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Are you an employee or related to an employee of Financial Industry Regulatory Authority/other self-regulatory organization? K Yes K No
If Yes, list person and organization:
Is any owner now, or has any owner ever been, a senior corporate officer or director, or does any owner own 10% or more of any publicly-traded
company's stock?
K Yes
K No
If Yes, provide name of company, publicly traded symbol and affiliation date:
3rd Authorized Party's Personal Information
Name
DOB.
SSN:
Legal Address:
City.
Country of Citizenship:
If not U S. (check one)
K Resident Alien
K Non-Resident Alien
State'
Zip/Postal Code:
Country:
Employment Status: K Employed
K Self-Employed
Occupation and Position:
Employer's Name.
Employer's Address:
City:
State:
Length of Employment
Home Phone Number:
K Retired
K Unemployed
K Homemaker
K Student
Investment Experience
Investment Type
Experience
Annual Activity Level (Select one)
(Required)
Years of
investing
None
Limited
No history
(1-5 transactions
of any
per year)
transactions
Moderate
(6-15
transactions
I
por year)
High
(Over IS
transactions
per year)
Equities
Options
1
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
i
I
Zip/Postal Code
Business Phone Number:
Email Address:
Are you an employee of Deutsche Bank (DB), its subsidiaries or affiliates?
O Yes
O No
If Yes, list name of DB employer.
Are you related to an employee of DB. its subsidiaries or affiliates?
K Yes
O No
If Yes, list name of employee/relationship/name of DB employer.
Are you an employee of another broker-dealer? K Yes K No
If Yes, list name of broker-dealer.
Are you related to an employee at another broker-dealer?
K Yes K No
If Yes, list name of broker-dealer/name of employee:
Are you an employee or related to an employee of Financial Industry Regulatory Authority/other sell-regulatory organization? K Yes K No
If Yes, list person and organization.
Is any owner now, or has any owner ever boon, a senior corporate officer or director, or does any owner own 10% or more of any publicly, traded
company's stock?
K Yes
K No
If Yes, provide name of company, publicly traded symbol and affiliation date:
5
12-PWM,0355
011224.091212
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e)
DB-SDNY-0110610
CONFIDENTIAL
SONY GM_00256794
EFTA01453157