EFTA Document EFTA01463438

Subject: Re: Brokerage Does [I] From: Amanda Kirby < > Date: Mon, 22 Jul 2013 10:23:56 To: Jay Lipman < -0400 Cc: Paul Tazia Morris < Smith < >, Vahe Stepanian < > Classification: For internal use only Thank you, Jay From: Jay Lipman/ To: Amanda Kirby/ Cc: Paul Morris/ Tazia Smith/ , Vahe Stepanian/ Date: 07/19/2013 05:12 PM Subject: Re: Brokerage Does (I] Classification: For internal use only Hi Amanda, Primarily, here are the docs for the LLC. (attachment "09-PWM-0168_LLC-051811-Portal.pdf" deleted by Amanda Kirby/-] [attachment "13-AWM-0196 Retail_Account_Agreement_PORTAL_032813.pdf" deleted by Amanda Kirby/ ] [attachment "13-AWM-0128_CIP_Notice_021313.pdf" deleted by Amanda Kirby/ Here are the does for the Inc. (attachment "13-AWM-0196_Retail_Account_Agreement_PORTAL_032813.pdf" deleted by Amanda (attachment "09-PWM-0186-CORPACCT-022212-PORTAL.pdf" deleted by Amanda Kirby/-] (attachment "13-AWM-0128_CIP_Notice_021313.pdf" deleted by Amanda Kirby/ Kind Regards, Jay Lipman (Embedded image moved to file: pic12249.gif) Jay Lipman Analyst I Markets Coverage Group Deutsche Bank Securities Inc Deutsche Asset a Wealth Management 345 Park Avenue - 26th Floor New York, NY 10154 Tel. Fax Email (Embedded image moved to file: pic12158.gif) EFTA01463438 From: Amanda Kirby/ To: Jay Lipman/ Cc: Vahe Stepanian/ , Paul Morris/ , Tazia Smith Date: 07/19/2013 11:27 AM Subject: Brokerage Docs (I] Classification: For internal use only Hey Jay, Could you prepare 2 sets of Brokerage does for 2 different companies for me today? The 2 companies are Southern Financial, LLC and Southern Trust Company, Inc. I have also attached all the documents we have for the 2 separate entities. I believe we have everything you will need for the KYC. If not, please let me know. (attachment "Authoirzation of inquiry capabilities.pdf" deleted by Jay Lipman/-] (attachment •Certificate of Good Standing - Southern Trust.pdf" deleted by Jay Lipman/ (attachment "JEpstein ID and Social.pdf" deleted by Jay Lipman/-] [attachment "Shareholder info.pdf" deleted by Jay Lipman/-] [attachment "SouthernFin Cert of Existence- SouthernTry Cert of Good Standing.pdf" deleted by Jay Lipman/ (attachment "W-9 ST and SF.pdf" deleted by Jay Lipman/ Thanks! Amanda EFTA01463439