Document Mentions (3 shared documents)

EFTA01284112

3 mentions1 same-page

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rties) Indrruluats Plant. Wm.!, In:yko 001c4sn40S Dated Birth: Country of kr:seance: USA Country of Otizensh0: USA Address of pasty r Noce: Livingston 07039 United States itas client resded outside of ht/her country of nationality for 5 years or more' O yes la No Profession/Occupation: Lawyer

e' O yes la No Profession/Occupation: Lawyer Tax ID / SSN: Current Employer Southern Financial LLC Position/Title/Rank: Address of employer. Livingston NY United States 10022 Does the person work as senior executive of a Darecognited regulated entity in the financial nd ustry? or an entity listed o

Policy (1) Client Facing Professionals (CFP's) include: Relationship Atanagers, Wealth Advisors. Product Officers. Brokers. Client Managers, etc. Deutsche Bank Americas New York SDNY_GM_00040038 itttps://dbforcepb.my.salesforcGQNEJIDErlailiAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED R CRIM. P. 6(e) DB-SDNY-

EFTA01297577

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on/Occupation: Lawyer Tax ID / SSN: Current Employer: Southern Financial LLC Position/Tide/Rank: Address of employer: 575 Lexington Ave, 4th A Livingston NY United States 10022 Is the individual a Poltically Exposed Person (PEP)?(if Yes. describe) O yes R No To the best of your knowledge, is the in

C Policy (I) Client Facing Professionals (CFP's) include: Relationship Managers, Wealth Advisors, Product Officers, Brokers, Client Managers, etc. Deutsche Bank Americas New York SDNY_GM_00060934 https://dbforcepb.my.salesforce WIEepcifirfAt N30000000D9Di... 5/23/2018 CONFIDENTIAL - PURSUANT TO FED. atniti 1-•° DB-SDNY-

EFTA00168815

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/Ocaipaten: Lawyer Tax ID/ SSN: Cirrent Employer: Southern Financial LLC Position/Title/Rank: Address of employer: S75 Lexington Avenue, 4th A Livingston NY United States 10022 Does the person work as senio executive of a DB-rexgnized regulated entity in the financial ndustry? or an entity listed on

C Policy (1) Client Facing Professionals (CFP's) include: Relationship Managers, Wealth Advisors, Product Officers, Brokers, Client Managers, etc. Deutsche Bank Americas New York CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(0) DB-SDNY-0000212 UM 9 2814175 EFTA_000 19085 EFTA00168832