EFTA01362798.pdf

Epstein, Jeffrey E. — Salesforce - Unlimited Edition Page 1 of 310 salere.corn • Close Wndow • Print This Page • Expand As I Collapse All Epstein, Jeffrey E. Customer Record Client Customer Owner Stewart Oldfield Type Customer Name Epstein, Jeffrey E. German PO Relationship SOUTHERN FINANCIAL Created By Tanuj Sharma, 4/18/2013 11:30 AM RELATIONSHIP • Type Individual Last Modified By Relational Junction, 1/16/2018 10:18 AM SSN Customer Id 483,289 Federal Tax ID # GC'S Customer 00000483289 Number Referral Source Bank 1 Name of Referral " Moderate Risk Source Third Party Referral • High Risk Source Status Active Risk Reason KYC: 1790655 RR. .575 D04/C02/813 (Managing client assets) KYC 1195100 Risk Rating: .480 C 02 Doubtful reputation/negative information PEP KYC 1121718 Client Since Date 9/12/2013 Risk Type Former Client? Volcker Covered Fund? Portfolio AIF N/A Management Team Covenant Contact Will Appointment Preference EEA Client Type N/A Gross Estate EEA Country(ies) * Booking Location Dispensation Switzerland Last KYC-approved Form K date KCP KCP East Adopted Exception Comment https://dbforcepb.my.salesforce.com/0016000000piPn0/p?retURL-40016000000piPn0?srP... 1/ 16/2018 CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. 6(e) DB-SDNY-0052413 CONFIDENTIAL SDNY_GM_00198597 EFTA01362798