EFTA01412435.pdf

Amber Davis From: Xavier Avila Sent: To: Cc: Subject: Thursday, November 16, 2017 10:31 AM Nina Tona; Martin Zeman Alastair Mackinlay; Mathew Negus; Joshua Shoshan; Davide-A Sferrazza RE: Southern Financial LLC [I] Approved Davide is an expert of filling BSFs. Let's keep this account ipen in GM. Thanks From: Nina Tona ‹ > Date: Thursday, Nov 16, 2017, 09:35 To: Martin Zeman , Xavier Avila ‹ > Cc: Alastair Mackinlay , Mathew Negus Subject: RE: Southern Financial LLC [I] Classification: For internal use only Hi Martin and Xavi, Please advise on the below, we have 6 weeks to complete this process. PENDING W/BUSINESS 1. Provide RR (Sales Rep) AND RP (Desk Head) 2. Provide Certification of Incorporation 3. ACO Attestation — Xavier Avila 4. BSF Form — Please work with the client to have the attached filled out. 5. MD sales approval — Xavi please approve the below Hi Xavi, Kindly provide MD sales approval for the NCA of Southern Financial LLC for the below products/entities. Thank you Nina Tona 1 EFTA01412435 From: Nina Tona Sent: Tuesday, November 14, 2017 10:51 AM To: Martin Zeman ; Xavier Avila ‹ > Cc: Alastair Mackinlay ; Mathew Negus Subject: Southern Financial LLC [I] Classification: For internal use only Hi Martin, Hope all is well. Southern Financial LLC is one of the accounts GM wanted to off-board thus we are working on retaining the client. In order to do so, kindly provide the below info. PENDING W/BUSINESS 1. Provide RR (Sales Rep) AND RP (Desk Head) 2. Provide Certification of Incorporation 3. ACO Attestation — Xavier Avila 4. BSF Form — Please work with the client to have the attached filled out. 5. MD sales approval — Xavi please approve the below Hi Xavi, Kindly provide MD sales approval for the NCA of Southern Financial LLC for the below products/entities. Thanks Kind regards, Nina Tona Associate Business Control Manager, Key Client Partners — Americas Deutsche Bank Wealth Management 5022 Gate Parkway Jacksonville, Florida 32256 Tel. Email KCP products and services are intended and available only for persons who are sophisticated institutional investors within the meaning of the FINRA Rule 4512(C)(3), and who are capable of evaluating the strategies, characteristics and investment risks of, and exercising independent judgment in evaluating, the ideas and products discussed herein. Trades and transactions are subject to relevant internal approvals of DBSI or its affiliates prior to execution, and the execution of any transaction or idea discussed herein is conditional on your becoming a client of Deutsche Bank. 2 EFTA01412436 Key Client Partners (KCP) products, investment ideas and solutions and related matters discussed herein are provided for discussion purposes only, and strictly on a nonadvisory basis. The KCP Americas desk does not provide investment advice. The information set forth herein is confidential and personal to you and is being presented for your information and for discussion purposes only. Any reproduction and/or redistribution thereof (in whole or in part) or disclosure of its content without our written consent is strictly forbidden. This communication does not create any legally binding obligation on the part of DBSI or any of its affiliates. 3 EFTA01412437