EFTA01295042.pdf

KYC Print Page 1 of 23
DB PWM GLOBAL KYC/NCA: PART A
rA
KYC Case # : 01195100 Status : 7. Approved with Temporary Exception
One sheet must be established per relationship - list all accounts included in the relationship
1. Relationship Details
Relationship Name: EPSTEIN, JEFFREY RELATIONSHIP:00000483290 Booking Center: I New York
Relationship Manager: Paul Morris
1:1 New PWM Relationship Existing PWM Relationship
Relationship to PWM: If existing, please indicate since when the relationship exists, provide reason for new profile and attach old
profile: ONLY adding signers to account All signers have already been approved in previous KYC's. Please rush
as this is a simple update.
Darren Indyke was app oved in KYC 01133377
Harry Beller was added in approved KYC 01141308
F Client Referral IP RM Prospect Ir— Intermediary/FIN I F Other Source (C18, etc.)
How Was the Client(s)
Introduced? How long has Please provide details (e.g. name of referral source, how many years RM personalty has known client,
the RM personally known etc.): Jeffrey Epstein is a current client of the Bank. Wants to open a new account. Introduction details of Paul
the client? and Jeffrey: Jeffrey Epstein was a client of Paul's at JP Morgan. Paul and Jeffrey Epstein had a mutual
friend/colleague who introduced them while Paul was at WMorgan. Over the course of a few meetings Paul was
able to get Jeffrey to bring some of his hinds over to Deutsche Bank
r Yes I F NO
Dos Deutsche Bank pay a
retrocession or similar
compensation to a third
party for the introduction (If Yes, describe).
of this relationship?
List all existing and new accounts involved in this relationship
Legal Entity Account Name / Number Opening Date (intended/actual)
Account(s)
1 r Southern Financial, LLC 8/19/2013
2 F Southern Financial, LLC 8/19/2013
3 F Southern Trust Company, Inc. 8/19/2013
4 r Southern Trust Company, Inc. 8/19/2013
S F Jeffrey Epstein 9/11/2013
6 F Jeffrey Epstein 9/11/2013
Who I the pnmary ontact
person for the RM? (Note: Preferred method of
This person needs to have Jeffrey Epstein contact(indIcate phone 340 775 2525
signatory rights and/or no., fax no., e-mail
Information right for the address, etc.):
accounts.):
SDNY GM_00053739
https://na4.salesforce.com/servle e istriE1547fACL0D9Di&eid=500600... 4/-10/2014
CONFIDENTIALa 4P URSUANT TO FED. R. DB-SONY-0016563
EFTA_00I643 I I
EFTA01295042

KYC Print Page 2 of 23
One sheet must be established for each account to be opened
2. Account Ownership Summary
Account Name: Southern Fnancial, LLC Acct. Number (tfavailable).
Account Manager: Paul Morris
What is the purpose of the account (e.g. portfolio management, advisory account, custody services, long-term investment, payment/expense
account)? Money Market. To hold funds for the company.
Indicate from where the assets are expected to arrive?
7 DB Group: Same Booking Center (indicate account number):
7 DB Group: Other Booking Cent (indicate DB location and account details):
P. Other Institution (Indicate name & location): JPMorgan, NYC
7 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 per
month)?: Roughly 2 inflows & outflows per month ranging from $1000 to $10,000.
What is the expected volume of assets and currency for Currency USD
the account approx. 90 days after opening?
What is the expected volume of assets and currency for 150,000 Currency USD
the account approx. one year after opening?
Please list all parties related to the account
For each party:
• Check if 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 relation to the account in the 'Other column.
• Abney describe the relationship between the parties in the last column.
• Please drill down to the ultimate/underlying Beneficial Owner(s).
legabescription AccountPIC Settler of slItimate Signatory-imitecFnancial Significant
Entityof Source Holder OwnerTrust / Benefiaalor Full POA IntermediarySharehoider
of Weakh Founder of Owner POA (FIM) (>=25%)
required foundation Non-P1C Other (please
entity describe other roles
(indicate and/or indicate
Parties related to ownership relationship between
this account %) 'parties)
Sole shareholder of
1 F F Jeffrey Epstein F F F F F F F
Southern Trust;
F
2 F F Southern Finanual F F F F F F
LLC
Southern Trust is
the sole member of
Southern Anneal
Southern Trust
3 F F Company, Inc. F r F F F F F 100 and Jeffrey Epstein
s the sole
shareholder of
Southern Trust;
4 F r- Darren Indyke r r r F F F F
s F F Harry Beller F F F 7 F F F
6 F F Jeanne Brennan r r r F F F F
SDNY_GM_00053740
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CONFIDENpTIAL - P.sUaRleSsUfoArcNeT.c ToOm F/sEeDrv.lRet. AtRb) I''' DB-1SDNY-0016564
EFTA_OOI 643 i 2
EFTA01295043

KYC Print Page 3 of 23
2. Account Ownership Summary
Account Name: Southern Anancial, LLC Acct. Number (ifa vailable):
Account Manager: Paul Morris
What is the purpose of the account (e.g. portfolio management, advisory account, custody services, long-term investment, payment/expense
account)? Checking account to hold hinds for the company.
Indicate from where the assets are expected to arrive?
F 08 Group: Same Booking Center (indicate account number):
F DB Group: Other Booking Center (indicate DB location and account details):
FY Other Institution (Indicate name & location): JPMorgan, NYC
7 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 per
month)?: Roughly 10 inflows and 10 outflows per month ranging from $1,000 to $10,000.
What is the expected volume of assets and currency for Currency USD
the account approx. 90 days after opening?
What is the expected volume of assets and currency for 100,000 Currency USD
the account approx. one year after opening?
Please list all parties related to the account
For each party:
• Check if 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 relation to the account in the mother column.
• Ahvay describe the relationship between the parties in the last column.
• Please drill down to the ultimate/under ying Beneficial Owner(s).
Legal Description AccounlEiC Settior of _Iltimate Signatory _imitecRnancial Significant
Entityof Source Holder OwnerTrust / Beneficiakor Full °OA IntermediaryShareholder
of Weakh Founder of Owner POA (FIM) K> -25%)
required Foundation Non-PIC Other (please
entity describe other roles
(indicate and/or indicate
Parties related to ownership relationship between
this account %) oartes)
1 F F Jeffrey Epstein F F F F F F r Sole shareholder of
Southern Trust;
2 F F Southern Financial F r F F (-- r
LLC
Southern Trust is
the sole member of
Southern Anancial
Southn Trust
3 F F er F F F F F F F 100 and Jeffrey Epstein
Compan y, Inc.
s the sole
shareholder of
Southern Trust;
r
4 F Darren Indyke F F F F F F F
5 F F Harry Beller F F F F F F F
6 F F Jeanne Brennan F F r F F r
F
SDNY_GM_00053741
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CONFIDENTs:I/A/nLa -4 P.sUaRleSsUfoArcNeT.c ToOm F/sEeDry.lRet. t) ' DB-SDNY-0016565
EFTA_00164313
EFTA01295044

KYC Print Page 4 of 23
2. Account Ownership Summary
Account Name: Southern Trust Company, Inc. Acct Number (if available).
Account Manager: Paul Morris
What is the purpose of the account (e.g. portfolio management, advisory account, custody services, long-term investment, payment/expense
account)? Checking account. To hold funds for company
Indicate from where the assets are expected to arrive?
F DB Group: Same Booking Center (indicate account number):
F 06 Group: Other Booking Center (indicate DB location and account details):
F Other Institution (Indicate name & location): 3PM0rgan, NYC
7 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 per
month)?: Roughly 10 inflows and 10 outflows per month ranging from $1,000 to 410,000
What is the expected volume of assets and currency for Currency USD
the account approx. 90 days after opening?
What is the expected volume of assets and currency for 100,000 Currency USD
the account approx. one year after opening?
Please list all parties related to the account
For each party:
• Check if 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 relation to the account in the mother column.
• Ahvay describe the relationship between the parties in the last column.
• Please drill down to the ultimate/unde ying Beneficial Owner(s).
Legal Description AccountlPIC Settler of Ultimate Signatory imitecFnancial Significant
Entitrof Source Holder OwnerTrust / Beneficialor Full *OA Intermediaryehareholder
of Weakh Founder of Owner POA (FIM) (>-25%)
required Foundation Non-Pic Other (please
entity describe other roles
(indicate and/or indicate
Parties related to ownership relationship between
phis account ''a) oarbes)
Q
Sole shareholder of
1 F F Jeffrey Epstein F F F F F F F
Southern Trust;
r r Southern Trust r- r r
2 F F F F
Company, Inc.
3 F F Darren indyke F F F F F F F
4 F F Harry Beller F F F F F F F
s F F Jeanne Brennan F F F F F F F
b)i . _, SDNY_GM_00053742
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hups://na4.salesforce.com/serylet 4/10/2014
CONFIDENTIAL - PURSUANT TO FED. R. DB-SDNY-0016566
EFTA_00164314
EFTA01295045

KYC Print Page 5 of 23
2. Account Ownership Summary
Account Name: Southern Trust Company, Inc. Acct. Number (if available):
Account Manager: Paul Morris
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?
F DB Group: Same Booking Center (indicate account number):
F DB Group: Other Booking Center (indicate O8 location and account details):
F Other Institution (Indicate name & location): JPMorgan, NYC
7
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 per
month)?: Roughly 2 inflows & outflows per month ranging from 41,000 to 410,000
what is the expected volume of assets and currency for Currency LSD
the account approx. 90 days after opening?
What is the expected volume of assets and currency for 150,000 Currency USD
the account approx. one year after opening?
Please list all parties related to the account
For each party:
• Check if 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 relation to the account in the tither column.
• Ahvay describe the relationship between the parties in the last column.
• Please drill down to the ultimate/unde ying Beneficial Owner(s).
Legal Description AccountPIC Settior of _Iltimate Signatory _imitedflnancial Significant
Entityof Source Holder OwnerTrust / Beneficialor Full °OA IntermediaryShareholder
of Wealth Founder of Owner POA (FIM) (>-25%)
required Foundation Non-PIC Other (please
entity describe other roles
(indicate and/or indicate
Parties related to ownership relationship between
his account Q/0) parties)
1 F F Jeffrey Epstein F F F F F F F Sole shareholder of
Southern Trust;
2 r r Southern Trust F F r F F F r
Company, Inc.
3 F F Darren indyke F F F F F F F
4 F F Harry Beller F F F F F F F
s F F Jeanne Brennan F F F F F r F
SDNY_GM_00053743
Imps://na4.salesforce.com/senilet plififfElifflAt0D9Di&eid=500600... 4/10/2014
CONFIDENTIAL - PURSUANT TO FED. R. Filb) 1 I ' DB-SDNY-0016567
EFTA_OO164315
EFTA01295046

KYC Print Page 6 of 23
2. Account Ownership Summary
Account Name: Jeffrey Epstein Acct. Number (if available)
Account Manager: Paul Morris
What is the purpose of the account (e.g. portfolio management, advisory account, custody services, long-term investment, payment/expense
account)? Checking account for Jeffrey Epstein's personal daily use.
Indicate from where the assets are expected to arrive?
F DB Group: Same Booking Center (indicate account number):
F DB Group: Other Booking Center (indicate 08 location and account details):
F Other Institution (Indicate name & location): JPMorgan Chase. New York, NY
F 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 per
month)?: Roughly 15 inflows and outflows per month r nging from 5100-510,000.
What is the expected volume of assets and currency for Currency USD
the account approx. 90 days after opening?
What is the expected volume of assets and currency for 100,000 Currency USD
the account approx. one year after opening?
Please list all parties related to the account
For each party:
• Check if 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 relation to the account in the 'Other column.
• Abney describe the relationship between the parties in the last column.
• Please drill down to the ultimate/unde ying Beneficial Owner(s).
Legal Description AccountPIC SettSor of _Iltimate Signatory _imitedflnancial Significant
Entityof Source Holder OwnerTrust / Beneficiabr Full POA IntermediaryShareholder
of Weakh Founder of Owner POA (FIM) K>-25%)
required Foundation Non-PIC Other (please
entity describe other roles
(indicate and/or indicate
p al esrelated to ownership relationship between
is account %) ,arbes)
1 F F Jeffrey Epstein F F F F F F F
F F F r r
2 Harry Beller F F F F
3 F F Darren Indyke F F F F F F F
SDNY GM_00053744
lutps://na4.salesforce.com/servlet AtririEtfrOpAtOD9Di&eid=500600... 4/-10/2014
CONFIDENTIAL - PURSUANT TO FED. R. DB-SONY-0016568
EFTA_00164316
EFTA01295047

KYC Print Page 7 of 23
2. Account Ownership Summary
Account Name: Jeffrey Epstein Acct. Number (ifavailable).
Account Manager: Paul Morris
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 Jeffrey Epstein's personal funds.
Indicate from where the assets are expected to arrive?
F 08 Group: Same Booking Center (indicate account number):
F DB Group: Other Booking Center (indicate DE3 location and account details):
F Other Insbtubon (Indicate name & location): JPMorgan Chase. New York, NY
F 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 per
month)?: Roughly 1-2 inflows and outflows per month ranging from $1,000 to $20,000
What is the expected volume of assets and currency for Currency USD
the account approx. 90 days after opening?
What Is the expected volume of assets and currency for 200,000 Currency USD
the account approx. one year after opening?
Please list all parties related to the account
For each party:
• Check if 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 relation to the account in the tither column.
• Nway describe the relationship between the parties in the last column.
• Please drill down to the ultimate/unde ying Beneficial Owner(s).
Legal Description AccountPIC Settior of _Iltimate Signatory _imitedflnancial ignificant
Entityof Source Holder OwnerTrust / Benefiaabr Full POA Intermedia hareholder
of Weakh Founder of Owner POA (FIM) >-25%)
required Foundation -PIC Other (please
tity describe other roles
indicate and/or indicate
p rtes related to ership relationship between
is account o) ,arbes)
1 F F Harry Beller F F F F F F F
2 F F Jeffrey Epstein F F F F F F r-
3 F F Darren Indyke F F F F F F F
SDNY_GM_00053745
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EFTA_00164317
EFTA01295048

KYC Print Page 8 of 23
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 - 00000483289 Date of Birth: 1/20/1953
Country of Residence: USVI Country of Citizenship: USA
Address of primary Line Saint James Saint Thomas 00802 US Virgin Islands
residence:
Profession/Occupation: Self Empolyed Tax ID / SSN: 090-44-3348
Current Employer: Southern Financial LLC Posibon/Trde/Ftank: President
Address of employer:
F Yes F No
Is the individual a Politically Exposed Person (PEP)?(if yes, describe)
To the best of your knowledge, is the individual related to an employee of the DB F Family F Friendship F None
group?(if Family a- From/ship, descnbe)
To the best of your knowledge, is the individual party to a non-banking relationship r—
i Yes F No
with Deutsche Bank (e.g., external legal counsel, client referral source, supplier of
goods or services)?(if Yes,descnbe)
If applicable, indicate which bank officers have met the Indicate where and when the client meeting(s) took place:
person:
Chent Mvate Bus Place
Bank Officer Name(s) Bank Office: Domicile: of Business: Other Location (specify): Date:
Paul Moms r r F 4/3/2013
r
F r
F r r
r
Wealth Details for this individual are not filled in, because they are the same as for the following person:
35. Wealth Details (Only for parties requiring source of wealth description as indicated in Section 2)
Nature of the Individual's Business: Private investments
f; Business Owner F Salary/Eamings F Investment r- Inheritance/Gifts
Summarize Source of Wealth: r-
Other:
Further Describe Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For ?rugs, how did settlor accumulate wealth?
For inheritance, how did family accumulate wealth?For business owners, how long in business, how many employees, level of profitability?
Indicate type of business, countries of major activities, important business partners.) Epstein began his financial career in 1976 as an
options trader at Bear Stearns and became a partneri n 1980. In 1982, Epstein founded his own financial management firm, J. Epstein & Co.,
managing the assets of clients with more than a billion in net worth. In 1996, Epstein changed the name of his firm to The Financial Trust
Company and based it on the island of St. Thomas in the US Virgin Islands, which merged into Southern Financial LLC. All of his clients were
anonymous except for the very wealthy businessman Leslie Werner. His wealth has come from his days at Bear Stearns and his financial
management firms
Estimated Annual Income
10,000,000.00 Estimated amount of investable assets(S): $50 MM • 100 MM
(5):
Estimated Net Worth($): ;100 MM - 500 MM Amount of assets planned to invest with PVVM(g): 10,000.00
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EFTA_00164318
EFTA01295049

KYC Print Page 9 of 23
Other Known Financial Institutions:
Institution: 3PMorgan Country: USA F.St. Assets Under Mgt: 20,000,000.00
Institution: Country: Est. Assets Under Mgt:
Institution: Country: Est. Assets Under Mgt:
Please indicate the family situation of the individual (mantal status, other family members, etc.): Single
SDNY_GM_00053747
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CONFIDENTs:I/A/nLa - 4P.sUaRleSsUfoArcNeT.c ToOm F/sEeDrv.lRe . DB-SDNY-0016571
EFTA_00164319
EFTA01295050

K YC Print Page 10 of 23
One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary
3A. Individual Details (for all parties)
Individual's Name: Harry Beller Date of Birth:
Country of Residence: USA Country of Otizenship: USA
Address of primary
residence:
Profession/Occupation: Accountant Tax ID / SSN:
Current Employer: HBRK Associates, Inc Position/Trde/ftank:
Address of employer:
F Yes F No
Is the individual a Politically Exposed Person (PEP)?(if yes, descnbe)
To the best of your knowledge, is the individual related to an employee of the DB F Family F Friendship F None
group?(if Family a- Fneniship, describe)
To the best of your knowledge, is the individual party to a non-banking relationship r• yes r—
lv No
with Deutsche Bank (e.g., external legal counsel, client referral source, supplier of '
goods or services)?(if Yes,descnbe)
If applicable, indicate which bank officers have met the Indicate where and when the client meeting(s) took place:
person:
Chent Private ClBieunst Place
Bank Officer Name(s) Bank Office: Domicile: of Other Location (specify): Date:
r r
Paul Moms v 10/21/2013
r r
F
F r r
F Wealth Details for this individual are not filled in, because they are the same as for the following person:
38. Wealth Details (Only for parbe requiring source of wealth description as indicated in Section 2)
Nature of the Individual's Business:
F Business Owner F Salary/Eamings F Investment F Intieritance/Gifts
Summarize Source of Wealth:
r-
Other:
Further Describe Source of Wealth /Detail the history of vealth for each of the sources: (e.g. For trusts, how did settlor accumulate wealth?
For inheritance, how did family accumulate wealth?For business owners, how long in business, how many employees, level of profitability?
Indicate type of business, countries of major activities, important business partners.)
Estimated Annual Income
Estimated amount of investable assets(S):
(S):
Estimated Net Worth(S): Amount of assets planned to invest with PWM(s):
Other Known Financial Institutions:
Institution: I I Country: I I Est. Assets Under Mgt:
SDNY GM_00053748
hups://na4.salesforee.com/servlet AttliCiEWRACL0D9Di&eid=500600... 4/-10/2014
CONFIDENTIAL - PURSUANT TO FED. R. DB-SONY-0016572
EFTA_00164320
EFTA01295051

KYC Print Page 11 of 23
'
Institution: Country: Est. Assets Under Mgt:
Institution: Country: Est. Assets Under Mgt:
Please indicate the family situation of the individual (marital status, other family members, etc.):
SDNY_GM_00053749
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CONFIDENTs:IA//nLa-4P.UsaRleSsUfoArNceT.c ToOm F/sEeDrv.lRe . Fle) 1 DB- -0001 166557733
EFTA_00164321
EFTA01295052

K YC Print Page 12 of 23
One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. 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
Address of primary
residence:
Profession/Occupation: Lawyer Tax ID / SSN:
Current Employer: Southern Financial LLC Position/Tide/Rank:
Address of employer: 575 Lexington Avenue, 4th Fl New York NY USA 10022
Is the individual a Politically Exposed Person (PEP)?(if Yes describe) F Yes F No
To the best of your knowledge, is the individual related to an employee of the DB F Family F Friendship F None
group?(rf Family a- Fnendship, describe)
To the best of your knowledge, is the individual party to a non-banking relationship r• yes r—
ho No
with Deutsche Bank (e.g., external legal counsel, client referral source, supplier of '
goods or services)?(if Yes,descnbe)
If applicable, indicate which bank officers have met the Indicate where and when the client meeting(s) took place:
person:
Client Private Client Place
Bank Officer Name(s) Bank Office: Domicile: of Business: Other Location (specify): Date:
r r r
r r r
F F F
r
Wealth Details for this individual are not filled in, because they are the same as for the following person:
35. Wealth Details (Only for parbe requiring source of wealth description as indicated in Section 2)
Nature of the Individual's Business:
F Business Owner F Salary/Eamings F Investment F Inhentance/Gifts
Summarize Source of Wealth:
F Other:
Further Describe Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For trusts, how did senior accumulate wealth?
For inheritance, how did family accumulate wealth?For business owners, how long in business, how many employees, level of profitability?
Indicate type of business, countries of major activities, important business partners.)
Estimated Annual Income
Estimated amount of investable assets(5):
(5):
Estimated Net Worth(S): Amount of assets planned to invest with PWM($):
Other Known Financial Institutions:
Institution: I I Country: I I Est. Assets Under Mgt:
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DB-1SDNY-0016574
EFTA (H) 164322
EFTA01295053

KYC Print Page 13 of 23
'
Institution: Country: Est. Assets Under Mgt:
Institution: Country: Est. Assets Under Mgt:
Please indicate the family situation of the individual (marital status, other family members, etc.):
lici mpAED,Di&eid=500600 SDNY_GM_00053751
https://na4.salesforce.com/servlet 4/0/2014
CONFIDENTIAL — PURSUANT TO FED. R. Att DB-1SONY-0016575
EFTA_0016 4323
EFTA01295054

K YC Print Page 14 of 23
One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary
3A. Individual Details (for all parties)
Individual's Name: Jeanne Brennan Date of Birth:
Country of Residence: USVI Country of Citizenship:
Address of primary
residence:
Profession/Occupation: ffinance Tax ID / SSN:
Current Employer: Southern Financial, LLC Position/Tide/Rank:
Address of employer: 6100 Red Kook Quarter, B3 St, Thomas USVI 00802
F Yes 17 No
Is the individual a Politically Exposed Person (PEP)?(if yes, clescnbe)
To the best of your knovAedge, is the individual related to an employee of the DB F Family F Friendship F None
group?(if Family a- Fneniship, describe)
To the best of your knowledge, is the individual party to a non-banking relationship r• yes
irb—' No
with Deutsche Bank (e.g., external legal counsel, client referral source, supplier of '
goods or services)?(if Yes,desalbe)
If applicable, indicate which bank officers have met the Indicate where and when the client meeting(s) took place:
person:
(lent Private Client Place
Bank Officer Name(s) Bank Office: Domicile: of Business: Other Location (specify): Date:
r r r
r r r
F r r
F Wealth Details for this individual are not filled in, because they are the same as for the following person:
38. Wealth Details (Only for partie requiring source of wealth description as indicated in Section 2)
Nature of the Individual's Business:
F Business Owner F Salary/Eamings F Investment F Inhentance/Gifts
Summarize Source of Wealth: r-
Other:
Further Describe Source of Wealth /Detail the history of vealth for each of the sources: (e.g. For trusts, how did settlor accumulate wealth?
For inheritance, how did family accumulate wealth?For business owners, how long in business, how many employees, level of profitability?
Indicate type of business, countries of major activities, important business partners.)
Estimated Annual Income
Estimated amount of investable assets(s):
($):
Estimated Net Worth(S): Amount of assets planned to invest with PWM($):
Other Known Financial Institutions:
Institution: I 1Country: I I Est. Assets Under Mgt:
pi SDNY_GM_00053752
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CONFIDENpTs:I/A/nLa -4 P.sUaRleSsUfoArcNeT.c ToOm F/sEeDrv.lRet. Filt) 1 DB- -0001 166557766
EFTA 00164324
EFTA01295055

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'
Institution: Country: Est. Assets Under Mgt:
Institution: Country: Est. Assets Under Mgt:
Please indicate the family situation of the individual (marital status, other family members, etc.):
SDNY_GM_00053753
htt s://na4 FIBEMPAt0 D9Di&eid=500600... 4/10/2014
CONFIDENTIAL— P.sUaRleSsUfoArcNeT.c ToOm /FsEeDre.lRet. Fit) DS-SONY-0016577
EFTA_0016 4325
EFTA01295056

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One sheet must be established for EACH LEGAL ENTITY in Section 2. Account Summary
3C. Legal Entity Details (For all Legal Entities)
Legal Entity Name: Southern Anancial LLC - 00000483882
F Private Investment
r Foundation/Association r Trust ft; Company
Type of Entity: Purpose of Entity: r Philanthropic/Charitable
r Estate r partne,ship
r commercial
Type of Entity Other Purpose of Entity
(specify): Other (specify):
Date of
Country of US Virgin Islands 2/25/2013
incorporation /
incorporation/registrabon:
registration:
6100 Red Hook Quarter 83 St Thomas 00802 US Virgin
Address (city, street, post Islands U.S. TIN/EIN: 66-0799192
code):
Provide a description of the entity's organizational structure, its ownership structure and its Top Management. For trusts/foundations, include
information about revocabil ty,settlor and benelicianes,etc.:
Southern Trust Company Inc is the sole member of Southern Anancial LLC. Jeffrey Epstein is the sole shareholder of Southern Trust
Company Inc
Please indicate how ownership of the legal entity is reflected:
r Special attention: Bearer Shares - Indicate where shares are custodied:
Describe the chain from the direct owner of the entity to the ultimate beneficial owner (ifn ot the same pawns).
To the best of your knowledge, is the entity party to a non-banking relationship with
Deutsche Bank (e.g. external legal counsel, client referral source, supplier of goods Yes r- No F
or services)?:
Describe Nature of Entity's Primary Business and Investment Activities
This business is funded by Jeffrey Epstein's wealth. This company was formed to
iold W. Epstein's personal wealth and invest in different ventures. This company
Nature of the business: nests in real estate, equities, commodities, etc and gets its revenue from the gains
it makes in these investments. It is a company formed to invest the assets of Mr.
Epstein
Countries where business is transacted: US Virgin Islands
Number of employees: 3
3D. Wealth Profile (Only for parties requinng source of wealth description as indicated in Section 2)
Provide Evidence of Corporate Assets (e.g. balance sheet or equivalent summary of assets/liabilities):
The initial funding in February 2013 was $1,000 from the sole shareholder of the sole managing member (Jeffrey Epstein).
Estimated gross receipts p.a.($): 2,000,000.00
Estimated net profit p.a. ($): 1,500,000.00
Estimated investable assets ($): <$1 MM
Potential Amount to be invested with PM ($): 300,000.00
Other Known Financial Institutions:
Institution: I lFtelorgan I CCoouuntrryy:: I USA I Est. Assets Under Mgt: 1,000,000.00
wripAtoD,Di&eid=500600..S. DNY_GM_00053754
PiP I
htt s://na4.salesforce.com/servlet 4/10/2014
CONFIDENpTIAL - PURSUANT TO FED. R. Atb) 1 l'-' DB- -0001 166557788
EFTA_00 I 64326
EFTA01295057

KYC Print Page 17 of 23
'
'Institution: I Country: Est. Assets Under Mgt:
Institution: Country: Est. Assets Under Mgt:
I I
ArriEwrospektompi&eid=500600...
SDNY GM_00053755
https://na4.salesforce.com/servlet 4/10/2014
CONFIDENTIAL — PURSUANT TO FED. R. DB-SONY-0016579
EFTA_0016 4327
EFTA01295058

KYC Print Page 18 of 23
One sheet must be established for EACH LEGAL ENTITY in Section 2. Account Summary
3C. Legal Entity Details (For all Legal Entities)
Legal Entity Name: Southern Trust Company, Inc. - 00000483883
F Private Investment
r— Foundation/Association r Trust F Company
Type of Entity: Purpose of Entity: r Philanthropic/Charitable
F Estate F Partnership
r Commercial
Type of Entity Other Purpose of Entity
(specify): Other (specify):
Date of
Country of US Virgin Islands 11/18/2011
incorporation /
incorporation/registrabon:
registration:
6100 Red Hook Quarter 83 St Thomas 00802 US Virgin
Address (city, street, post islands U.S. TIN/E1N: 66-0779861
code):
Provide a description of the entity's organizational structure, its ownership structure and its Top Management. For trusts/foundations, include
information about revocabl ty,setUor and beneflciaries,etc.:
Please indicate how ownership of the legal entity is reflected:
F Special attention: Bearer Shares - Indicate where shares are custodied:
Descnbe the chain from the direct owner of the entity to the ultimate beneficial owner (Ifn ot the same pesons).
To the best of your knowledge, is the entity party to a non-banking relationship with
Deutsche Bank (e.g. external legal counsel, client referral source, supplier of goods yes F No F
or services)?:
Describe Nature of Entity's Primary Business and Investment Activities
Consulting Services relying on Financial and Biomedical algorithms. Southern Trust
$ a private consulting company that invests the assets of their clients and gets their
Nature of the business: revenue from the return of these Investments. Southern Trust invests In different
portfolios catered to their clients and makes their revenue based on the returns and
he fees associated with managing their clients assets
Countries where business is transacted: VS Virgin Islands
Number of employees: 4
3D. Wealth Profile (Only for parties requiring source of wealth description as indicated in Section 2)
Provide Evidence of Corporate Assets (e.g. balance sheet or equivalent summary of assets/liabilities):
Consult and Invest client funds and gain revenue based on fees and returns
Estimated gross receipts p.a.($): 2,000,000.00
Estimated net profit p.a. ($): 1,500,000.00
Estimated investable assets ($): $2 MM - 5 MM
Potential Amount to be invested with PINM ($): 300,000.00
Other Known Financial Institutions:
Institution: JPMorgan Country: USA Est. Assets Under Mgt: 2,000,000.00
Institution: Country: Est. Assets Under Mgt:
SDNY_GM_00053756
pli ciEtnntALD,Di&eid=500600...
htt s://na4 e 4/10/2014
CONFIDENTIAL - P.sUaRleSsUfoArcNeT.c ToOm F/sEeDrv.lRet. Filt) 1 DB- -0001 166558800
EFTA (H) 164328
EFTA01295059

KYC Print Page 19 of 23
I
Est Assess Under Mgt
insdtlitbn: I CcluntTY: I
SDNY_GM_00053757
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hups1/na4.salesforce.com/servle AL 4/10/2014
CONFIDENTIAL - PURSUANT TO FED R. ' I-'° DB-SDNY-0016581
EF1'A_00164329
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KYC Print Page 20 of 23
DB PWM GLOBAL KYC/NCA: US/LatAm/Int'I PART B
Relationship Name EPSTEIN, JEFFREY RELATIONSHIP
Booking Center P. NY P NY/Offshore F Offshore P Moderate I it - .: High Risk Janice Franldin
Risk
(Compliance Signature)
DB Employee DB Managed PIC 013 us Trustee/Co-Trustee F Bearer Shares
J
4. Attachments
A. Type of Photo ID Provided 57 Drivers License F Passport F National/State ID F Other
Checklist of names (individuals and/or entitles) that were submitted for database
B. searches s attached F Yes I— No
C. Please indicate the results of the database searches performed
RDC searches complete r Yes r No negative results found F Yes F No
PCR checks complete F Yes r- No negative results found r yes r NO
OFAC checks complete F Yes r" No negative results found r yes F NO
D BI & S B s ) e arches complete (Lexis/Nexis, Factiva, Reuters, Dow Jones, r yes r- No negative results found I— Yes F No
Denial Orders checks complete I. Yes r No negative results found r Yes r3 No
Martindale-Hubbell searched (Lawyers/Law Firms only) r Yes F No negative results found r vest— No
Please summarize any negative results from the database searches indicated above: DARREN INDYKE:
Approved in KYC #01133377
HARRY BELLER:
Approved in ICYC #01133624
JEANNE BRENNAN:
Jeanne was previously approved in KYC #01141315
JEFFREY EPSTEIN:
RDC Alert *I -- Cleared & APPROVED by Chip Packard, AML Compliance, and Pat Harris
PCR Alert #1/2 -- Not our client
All Cases Closed
SOUTHERN FINANCIAL LLC:
No negative media
0. No court cases
SOUTHERN TRUST INC:
No negative media
Court Case -- Not our client.
FINANCIAL INFOMATICS INC:
No negative media
No court cases
J. Epstein & Co.
All Negative Media is our client. He has been cleared of posing a repulabonal risk as shown by the NIL Clearance attached
Court Cases have been closed
FINANCIAL TRUST & CO
RDC/PCR alert is associated with Southern Financial, the company it merged into. This alert has been cleared by Compliance and is
attached
SDNY_GM_00053758
htt PfiriEtritAt0D9Di&eid=500600... 4/0/2014
CONFIDENsT:/I/AnLa-4 P.sUaRleSsUfoArcNeT.c ToOm F/sEeDrv.lRe . Ate) 1 DB- -0001 166558822
EFTA 00164330
EFTA01295061

KYC Print Page 21 of 23
Court Cases are dosed
r-
E. To the best of your knowledge, has the client ever been convicted of a criminal offense? 17 yes No
To the best of your knowledge, has the customer ever been involved in any past
litigation against Deutsche Bank AG or any of its subsidiaries or is the customer
F. threatening litigation against Deutsche Bank AG or any of its subsidiaries? (If Yes, r Yes F No
provide details below and contact Quality Mgt (Latelm/Intl)or the Regciatay Control
Group and nobly Compliance immediately)
Does the client or related party have any financial or other association / interactions
r yes F No
G' within countries or regimes sanctioned by the Office of Foreign Assets Control (OFAC)?
H' the client arelated party have any financial or other association/ interactions r yes F No
" within high risk countries?
I. Corporate Documentation Attached (Legal Entities Only) F Yes F No F Not Applicable
1 Undisclosed Principal Form Complete (Intermediaries Only) F Yes F No F Not Applicable
K. If Lexis/Nexis 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:
SDNY_GM_00053759
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CONFIDENsT:/I/AnLa-4 P.sUaRleSsUfoArcNeT.c ToOm F/sEeDrv.lRet. e) l'-' DB- -0001 166558833
EFTA_00164331
EFTA01295062

KYC Print Page 22 of 23
M. Case Comments
Created By Date Comments
3/28/2014 10:45
Gwen Hill Risk Calculator located in KYC #1082293.
ONSHORE APPROVALS
Client Facing Professional (CFP): Paul Morris (Signature) 2/24/2014
Paul Morris
Office Director/Business Head: Brian M. Biggar \(Signature) 2/24/2014
Bnan M. Biggar
Regional Office Director: (Signature)
AML Business Risk:
(Signature)
AML Compliance:
(Signature)
Gwen Hill Gwen Hill 3/28/2014
Janice Franklin Janice Franklin 3/28/2014
LATAM/INTERNATIONAL APPROVALS
Cient Facing Professional (CFP): (Signature)
Account Manager: (Signature)
Global Market Team Head (Signature)
(GMTH)/Sub-Market Team Head
(Slim):
AML Business Risk:
(Signature)
AML Compliance:
(Signature)
ne ,)
SDNY_GM_00053760
ppriEwropAtoD,Di&eid=500600...
s://na4.salesforce.com/servle e D4B/ 10/2014
CONFIDENTIAL - PURSUANT TO FED.R. -SDNY-0016584
EFTA_00164332
EFTA01295063

KYC Print Page 23 of 23
PRIVATE WEALTHM ANAGEMENT POLICY STATEMENT: Deutsche Bank Private Wealth
Management (PWM) worldwide is committed to professional)), serve the interests ofi ts clients. To do so,
Client Facing Professionalsl(1) (CFPs) should establish andm aintain business relationships only with
persons who sail* our high standards qfs uitability, background and character. Due diligence obtained
on the client must be appropriately documented by the CPR It is the responsibility ofC FP'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 ofm y knowledge and belief the
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 of the client(s) and that I have followed all the procedures
relating to account opening as described in the PWM Americas Procedures and the PWM Global KYC
Policy
(i) Client Facing Professionals (CFP :5) include: Relationship Managers, Wealth Advisors, Product
Officers, Brokers. Client Managers, etc.
VA
Deutsche Bank Americas New York
SONY_GM_00053761
Imps1/864.salesforce.com/servle fitrEjElfrpACE/D9Diateid=500600... 4/10/2014
CONFIDENTIAL - PURSUANT TO FED_ R. DB-SDNY-0016585
EFTA_00164333
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