Case File
efta-01468646DOJ Data Set 10OtherEFTA01468646
Date
Unknown
Source
DOJ Data Set 10
Reference
efta-01468646
Pages
2
Persons
0
Integrity
Extracted Text (OCR)
Text extracted via OCR from the original document. May contain errors from the scanning process.
December 4, 2013
Dear [Client Name],
This letter is provided to you as a prospective client of the Asset & Wealth
Management (AWM) Key Client Partners (KCP) Desk - US.
All services offered by KCP are provided on a strictly non-advised basis. In
order to become a client of KCP, please sign and return the FINRA 2111
Institutional Suitability Certificate, which accompanies this letter. In
addition, we will separately provide you with any additional documentation
that we may require in order for you to become a client of KCP.
Clients of KCP are also clients of the AWM Private Wealth Management group
(WM). Please be aware that WM products and services are distinct and
separate from the products and services of KCP. WM will not advise you on
products and services provided to you by or through KCP, and in becoming a
client of KCP you represent that you will be capable independently of
evaluating the investment risks of each transaction made available to you by
the KCP Desk, and that you will exercise independent judgment in evaluating
each such transaction, and you will notify us if you are unable to make the
preceding representations with respect to any such transaction.
If you have any questions regarding the distinction between KCP and WM
services or if you wish to learn more about WM, please contact [client
facing professional].
To confirm that you accept and understand the matters raised in this letter,
please sign and return a copy of this letter to [client facing
professional].
Sincerely yours,
AWM KCP — US
Acknowledged and accepted by:
Client Name on behalf of
Signature
Date
[insert entity name]
EFTA01468646
Tazia Smith
Director
Deutsche Bank Securities Inc
Deutsche Asset & Wealth Management
345 Park Avenue, 26th Floor
New York, NY 10154
Tel
Securities offered through Deutsche Bank Securities Inc.
EFTA01468647
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