EFTA01283935.pdf

KYC Print Page I of 20
DB PWM GLOBAL KYC/NCA: PART A
KYC Case 8 : 01195100 Status : 6. Approved
One sheet must be established per relationship - list all accounts included in the relation sh i
1. Relationship Details
Relationship Name: EPSTEIN. JEFFREY REtATTONSIRP:00000013290 Booking Center: New York
Relationship Manager: Pad Monis
Ii1
New PWM Relationship I El Existing Paill Relationship
Relationship to PWM: If existing, please indicate since when the relationship exists provide reason for new profile and attach old prone: ONLY adding
signers to account. MI signers have already been approved ri previous KYCs. Please rush as this is a simple update.
Darren Indyke was approved in KYC 01133377
Harty Beller was added in approved KYC 01141308
IR)
El Client Referral RM Prospect O Intermediary/Fill I • Other Source (O8, etc.)
I
How Was the Client(s)
Introduced, How long has the Please provide details (e.g. name of referral source, how many years RM personally has known client, etc.): Jeffrey Epstein Is a
RM personally know the current client of the Bank- Wants to open a new account. Introduction details of Paul and Jeffrey: Jeffrey Epstein was a chest of
client, Paul's at A Morgan. Paul and Jeffrey Epstein had a mutual friend/coleague who introduced them while Paul was at Miliforgen.
Over the course of a few meetings Paul was able to get Jeffrey to brag some of his funds over to Deutsche Bank
Does Deutsche Bank pay a Eves I O No
retrocession or similar
compensation to a third party
for the introduction of tha (if Yes, dacnbc):
relationshOT
List all existing and new accounts involved In this relationship
legal Entity Account Name / Number Opening Date (intended/actual)
Account(s)
1 12 Southern Financial, LLC 9/19/2013
e
2 Southern Financial, LLC 8/19/2013
3 21 Southern Trust Company, Inc. 8/19/2013
4 2 Southern Trust Company, Inc. 8/19/2013
5 2 Jeffrey Epstein 9/11/2013
6 2 Jeffrey Epstein 9/11/2013
Who is he primary contact
person or the RMT (Note: This
Preferred method of contact
person tied% to have Jeffrey Epstein
(ndicate phone no., fax no,
sronatory rights and/or
email address, etc.):
informo ion rkiht for the
a«ounrs.):
SONY_GM_00039846
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EFTA01283935

KYC Print Page 2 of 20
One sheet must be established for each account to be opened
2. Account Ovewnshlp Sonsery
Account Name: Southern Financial, LLC Acct. Number (Iavailable).
Account Manager: Paul MOMS
What is the purpose of the account (e g. portfolio management, advisory account, custody senses, longterm investment, payment/expense account)/ Monet'
Market. To hold funds for the company.
Indkate from where the assets are expects to arrive?
O D8 Group: Same Booking Center (iidkate account number):
El
DB Group: Other Booking Center (Indicate DB location and account details):
Other hest/Won (Indicate name & location): JPMorgan, NYC
O Physkal Deposits (specify cash, securities, cheques,...):
Whet is the expected size and frequency of regular inflows and outflows for the account (Indicate estimated number and volume per month?: Roughly 2 Inflows
S outflows per month ranging from $1000 to $10,000.
I Currency I USD
That is the expected vokone of assets and currency for the account approx. 90 days after opening? I
1150,1100 'Currency I Um
What b the expected volume of assets and currency for the account approx. one year after opening?
Doe wit the client have Assets Under Management (AuM) within DB under Eur. 3M? OYeaga No
Please list all parties related to the account.
I or each party.
• Check it a source of wealth des< hobo,' is required for the party.
• Check the appropriate box t chic robe the relationship of the party to this account (> I can be selected).
• t non of the check boxes pply, describe the party's relation t the accost in the "Other colorist
• AMay descnbe the relation hip between t e parties in the la/ column.
• Please drill down to the ultimate/underlying Beneficial Owner(s).
egal Deurction AccountPIC Settler of Planate Signatotedkinancial Significant opal 3rantor/Settlorfounding Either
:: C mm itred Source ho lder Owner-Trust / Beneficialor Fut P A Intermethas6hareholderfteptesentathe Donor please
of Wealth Founder of Owner POA (FIN) .> -25%) describe
required Foundation Non-PIC other roles
entity and/cc
Parties .indocate nclicate
related to ownership -relationship
this %) eretween
account ;sties)
Sok
n O O
O 2 Jeffrey O El shareholder
i Epstein ' O e O O O of Southern
Trust;
2 2 0 A S m ou a th d e e r i n a a O El El rl El 11 11 El
LLC
Southern
Trust is the
sole
member of
Southern Southern
3 IZI C Tr o u m st p any, • O O O O O O I00 O O O F o i n n d a J n e ci f a fr l ey
Inc. Epstein Is
he sole
shareholder
of Southern
Trust;
4 O • I D nd a y n ke n O O O CI 5 D O • O O
O O O O O O O
5 O O BKaae"r O O O
6 O O B J r e e a n n n n a e n • O O • Pi O O O I O
SONY_GM_00039849
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ht
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EFTA01283936

KYC Print
Page 3 of 20
2. Account Ownership Summary
Account Name: Southern Financial, LLC Aca. Number (f available)
Account Manager. Paul Morris
What is the purpose of the account (e.g. portfolio management, advisory account, custody services, long-tom investment, payment/expense
account)? Chaddng account to hold funds for the company.
Indicate from Wsere the assets are expected to Krim?
O De Group: Same Booking Center (indicate account nuntier):
O DO Group: Other Booking Center (Indicate DB location and account details):
R
Other InstAution (Indicate name & locationk 'Morgan, NYC
O Physical Deposits (specify cask securities, cheques, ...):
What is the expected size and frequency of regular inflows and outflows for the account (Indicate estimated number and volume per month)': Roughly 10
inflows and 10 °unions per month ranging from $1,000 to $10,000.
I Currency I
What is the expected volume of assets and currency for the account approx. 90 days after opening' I USO
What is the expected volume of assets and currency for the account approx. one year after opening?
1100,000 I Currency I USD
Does/will the client have Avels Under Management (Aunt) within Plunder Fur. 3M? Oyes gi No
Please list all parties ,elated to the account
For each party:
• Check I a source of wealth description 6 required for the party.
• Check the appropriate box to describe the relationship of the party to this account (> 1 can be selected).
• If none of the check boxes apply, describe the party's relation t the meow* in the 'Other' column.
• Ainsays describe the relationship between the parties in the last coltann.
• Please dril down to the ultimate/underlying Beneficial Owner(s).
-egallDescriptian AccounbPIC Senior of JIM:nate ISignatorytimitectinancial Significant .egal GrantortSettiorkounding Other
Entityof Source Holder DwnerTrust / 3endiciabr Fug POA MermediarySharehoiderReprmentative Donor please
of Wealth Founder of Owner POA ,Flail) >=25%) iescribe
required Foundation Non.PIC other roles
entity and/or
Parties ,indkate ndicate
related to 3svnership dationship
this %) >elV/5211
account ganies)
Sok
Icifrey n O • O O OO O • O shareholder
1 • a
Epstein " I of Southern
Trust;
Southern
2 O fa financial la O n O O O O O O O
111C
Southern
Trust is the
sole
member of
squthein Southem
3 5 O C Tr o u m st p any, • O O O O O O too O O O Fa ninda lnecfifarley
Inc. Faster, is
the sole
shareholder
of Southern
Tont
4 O CI lCnId" yke O O O O • O • O O O
Reny u O O
5 O O Beller O O OO O O O
Manna O • O O
6 O O Brennan • • O • 0 •
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EFTA01283937

KYC Print Page 4 of 20
2. Account Ownership Summary
Account Name: Southern Trust Company, Inc. Acct. Number fit am:W.O.
Account Manager: Paul Morris
What is the purpose of the account (eq. portfolio mama ement, advisory account, custody services, long term Investment, payment/expense
account), Checking account. To hold funds for company
Indicate from %Mere the assets are expected to art Ste?
O De Group: Same Booking Center (indicate account number):
O DO Group: Other Booking Center (indicate DB location and account details):
2 Other Institution (Indicate name & bcationk lPFlorgan, NYC
O Physkal Deposits (specify cask securities, cheques, ...):
What is the expected size and frequency of regular inflows and outflows for the account (Indicate estimated number and volume pe month)?: Roughly 10
inflows and 10 outlaws per month ranging from $1,000 to $10,000
I Currency I USD
What is the expected volume of assets and currency for the account approx. 90 days after opening? I
What ir the expected volume of asses and currency for the account approx. one year after 1100,000 I Currency
opening? I USD
Dom/will the client have Assets under Management (AuM) within DO under Eur. 3Mo • Yes .,. No
Please Net all parties related to the account.
For each party:
• Check I a source of wealth description Is required for the party.
• Check the appropriate box to desert* the relationship of the party to this account (> 1 can be selected).
• If none of the check boxes apply, describe the party's relation t the account in the 'Othercolurrn.
• Always describe the relationship between the parties In the last column.
• Please drill down to the ultimate/underlying Beneficial Owner( s).
-egallDescriptbn AccounOPIC Settler of Jitimate ISignatogsinutedr-Inancial 5Ignificant _ego/ GrantonSettiorrounding Other
[mayor Source Holder DwnerTrust/ 3eneficia r Ful POA IntermediaryShateholdereepresentative Donor please
of Wealth Founder &Owner POA (FIM) ,>•250/6) describe
required Foundation Non PIC other roles
entty and/or
Parties ,Indicate ndicate
related to smership dationship
.hls %) oetween
account sorties)
son
1 W El E J p e s ff t r e e e y m • O O 121 O O O O O q o sh f a S r o e u h t o h l e d r e n r
Trust;
SOuthem
2 Icil 0 C Tr o u m s p t any, • ill O s O O O O • O
kw.
O O In D d a y rr k e e n m '— ' O q 1 O 21 OO O O O
4 O O B i" e ller • • • O }21 O O O • •
O O B J r e e a n n n n a e n • • O • Ea O O O • O
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EFTA01283938

KYC Print Page 5 of 20
2. Account Ownership Summary
Account Nan*: Southern Trust Company, Inc. Acct. Number rdavadtbe
Account Manager Paul Monis
what is the purpose of the account (e.g. portfolio management advisory account, custody services, long.term Investment, payment/expense account)? Money
Market account. To hold funds for the company.
Indicate from where the assets are expected to arrive?
O De Group: Same Booking Center (indicate account number):
O DO Group: Other Booking Center (Indicate OB location and account details):
R
Other Institution (Indicate name & bcationk Inlorgan, NYC
O Physical Deposits (specify cash, securities, cheques, ...):
What is the expected size and frequency of regular inflows and outflows for the account (Indicate estimated number and volume pe month)?: Roughly 2 inflows
& outflows per month ranging from $1,000 to $10,0)0
I Currency I USD
YAM is the expected volume of assets and currency for the account approx. 90 days after opening? I
What 6 the expected volume of assets and currency for the account approx. one year after 1150,000 I Currency
opening? I USD
Does/will the client have Ands Under Management (AuM) within Do under Eur. 3M? • yes .,. No
Please list all parties related to the account
For each party:
• Check I a source of wean description is required for the party.
• Check the appropriate box to describe the relationship of the party to this account (> 1 can be selected).
• If none of the check boxes apply, describe the party's relation t the accowit in the 'Other column.
• Akrays describe the relationship between the parties in the last coition.
• Please did down to the ultimate/underlying Beneficial Owner(s).
-egal Description Accoun IC Senior of Jitimate ISignatorytimitectinancial Significant _egal aantor/Settlor-ounding Zither
Entityof Source Holder OwnerTrust / 3enelkialor Fut POA InterrnediaryShareholdertepresentative Donor please
of Wealth Founder of Owner POA (FIM) ,>=25%) describe
required Foundation Non.PIC other roles
entry rod/or
Parties ,indkate ndxate
related to ownership dationship
.hls %) oetween
3CCOUIlt sorties)
Sob
I III El Jeffrey • O O 21 O O O O O shareholder
Erni& U of Southern
TN*
Southern
Trust O O
2 I23 0 Company, Lt-'7L.l El O O O O U O
Inc.
Darren . .
O O Indyke "❑m' O 21 O O O O O
4 O O Belie, • OO O 121 Os • • •
500 B J r e e a n n n n a e n • • O • Ea O O O • O
SONY_GM_00039852
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CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002676
EFTA_00150461
EFTA01283939

KYC Print Page 6 of 20
2. Account Ownership Summary
Account Name: Jeffrey Epstein Acct. Number (If availitile):
Account Manager Paul Morris
What is the purpose of the account (e g. portfolio management, advisory account, custody services, longterm investment, payment/expense
account)' Checking account for killer Cpsteirds personal day 11'..!.
Indicate from where the assets are expected to arrNel
O De Group: Same Booking Center (indkate account number):
O DO Group: Other Booking Center (Indicate DB location and account details):
2
Other Instkution (Indicate name & location): lPfdorgan Chase. New York, NY
O Physical Deposits (specify cash, securities, cheques, ...):
What is the everted size and frequency of regular inflows and outflows for the account (indicate estimated number and volume per month)': Roughly 15
Slows and outflows per month ranging from $100410,000.
I Currency I USD
What is the expected volume of assets and currency for the account approx. 90 days after openng• I
1100,000 'Currency 1 USD
What is the everted volume of assets and currency for the account approx. one year after opening?
Does,kvill the client have Assets under Ma nag ernent (AuM) within 06 under Eur. 3M? Il Yes (5 No
Please list all parties related to the account
for each party: Vies
• Check I a source of wealth description d required for the party.
• Check the appropriate box to describe the relationship of the party to account (> 1 can be selected).
• If none of the check boxes apply, describe the party's relation to the account in the 'Other" column.
• Mertes describe the relationship between the parties in the last coition.
• Please drill down to the ultimatetunderlyam Beneficial Owner(s).
-egailDescratbn Account)IC Settlor of Arnett SignatotwirnibeciFinarxial Significant _egal ‘.taantor/SeWor-‘-iounding Other
Entityof Source Holder Ownearust / 3eneficialor full ?OA Intermediary Shareholdeltepreentative Jaw 'please
of Wealth founder of Dwner POA (f1M) >•25%) describe
required inundation NonPIC sther roles
entity and/or
Parties Indicate ndkate
related to ownership elationship
.hls 46) 5etween
account sorties)
2 O O
O 2 _Jeffrey O 2 O O O O O
I ;intern
liter/ O • O • 5 O • • O O
2 a O
orf
Damen O O O O n O r O O O
1 O O -.dyke
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KYC Print Page 7 of 20
2. Account Ownership Summary
Account Name: Jeffrey Epstein Acct. Number Of evadable).
Account Manager Paul Morris
What is the purpose of the account (eg. pcdfollo management, advisory account, custody services, long-term investment, payment/expense account)? Money
Market account to hold Jeffrey Epsterris personal funds.
Indicate from oboe the assets are expected to arrive?
O De Group: Same Booking Center (indkate account number):
O DO Group: Other Booking Center (indicate DB location and account details):
R
Other Institution (Indicate name & location): 1PFlorgan Chase. New York, NY
O Physkal Deposits (specify cash, securities, cheques, ...):
What is the expected size and frequency of regular inflows and outflows for the account (Indicate estimated number and volume per month)?: Roughly 1.2
Slows and outflows per month ranging from $1,000 to $20,000
'Currency I USD
What is the expected volume of assets and currency for the account approx. 90 days after opening? I
1200,000 'Currency 1 USD
What is the expected volume of assets and cunency for the account approx. one year after opening?
Does/vi the client have Ames Under Management (AuM) within Do under Fur. 3M? 0 Yes 15 No
Please Ilst all pardon related to the account
For each party:
• Check I a source of wealth description is required for the party.
• Check the appropriate box to describe the relationship of the party to this account (> 1 can be selected).
• If none of the check boxes apply, describe the party's Sefton to the monad in the 'Other- coition.
• Always describe the relationship between the parties In the last teflon.
• Please dill down to the ultimate/underlying Beneficial Owner(s).
-egallDescrotbn &ccn nit PIC Senior of Jitimate Signatory‘imitedIFinancial Significant _egal `.2.rantor/SeWorkunding Other
[mayor Source lair. AvnefTrust / 3eneficialor Full ?OA Intermediary Shareholdeltepresentathe Donor 'please
of Wealth rounder of Dwner NU (MM) >=25%) Jescnbe
required inundation Non-PIC other roles
entity and/or
Parties Indicate skate
related to ownership elationship
.hls %) teweeri
account ?aches)
Harry O
I O O Beller O O O III O O O O O
O
2 a El Jeffrey a . • 11 O • • O •
Epsteis
O
3 O O s D o an w en O O O El OO O O O
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EFTA01283941

KYC Print Page 8 of 20
One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary
3A. Individual Details (for all parties)
Individual's Name: Jeffrey Epstein - Date of Birth: 1/20/1953
Country el Residence: USVI Country of Citizenship: USA
Has client resided outside of
FAN.
Ube Saint James Saint Thomas 00802 US Virgin islands hisrihis/hacountry of nellonalty O yes
Address of primary residence:
fa 5 years or more
Profession/Occupation: Self Empolyed Tax ID / SSN: 090443348
Current Employer: Southern financial LLC PoslUcriffille/Ranic President
Address of entiloYer:
Does the person work as senior executive of a 06-recognised regulated entity In the financial
industry'/ or an entity listed on a DB-recognised exchange' (Not applicable for operating entities al Yes Melo
Is the ndnldual a Politically Exposed Person (PEP)7(i/ Yes, desctibe) Oyes RIND
To the best of your knowledge, is the Individual related to an employee of the D8 gioupY(i/ O Family O Friendship &None
Family or Friendship, dewily)
To the best of your knowledge, is the individual party to a non-banking rebtkunhb with
Deutsche Bank (e.g., external legal counsel, client referral source, supplier of goods or O Yes & No
services)7(Y Yes,describe)
Indicate where and wt the client meeting(s) to* place:
U applicable, indicate which bank officers have met the person:
Client Private Client Place of
Bank Officer Names) Bank Office: Other Location (specify): Date:
Domicie: Business
Paul Morris O O 21 4/312013
O M O
O O
0
• Wealth Details for this Individual are not filled in, because they are the same as for the following person:
3B. Wealth Details (Only for parties requiring source of wealth description as Indicated in Section 2)
Nat ure of the Individual's Business: Private investments
Primary Country of source of wealth/source of Funds/
Pnrnary industry of source of WealdVSource of Funds'
Summarize Source of Wealth: gl Business Owner • Salary/Earnings Pi Investment • Inheritance/Gifts O Other:
Further Descrte Source of Wealth /Detail the history of weath for each of the sources: (e.g. For trusts, how dad senior accumulate wealth' For Inheritance, how
did family accumulate weakh,For business owners, how long in business, how many wrployees, level of profitability' Indicate type of business, countries of
major activities, important business partners.) Epstein began his financial caner in 1976 as an options trader at Bear Stearns and became a partner) n 1980. In
1982, Epstein founded his own financial rrilnagernent firm, J. Epstein & Co., managing the assets of dents with more than a billion n net worth. In 1996,
Epstein changed the name of his firm to The Financial Trust Company and based k on the island of St. Thomas in the US Virgin Islands, which merged into
Southern li nark ial U.C. Al of his dents were anonymous except for the very wealthy buskiessman Labe Wexner. His wealth has cone from his days at Bear
Stearns and his financial manag mein firms
Estimated Annual Income($): 10,000,000.00 Estimated amount of investable assets(5): 350 MM - 100 MM
Estimated Net Worth(3): $100 MM - 500 MM Mount of assets planned to Invest with PV/M(y): 10,000.00
Other Known Financial Institutions:
Institution: Obtingan Country: USA Est. Assets Under Mgt: 20,000,000.00
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KYC Print Page 9 of 20
Institution: Country: Est. Assets Under Mgt:
Institution: Country: Est. Assets Under Mgt:
Please indicate the ferrety situation of the indhldual (marital status, other family members, etc.): Single
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mint be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Somme
3A. Individual Details (for all parties)
Inclividuahs Name: Harry Beller - 00000487202 Date of Birth:
Country of Residaice. USA Country of Citizenship: USA
Has client resided outside of
O
hisiher country of nationalty yes 0 Ne
Address of pnmary residence:
for 5 years or more?
ProfessiontOccupatron: Accountant Tax 1D/ SSN:
Current Employer MURK Associates, Inc Posibonfillie/Rank:
Address of employer:
Does the person work as senior executive of a D8-recognised regulated entity In the financial .. w,
industry? or an entity listed on a De-recognised exchange? (Not applicable for operating entities et Yes sal No
Is the individual a Politically Exposed Person (PEP)'Of Yes, describe) O Yes O No
To the best of your 'montage, Is the Individual related to an enwsoyee el the 013 group?br O Family O Friendship R NOne
Famay or A.iabhip, ctscibe)
To the best of your knowledge, Is the Individual party to a Dm-banking relationship vilth O El
Deutsche Bank (e.g., external legal counsel, client referral source, supplier of goods or Yes No
senices)?(/ Yes,desathe ,I
Indicate where and viten the client rneeting(s) took place:
If applicable, indicate .fiich bank officers have met the person.
arm Client Private Client Place of
Bank Officer Narne(s) Bank Other Location (specify): Date:
niche: Business:
Paul Morris 12 I:I O 10/21/2013
N el 0
a 11:1 0
• Wealth DetaRs for this Individual are not filled F. because they are the same as for the following person:
3B. Wealth Details (Only for parties requiring source of wealth description as Indicated in Section 2)
Nature of the Individual's Business:
Primary Country of source of wealth/source of Fund!?
Primary industry of source of Wealth/Source of Funds>
Summarize Source of Wealth: O Business Owner • Salary/Earnings E] Investment [.-.1I nheritance/Gifts O Other:
Further Describe Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For trusts, tow did settler accumula e wealth' For inheritance, how
did family accumulate istalth?For business ovmers, how long in business, how many errkilitrreeS, level of profitability' Indicate type of business, countries of
moor activities, important business partners.)
Estimated Annual Income($): Estimated amount of ineestabk assets(3):
Estimated Net Worth(S): Mount of assets plarned to Invest with PWM(3):
Other Known Financial Institutions:
Institution: Country: Est. Assets Under Mgt:
Institution: Country: Est. Assets Under Mgt:
Institution: Country: Est. Assets Under Mgt:
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KYC Print Page 11 of 20
I
Please indKate the farroty situation of the indhadual (marital status, other family members, etcp
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C Print Page 12 of 20
One sheet must he established for EACH INDIVIDUAL PARTY in Section 1. Account Ownership Summary
3A. Individual Details (for all parties)
Individual's Name: Darren Indyke - Date of Birth:
Country of Residence: USA Country of Citizenship: USA
Has client resided outside of
Ms/her country of natlonalty Oyes fci No
Address of primary residence:
for 5 years or more,
Professlon/Occupation: Lawyer Tax 10 / SSN:
Current Employer: Southern RnancMI LAC PoslUon/Trile/Rank:
Address of employer: 575 Lexington Avenue, 4th A New York NY USA 10022
Does the person work as senior executive °feta-recognized regulated entity in the financial
ndustry' or an entity listed on a DB.recognised esshangez (Not applicable for operating entities • Yes ION°
Is the individual a Politically Exposed Person (PEP)E(if Yes, dcsaibe) O Yes WIND
To the best of your knowledge, is the individual related to an employee of the DO giOupYat O Family O friendship g None
Family or Friendship, *soil"e )
To the best of your knowledge, Is the individual party to a non-banking relationship with
Deutsche Bank (e.g., external legal counsel, client referral source, supplier of goods or O Yes ':4 No
services)7(/ YeAderafbe)
Indicate where and when the client meeting(s) teak place:
U applicable, indicate sth bank officers have met the person.
Client Private Client Place of
Bank Officer Name(s) Bank Office: Other location (specify): Date:
Dont*: Business:
O O O
O • O
O I. El
ID Wealth Details for thks Individual are not filled In, because they are the same as for the following person:
3B. Wealth Details (Only for parties requiring source of wealth description as Indicated in Section 2)
Nature of the Individual's Business:
Primary Country of source of wealth/source of Funds,
Primary industry of source of WealtNSource of Funds'
Summarize Source of Wealth: O Business Owner • Sabry/Earrings OInvestment • Inheritance/Gifts O Other:
Further Descrte Source of Wee th /Detail the history of wealth for each of the soirees: (e.g. For trusts, how did seftbr accumulate wealth' For Inheritance, how
did family accumulate neakh7For business owners, how long in business, how many employees, level of profitability' Indicate type of business, countries of
flinger wanks, important business partners.)
Estimated Annual Income($): Estimated amount of imestable assets($):
Estimated Net Worth(S): Arnount of assets blamed to invest with PV/Fl(y):
Other Known Financial Institutions:
Institution: Country: Est. Assets Under Mgt:
Institution: Country: Est. Assets Under Mgt:
Institution: Country: I ct Assets Under Mgt:
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L
ease induate the family situation of the individual (marital status, other fam ty members, etc f'
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One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summa
3A. Individual Details (for all parties)
Individual's Name: Jeanne Brennan • 0 Date of Birth:
Country of Residence. USVI Country of Citizenship:
Has client resided outside of
Address of plenary residence: hisTher country of nationalitY O Yes g No
ler 5 years or more'
ProfessiontOccupatxon: Faience Tax ID I SSN:
Current Employer: Southern NnancNI, LLC Position:Mlle/Rank:
Address of employer 6100 Red Hook Quarter, 83 St, Thomas USW 00802
Does the person work as senior executive ale 08-recognized regulated entity in the financial
Industry, or an entity listed on a C43-recognised exchange? (Not applicable for operating entitiesO Yes CJ No
Is the indieldual a Politically Exposed Person (PEP)?(.Ye,describe) O Yes FO No
To the best of your knot...kedge, is the individual related to an employee d the DB grow/Vt. O Faintly O Friendship Ea None
Pansy or Frirndship, desaibe)
To the best of your knoweeclge, is the individual party to a non-banking relatkmship with IR1No
Deutsche Bank (e.g., external legal counsel, client referral source, supplier of goods or • Yes
setrices)?(/ Ves,desathe)
Indicate where and %Oen the client meeting(s) took place:
Uapplicable, indicate which bank officers have met the person:
Client Private Client Place of
Bank Officer Name(s) Bank Office: Other location (specify): oat,
Dorrizie: Business:
O O O
MI O O
a O O
• Wealth Details (or this individual are not Aped In, because they are the same as for the following person:
3B. Wealth Details (Only for parties requiring source of wealth descnption as indicated in Section 2)
Nature of the Individual's Business:
Primary Country of source of wealth/sourcee of Funds"
Pnrnary industry of source of Wealth/Source of Funds?
Summarize Source of Wealth: O Business Owner • Salary/Earnings ill Investment O In ante/Gifts O Other
Further Describe Source of Wealth ;Detail the history of wealth for each of the sources: (e.g. For Dugs, how did settlor accumula e wealth' For Inherltarxe, how
did family accumulate wealth"For business owners, how long in business, how many errOkrrees, level of profitability? Indicate type of business, countries of
major activities, important business partners.)
Estimated Annual Income(a): Estimated mecum of Weestable assets(S):
Estimated Net Vicelh(S): Amount of assets placated to Invest with PYR1(6):
Other Known Financial Institutions:
Institution: Country: Est. Assets Under Mgt:
Institution: Country: Est. Assets Under Mgt:
Institution: Country: Est. Assets Under Mgt:
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I
Please indicate the farnly situation of the indMdual (mantalstatus, other faml y members, etc)*
One sheet must be established for EACH LEGAL ENTITY in Section 2. Account Summa
3C. Legal Entity Details (For all Legal Entities)
Legal Entity Name: Southern Financial LLC - 00000483882
El
• Foundabon/Associanon • Trust M Company CI IState Winn-rate Investment
Type of Entity: Purpose of mutt'.
O Partnership PhiLdnIhroplc/Chaltable O
commercial
Purpose of Entity
Type of EnUty Other (specify):
other (specify).
Country of US Virgin Islands Date of incorporation / 2/25/2013
ricorporationfternstortion: registration:
Vokker Status: Volcker Flag:
Address (city, street, post 6100 Red Honk Quarter 63 St Thomas 00602 US Virgin Islands U.S. TIN/EIN: 66-0799192
code):
Provide a description of the end y's organizational structure, its ownership structure and its Top Management. for trusts/ oundatIons, include Information about
revocablity.sett1or and benefklarlesetc.:
Southern Trust Company Inc is the sole member of Southern Financial LLC. Jeffrey Epstein Is the sole shareholder of Southern Trust Company Inc
Please Indicate Now ownership of the legal entity Is reflected:
O Special attention: Bearer Shares' Indicate where shares are custodied:
Describe the chain from the direct owner of the entity to the ultimate benefkiel owner (if not the same pawns)
To the best of your knowledge, Is the entity party to a non-banking relationship with Deutsche O 2
Bank (e.g. external legal counsel, client referral source, suppler of goods or services)': Yes No
Describe Nature of Entity's Primary Business and Investment Activities
This busness Is funded by Jeffrey Epstein's wealth. This company was formed to hold Mr.
EPston' s personal wealth and Invest in deferent ventures. This company Invests In real estate,
Nature of the business:
equities, c onniod dies, etc and gets as revenue from the gains it makes in these investments. It
is a company formed to invest the assets of It. Epstein
Countries where business is transacted: US Virgin Islands
Number of empkwees: 3
3D. Wealth Profile (Only for parties requiring source of weaRh deuription as indkated in Section 2)
Primary Country of source of wealth/source of Funds)
Primary industry of source of WealtNSourte of Funds>
Provide Evidence of Corporate Assets (e.g. balance sheet or equivalent summary of assetslabilltles):
The vital funding In February 2013 was $1,000 from the sole shareholder of the sole managing member (Jeffrey Epstein).
Estimated gross receipts pa.($): 2,000,000 00
tsurnated net profit pa. (5): 1,500,000.00
I. snmated investable assets ($): 'Si MM
Potential Amount to be invented with PWM ($): 300,000.00
Other Known Finical Institutions:
IllStittlh011. JPMorgan Country: USA Est. Assets Under Mgt: 1,000,000.00
Institution. Country: Est. Assets Under Mgt:
Institution. Country. Est. Assets Under Mgt:
One sheet mu t be established for EACH LEGAL ENTITY in Section 2. Account Summary
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3C. Legal Entity Details (For all Legal Entities)
Legal Entity Name: Southern Trust Company, Inc. - 00000183883
X FoundationtAssociatan O Trust R1Company O [slate 01994tte Inyegment •
Type of Entity: O Partnership °"fpu rposeof Ender ftsibrithropk/Charitable O
Convnerdal
Purpose of EntKy
Type of Entity Other (specify):
Ofhm (Wattle):
Country of liS Virgin Islands Date of incorporaUon / 11/18/2011
eicorporation:tegistration. registration:
Vokker Stalin: volcker Flag:
Address (city, street, post 6100 Red Kook Quarter B3 St Thomas 00802 US Virgin Islands U.S. TINitlfh 66-0779861
code):
Provide a description of me entity's organizational structure, Its ownership structure and its Top Management. For trusts' cundations, include information about
revocability,settkir and beneficiariesetc.:
Please indicate how ownership of the legal entity is reflected:
X Special attention: Bearer Shares - Indicate where shares are custodied:
Describe the chain from the direct owner of the entity to the ultimate beneficial owner (tf not the same persons)
B T a o n t k h e (e b .g es . t e o xt f e y r o n u a r l l k e n g o a w l c le o d u g n e s , e i l s , c th li e en e t n r t e it f y e r p ra a l r t s y o t u o r c a e , n s o u n p -b p a W n r k i o n f g g r o e o la d t s io o n r s s h e ip v w ke it s h ) ? D : e utsche yes O NO 2I
Describe Nature of Entity's Primary Business and Investment Activities
Consulting Services relying on Fnancial and Biomedical algorithms. Southern Trust 6 a private
consulting company that invests the assets of their clients and gets their revenue from the return
Nature of the business: of these investments. Southern Trust invests in different portfolios catered to their clients and
makes their revenue based on the returns and the fees associated with managing their clients
assets
Countries where business is transacted: US Virgin Islands
Menke of employees: 0
3D. Weakh Profile (Only for parties requiring source of wealth descnption as indicated in Section 2)
Primary Country of source of wealthlsource of Funds'
Primary industry of source of Wealth/Source of Funds'
Provide Evidence of Corporate Assets (e.g. balance sheet of equivalent summary of assets(labilities):
Consult and invest dent funds and gain revenue based on fees and tenons
hzimated gross tecelpts pa.(8): 2,000,000.00
Estimated net profit p.a. (Sic 1,500,000.00
Esbmated investable assets ($): $2 NM - 5 MM
Potential Amount to be invested with PWM ($): 300,000.00
Other Known Financial Institutions:
Institution: )PMorgan Country: USA Est. Assets Under Mgt: 2.000,00060
Institution: Country: Est. Assets Under Mgt:
Institution: Country: Est. Assets Under Mgt:
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DB PWM GLOBAL KYC/NCA: US/LatAm/Inel PART B rA
Relationship Name EPSTEIN, JEFFREY RELATIONSHIP
Risk Rating Comments:
Booking center 12 NY O ashore LO MOderate e CA u High Risk leek! Frankbe
NY/Offshore isk
(Complianc Signature)
O De Employee O OD Managed PIC O Dfl is Trustee/Co-Trustee O Bearer Shares
4. Attadunents
A. Type of Photo ID Provided EnDrivers License R Passport O National/State ID O Other
Checklist of names (indwiduals and/or entitles) that were submitted for database searches is
B. attached 0 Yes ON,
C. Please indkate the results of the database searches performed
RDC searches complete Ryes O No negative results found 2 Yes O No
PCR checks complete '4 Yes O No negative results found n yes O No
OFAC checks complete gas ONO negative results found Oyes ®No
BIS searches complete (Lexis/Neds, Factiva, Reuters, Dow Jones, DNB) Ore ON* negative results found afes gl tie
Dental Orders checks complete trA yes O No negative results found Oyes WI No
Martindale-Hubbell searched (Lawyers/Law Arms oriy) Dyes R Ho negative results found • Yes O No
Please summarize any negative results from the database searches indicated above: DARREN INDYKE:
Approved er KYC /01133377
HARRY BELLER:
Approved n KYC 101133624
JEANNE BRENNAN:
Jeanne was previously approved In KYC *01141315
JEFFREY EPSTEIN:
ROC Merl 11 - Cleared & APPROVED by Chip Packard, APL Compliance, and Pat Harris
PCR Alert 11/2 -- Not our cileM
Al Cases Closed
SOUTHERN FINANCIAL LLC:
No negative media
D. No court cases
SOUTHERN TRUST INC:
No negative media
Court Case -- Not our clkne
FINANCIAL INFORATICS DC:
No negative media
No court cases
J. Epstein tti Co.
Al Negative Media Is our dent He has been cleared of posing a reputatbnal risk as sham by the ANL Clearance attached
Court Cases have been closed
FINANCIAL TRUST & CO
RDC/PCR alert is associated with Southern Allendale the company I merged into. This alert has been ideated by Compliance and is attached
Court Cases are closed
E. To the best of you knowledge, has the client ever been convicted of a criminal offense' 12 yes O No
To the best of you knowledge, has the customer ever been Invoked in any past litigation against
Deutsche Bank AG or any of its subsidiaries or is the customer threatening litigation against
F. Deutsche Bank AG or any of as tease:Hanes? (ff ya, provide &talk below and concoct Quality HA O yes 0 No
(LatAm/IneVor die Regulatory Coned &cup and nobly Compliance irnmedotdr)
G. Ott
Oyes
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Does the [bent a related party have any financial or other association / attractions Within countries
or regimes sanctioned by the Office of Foreign Assets Control (OFAC)'
2
H. Does the tient or related party have any financial or other association/ Interactions within high risk D yes do
countries?
I. Corporate Documentation Attached (Legal Entities Only) 10 yes Duo U Not Appkable
I. Undhcbsed Principal Form Complete (Intermedkwies on*) ❑yes q No 2 Not Applicable
K. If Levis/Weis Search Results, Corporate Documents or Other Supporting Documentation is not in English, please provide an English summary of the
nature/contents of the non-English Documentation:
L. Special Risk Factors
Does the account have Nexus to Special Risk Countries' U Yes 2 No
Is the account structure Laussually complex? ❑yes 0 No
Is there any indication the client set up a non operating company expressly ■ yes
for the purpose of transferring shares to third parties' aNO
Is there any indication this could be a prohibited business relationship' Wits I% No
Are the bearer shares irk/tiled subject to acceptable controls' Eyes 2 No
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M. Case Comments
Created By Date Comments
(wren Hit 3 28 II; In9S Alt i<r>1f dri i it Ina KVC £1082203.
ONSHORE APPROVALS
Client Facing Professional (CFP): Paul MOMS Signature) 2,20201.1
/at/ Heirs
Office DirectegiBusInecks Head: Brian M. Biggar Signature)
Scion M. Biggar
Regional Office Director: Signature)
APR. OusinOSS Risk
(Signature)
ANL Comploroce:
(Signature)
Gwen HI Gwen 11,11
Janice Franklin Janice Franklin 3.28 201
LATAM/INTERNATIONAL APPROVALS
Client Facing Prolev.ional (CEP): (Signature)
Account Manager. (Signature)
Global Market Team Head (Signature)
GMILDISub-Market Team Head
(SkIlli)'.
AML Business Risk:
(Signature)
Nil. Complmrii i.
(Signature)
PRIVATE WEALTHM ANAGEMENT POLICY STATEMENT: Deutsche Bank Private Wealth Management (PWM)
worldwide is committed to professionally serve the interests ofi ts clients. To do so, Client Facing Professionals)( I)
(CFP 's) should establish and maintain business relationships only with persons who satisfy our high standards of
suitability, background and character. Due diligence obtained on the client must be appropriately documented by the
CFP. It is the responsibility ofCFP's to demonstrate that they know their client both at the inception ofa relationship
and on an ongoing basis.
DECLARATION FOR ALL SIGNERS OF THIS FORM: To the best ofmy knowledge and belieft he above
information is correct and up to date. I confirm that I have no suspicions relating to the money laundering or unethical
activities on the part oft he client(s) and that! have followed all the procedures relating to account opening as described
in the FIRMA mencas Procedures and the PIM Global KYC Policy
(I) Client Facing Professionals (CFP's) include: Relationship Managers, Wealth Advisors, Product Officers, Brokers,
Client Managers, etc.
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Deutsche Bank Americas New York
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