EFTA01345231.pdf

KYC Print Page I 1 of 34 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summa 3A. Individual Details (for all parties) Individual's Name: Date of Birth: Country of Residence: USA Country of Citizenship: USA Has client resided of his/her Address of primary on 07039 United States Livingston country of nationality for O Yes iA No residence: 5 years or more? Profession/Occupation: Lawyer Tax ID / SSN: Current Employer: Southern Financial LLC Position/lide/Ftank: Address of employer: 575 Lexington Ave, 4th R Livingston NY United States 10022 Does the person work as senior executive of a DB-recognized regulated entity D yin g No in the financial industry? (Not applicable for operating entities) Is the individual a Politically Exposed Person (PEP)?(if Yes, describe) O Yes No To the best of your knowledge, is the individual related to an employee of the O Family O Friendship gll None DB group7pfFamily or FnendshiA describe ) To the best of your knowledge, is the individual party to a non-banking relationship with Deutsche Bank (e.g., external legal counsel, client referral O Yes WI No source, supplier of goods or services)?(if Yesdescnbe) If applicable, indicate which bank officers have met Indicate where and when the client meeting(s) took place: the person: Client Client Place Bank Officer Name(s) Bank Office: Private Other Location (specify): Date: of Business: Domicile: O O 12/12/2016 O O ri Ll L. O Wealth Details for this individual are not filled in, because they are the same as for the following person: 3D. Wealth Details (Only for parties requiring source of wealth description as indicated in Section 2) Nature of the Individual's Business: Primary Country of source of wealth/source of Funds? Primary industry of source of Wealth/Source of Funds? Summarize Source of Wealth: O Business Owner O Salary/Eamings C Investment II Inheritance/Gifts 11 Other: Further Describe Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For trusts, how did senior accumulate wealth? For inheritance, how did family accumulate wealth?For business owners, how long in business, how many employees, level of profitability? Indicate type of business, counties of major activities, important business partners.) Estimated Annual Income Estimated amount of investable assets(g): (S): Estimated Net Worth(;): Amount of assets planned to invest with PWM(1,): https://db forcepb .my.salesforce.com/servlet/senflet.Integration?1id=01N30000000D9Di ... 8/2/2018 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0031449 CONFIDENTIAL SDNY_GM_00177633 EFTA01345231