EFTA01340328.pdf

Client File Review Client Name 7,45w Kid 9S Salesperson Name Serakei , 1ch. SPN Custody with MGT? Yes No O Do we have Custody Access? Yes Statement Reviewed? Yes No IRes, for month ending: e<ro,49 • Account Type and -Documents: Primary Does: Morgan / Asset Individual/Joint Partnership** Corp: ** O W-8 / W-9 O W-S / W-9 O Part. Agreement . Resolution Trust RIA Other (Please indicate) O W-8 / W-9 ri Blanket letter n 407 Letter O Custody O Trust Agreement " FX New Acct Form O Prime Broker Agmt ' Auth. List Traders O O O Other: ••Authortzed list of traders required if not listed in Corp. Resolution or the Partnership Agreement EM Risk Disclosure O Margin Agreement O Trading Authorization Options Agreement O Options New Acct. Form O OTC Risk Disclosure Derivative Report If approved for options, please list trading strategies approved: ik• I: Covered Writing 2: Covered Wnting & Buying Options 3: Coveted Writing, Buying Options, & Spreading NO LEVEL 4 S Covered Writing, Buying Options, Spreading, & Uncovered Writing 6: Covered Writing. Buying Options. Spreading, Uncovered Writing, Straddles. & Combinations • Account Allocation and Activity: Market Value: I414 I Jo Allocation: re0/. Cash/Short Term % Fixed Income Margin Debit: _ (as of 3C it -% Convertibles Aprox. Revenues , —% Equity/Stock Last 12 Months: nip ./ 4i0G /oh 1-, f/. , /qf ,%pther Type of Actiti,Z: • ( fr‘ it(' 1 SA-{N-‘ei -e-A-Ct-Zr t,t 1 CrUS -__ • Profile: (Verify: Person Authorized to trade relative to beneficial owner, Client Age versus speculative securities, Background Informatio come, of Worth, Employer, Investment Objective versus portfolio) Annual Income: Age: Total Net Worth: Occupation/Business: Liquid Net Worth: Investment Objectives: riot) CP Trading Authority: 1-4 Rank: G Speculati Risk Toleranc Aggres 'onservative Profile requir Yes No PRISM Information Matche • Follow-up Required: Missing Documents (Please list): Salesperson Follow-up and Received Copy: Date: ACT Follow-up Date: 7--y Confidential Treatment Requested by JPMorgan Chase A lghty,,GM_02775076 JPM-SDNY-00065519 SUBJECT TO PROTECTIVE ORDER PARAGRAPHS 7, 8, 9, 10, 15, and 17 EFTA_00261716 EFTA01340328