephart-Due-Diligence-Approved_email.md
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Date: 2026-09-12 Title: Compliance Review / Compliance Record — Due Diligence, Solicitor - Jessica Kephard Source: mail:///messages/...AALKGPdVAAA= (review request) and mail:///messages/...AALKGPdYAAA= (archived record) What this is: Both JotForm compliance-workflow emails as read through the Outlook connector, HTML stripped to their field values. The first is the review request routed to the approver; the second is the archived record after approval. --- ## Email 1 — review request From: Submission Review <noreply@jotform.com> To: Jeffrey Thomas <jt@triumphcapitalmanagement.com> Sent: 2026-09-12 21:25:18 UTC (5:25 PM ET) Subject: Compliance Review: Due Diligence Attachment: 2026-09-12_Jessica-Kephart_Solicitor-Due-Diligence.docx (101,485 bytes) Compliance Record Review [Approve] [Deny] Item Summary Submitter Name: Jeffrey Thomas Compliance Task Type: Due Diligence Topic: Solicitor - Jessica Kephard Review Summary: Compliance submission — Solicitor due diligence, Jessica B. Kephart (referring IAR Jim Peters). Background reviewed beginning of July and write-up completed 12 September 2026. FINRA BrokerCheck, SEC IAPD, EDGAR, NMLS Consumer Access (individual 2743922), OFAC, SAM.gov, the Colorado Judicial Branch docket, Colorado SOS lien and business records, the CBI sex-offender registry and open-source media were searched with no adverse result; the solicitor has never held a securities or advisory registration, holds active Colorado and Tennessee MLO licenses with no regulatory actions, and her identity is corroborated across six independent sources. Two in-house file items are noted for remediation and do not reflect on the solicitor. Cleared to continue. Supplemental Documents: (See Attached) Select the individual(s) responsible for reviewing and approving this submission before finalization: Brandon Drespling --- ## Email 2 — archived record From: Compliance Department <noreply@jotform.com> To: Jeffrey Thomas <jt@triumphcapitalmanagement.com>, Brandon Drespling <brandond@triumphcapitalmanagement.com>, Derek N. Eichenwald <dereke@triumphcapitalmanagement.com>, Compliance Triumph <compliance@triumphcapitalmanagement.com> Sent: 2026-09-12 22:23:18 UTC (6:23 PM ET) Subject: Compliance Record: Due Diligence Attachments: recordID-6650573719314050130.pdf (237,942 bytes); 2026-09-12_Jessica-Kephart_Solicitor-Due-Diligence.docx (101,485 bytes) A New Record Has Been Reviewed and Archived Record Summary Compliance Task Type: Due Diligence Topic: Solicitor - Jessica Kephard Review Summary: Compliance submission — Solicitor due diligence, Jessica B. Kephart (referring IAR Jim Peters). Background reviewed beginning of July and write-up completed 12 September 2026. FINRA BrokerCheck, SEC IAPD, EDGAR, NMLS Consumer Access (individual 2743922), OFAC, SAM.gov, the Colorado Judicial Branch docket, Colorado SOS lien and business records, the CBI sex-offender registry and open-source media were searched with no adverse result; the solicitor has never held a securities or advisory registration, holds active Colorado and Tennessee MLO licenses with no regulatory actions, and her identity is corroborated across six independent sources. Two in-house file items are noted for remediation and do not reflect on the solicitor. Cleared to continue. Supplemental Documents: 2026-09-12_Jessica-Kephart_Solicitor-Due-Diligence.docx Submitted By: Jeffrey Thomas Reviewed By: Brandon Drespling Reviewer Signature: [signature image]