EFTA01453156.pdf

Are you related to an employee at another broker-dealer? ❑ Yes ❑ No If Yes, list name of broker-dealer/name of employee: Are you an employee or related to an employee of Finanaal Industry Regulatory Authority/other self-regulatory organization? ❑ Yes ❑ No If Yes, fist person and organization. Is any owner now, or has any owner ever been, a senior corporate offioar or director, or does any owner own 10% or more of any publicly-traded company's stock? ❑ Yes ❑ No If Yes, provide name of company, publicly traded symbol and affiliation date: 2nd Authorized Party's Personal Information Name- DOB. SSN: Legal Address. City: State: Zip/Postal Code. Country: Country of Citizenship.„ If not U.S. (check one): ❑ Resident Alien ❑ Non-Resident Alien Employment Status: ❑ Employed ❑ Self-Employed ❑ Retired ❑ Unemployed ❑ Homemaker ❑ Student Occupation and Position: Employer's Name: Employer's Address: City: State: Zip/Postal Code: Length of Employment Homo Phone Number. Business Phone Number: Email Address: Investment Experience „ Investment Type Experience Annual Activity Level (Select one) (Required) None Limited Moderato High Years of No history (1-5 transactions (6:15 (Over 15 Investing of any per year) transactions transactions transactions per year) 1 per year) Equities Options Fixed Income Mutual Funds Exchange Traded Funds (ETFs) Variable Annuities Real Estate Property (excluding Primary Residence) Alternative Investments (Hedge Funds, Private Equity) Structured Products Foreign Currency Are you an employee of Deutsche Bank (DB), its subsidiaries or affiliates? ❑ Yes ❑ No If Yes, list name of DB employer Are you related to an employee of DB. its subsidiaries or affiliates? ❑ Yes ❑ No If Yes, list name of employee/relationship/name of DB employer. Are you an employee of another broker-dealer' ❑ Yes ❑ No If Yes, list name of broker dealer. Are you related to an employee at another looker-deafer? ❑ Yes ❑ No If Yes, list name of broker-dealer/name of employee: 4 12-PWM-0365 011224.091212 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0110609 CONFIDENTIAL SDNY_GM_00256793 EFTA01453156