EFTA00167090.pdf

KYC Print Page 1 of 21 DB PWM GLOBAL KYC/NCA: PART A KYC Case a : 01790655 Status : 6. Approved One sheet must be established per relationship list all accounts Included In the reladonshl 1. Relationship Details Relationship Name: EPSTEIN, JEFFREY RELATIONSHIP:00000483290 Booting Center: New York Relationship Manager: Stewart Oldfield O New PWM Relationship 110 Existing PWM Relationship If noting, please indkate since when the relationship exists, provide reason for new profile and attach obi profile: • • 'This KYC Is a periodic review for high risk remedialion•'• RelatIonshp to PWM: Original KYC1195100 ONLY adding signers to account. Al signers have already been approved in previous KYCs. Please rush as this is a simple update. Darren Indyke was approved In KYC 01133377 Harry Beller was added in approved KYC 0/1/1308 ca Client Referral O RM Prospect O Intermediary/TIM O Other Source (CIB, etc.) How Was the Chent(s) Introduced? How long has the RM personally known the please provide details (e.g. name of referral source, how many years RM personally ha known dent, etc.): Jeffrey Epstein client] reached out to Stew Oldfield on 3/7/17 to have a new acct opened under Zorro Management LLC and add two new signors to this new acct only. Does Deutsche Bank pay a O Yes I RI No retrocession or sealer compensation to a third party for the introduction of this (If Yes, desenbel. relationship/ List all existing and new accounts involved in this relationship Legal Entity Account Name / Humber Opening Date (intended/actual) Account(s) 1 El Southern Financial, LLC Deposit-42952771 9/5/2013 2 RI Southern Trust Company, Inc- Deposit-42952/63 8/27/2013 3 RI Jeffrey Epstein - Deposit-35269691 3/8/2016 4 M J. Epst in Wgin Islands Foundation, Inc - Brokerageh4G024150 9/30/2013 Who is he primary contact person or the NW (Note: Thal. person needs to have Preferred method of contact Darren Indyke (indicate phone no, fax no., signatory rights and/or e-mail address, ete.3 inforrnation right for the accounts.): 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. 6(e) DB-SONY-000286a EFTA_00016338 EFTA00167090  KYC Print Page 2 of 21 One sheet must be established for each account to be opened 2. Account Ownership Summary Account Name: Southern Financial LLC Deposit Acct. Number (if evadable): 4295277/ Account Manager: stewart &Nell What is the purpose of the account (e.g. portfolio management, advisory account, custody serykes, longterm Investment, payment/expense account)'' The purpose of tNs account Is to manage the dady expenses of the company Indicate from where the assets are expected to arrive' EA DO Group: Same Booking Center (Indicate account number): 42952771; 77000957 O 08 Group: Other Booking Center (indicate DB location and account details): • Other Institution - (Indicate name fi location): O Physical Deposits (specify cash, securities. cheques....): What is the expected sire 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 the account approx. 90 days after 46,600 and 11479051.88 I Currency I USD opening' Mat 8 the expected volume of assets and currency for the account approx. one year after 47,000 and 11679051.88 I Currency I USD opening' Does/we the client have Assets Under Management (AuM) within DB under Eur. 7 • yes a No Please list all parties related to the account. For each party: • Check if a source of wealth escription is required for the party. • Check the appropriate box to descnbe the relatiorohip of the party to this account (> 1 can be selected). • f none of the check boxes ppty, describe he party's relation to the account in the 'Other column. • Always describe! e relationship between the parties in the last cokann. • Please drdl down to the ultimate/underlying Beneficial Owner(s). _egal Description AccountPIC Senor of Utknate Signatory iniked Financial Significant _egal Grantor/Settlorfoundkig Other EntRyof Source folder OvrnerTrust / Beneficial*, Full ?OA nterrnediaryShareholderilepresentative Donor please of Wealth ;ponder of Ginter POA FIN) ,>=25%) describe required Foundation Non-NC other roles entRy and/or larties ,irekate Skate *Mated to ownership relationship Ns ?a) between Account parties) Sole Jeffrey O O sharelxid I O 0 E. E pstein "r-i ❑ El 2 O O O O O of Scythe Trust Southern 2 N N inane's' si El • El O O O M ill El LLC Southern Trust is the sole number of Southern Southern 3 Ea 0 bust n O O O O O O 100 0 • manual O Company '—' nd Jeffrey Inc. Epstein is the sole shareholde of Southe Trust) arren O O O 4 O O ID ndyke O 7.1 O • O O O 5 O O Harry O O O O O a O O O Beller lean 6 • D Brennan O OO • El O O O O O inebrachq https:// 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002865 EFTA_000 16339 EFTA00167091  KYC Print Page 3 of 21 2. Account Ownership Summary %count Name: Southern Trust Company, Inc- Deposit Acct. Number (if avadabk) 42952763 Account Manager: Stewart Ceifieki What is the purpose of the account (e.g. portfolio management, advisory account, custody services, long-term investment, PaYmentkerPense accoure)? The purpose of this account is to manage the daily expense of the company Indicate from where the assets are expects to arrive? 2 DB Group: Same Booking Center (indkate account number): 42952763; 77000965 O 08 Group: Other Booking Center (indicate DB location and account details): O Other Institution - (Indicate name & location): 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 per month)' Roughly 10 inflows and 10 outflows per month ranging from $1,000 to $10,000 What's the expected volume of assets and currency for the account approx. 90 days after 132060.99 and 18028364.27 I USD opening? ' Currency What is the expected volume of assets and currency for the account approx. one year 33000 and 18280364.27 !Currency after openek? I US° Does/wil the client have Assets Under Management (AuM)wtthin DB under Eur. ? giros 2 NO 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 faction to the account k the 'Other' cokes. • Always describe the relationship between the parties I. the last adman. • Please drill dam to the utUrnatefunderlying Beneficial Cvarer(s). ..egal)escription PrcoundPIC Better of Jttrnate Signatoryanitedrinancial Significant _eget Grantor/Settbr9oundinOther 2ntttyof Source Holder OwnerTrust / Beneficial°, Full POA ntennediaryShareholderkepresentatve Donor :please of Wealth Founder of Droner POA FIN) ,>=25%) describe required Foundation Non-PIC other roles entity end/or patties ,indkate ndicate related to ownership relationship his %) between iccouM smiles) Sole shareholder of Southern Trust ffray i O 0 jeffret E. Epi.tein O ❑O ❑O 21 O O um O O O EpsteiJen Is the sok shareholder of Southern Trust; Southern 2 2 2 Co Trusmpany, 2 O O • li O O O O O Inc. arren in • O 3 III • ID ndyke "1' • 2 • O O O • 4 0• Beller III • O a 2 • O O O • lean 5 O O Anne Brennan O O O O M O O O O O Aliebracht https://dbforcepb.my. sal et/servl et.Integration?lid=01N30000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) 0B-SDNY-0002866 EFTA_00016340 EFTA00167092  KYC Print Page 4 of 21 2. Account Ownership Summary Account Name: Jeffrey Epstein • Deposit Acct. Number (11avai4lare): 35269691 Account Manager: Stewart Oldfleld What is the purpose of the account (e.g. portfolio management, advisory account, custody services, long-term investment, payment/expense account), Deposit accounts for Jeffrey Epstein s personal daily use. Indicate from where the assets we expected to annex Ea DB Group: Same Boating Center (indicate account number): 35269691 O 08 Group: Other Booting Center (Indicate DB location and account details): O Other Institution - (Indicate name & location): O Physical Deposits (specify cash, socwities. cheques, ...): What is the expected sire and frequency of regular inflows and outflows for the account (Indicate estimated number and volume per monthly: Roughly 15 inflows and outflows per month ranging from $100.410,000. What is the expected volume of assets and arrency for the account approx. 90 days after 13478411.80 I Currency I USD riming' What is the expected volume of assets and currency for the account approx. one year after 2980000 II Cunency I USD opening' Doedwil the client have Assets Under Management (Auer) within DB under Ed. NV U Yes RI No Please list all parties related to the account. For each party: • Check if 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 rebtion to the account in the 'Other' educe"). • Always describe t e relationship between the parties in the lad coition. • Please dii down to the ultimate/underlying Beneficial Owner(s). ttigal7escription AccotritilIC `Senior of Jitlniate Signatotwiridedrinanclal tignificant Legal Grador/Settlorround g Other "Entity-of Sauce Molder Owneffiust / Beneacialor Full ?OA lntermedialyShareholderRepresentathe Donor please of Wealth Founder of Jeerer POA (PIM) (>=25%) describe -Nuked Foundation Ion-PIC otter roles entity and/or lades indicate ndkate elated to ownership elationship ins a) Setween „account )arties) Jeffrey E. 0 O O 1 O 2 Ffistein ❑ O 0 O O O O O 2 • O "' 3eller O O .T2 O • • O O D a O O O • 0 O O O O 3 O O ire „ncke 11 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) 0B-SDNY-0002867 EFTA_00016341 EFTA00167093  KYC Print Page 5 of 21 2. Account Ownership Summary Account Name: ). Epstein Virgin Islands Foundation, Inc - Brokerage Acct. Number (/available). N46029950 Account Manages: stewart oilfield What is the purpose of the account (e. . portfolio management, advisory account, custody services. long-term investment, payment/expense amount)? the purpose of this account is to manage the foundation's securlUes and trade kwestments. Indicate from where the assets are expected to arrive? Ea DB Group: Same Booking Center (indicate account number): N4G024950 O DB Group: Other Booldng Center (indicate DB location and account details): O Other Institution - (Indicate name & location): O Physical Deposits (speedy cash, scathes. cheques, ...): What is the expected sire and frequency of regular inflows and outflows for the account (indicate estimated number and volume per month)?: 610 inflows/outflows of security sails and purchases on a monthly bash between 10k and 150k. What is the expected volume of assets and currency for the account approx. 90 days 1640138 I Currency after opening? I usd What a the expected volume of assets and currency for the account approx. one year 1680000 'Currency I usd after opening? Does/wIl the client have Assets Under Management (Ault) within DB under Eur. ? • ling No Please list all parties related to the account For each party: • Check if a source of wealth description b required for the party. • Cheek the appropriate box to describe the relationship of the party to this account (> I can be 'Netted). • If none of the check boxes apply, describe the party's faction to the account in the Tither column. • AAyays describe t err:Worship between the parties in he lad eiskann. • Please drill down to the ultimate/underlying Beneficial Owner(s). ...egal)escription Account:1C (ienior of Ultimate tignatorillimiledrinancial Significant _egal tirantor/Settlocirourkling Other Intttyof Source Holder Owner Trust / Benefit-ill or Full PCS ntermediaryShareholderstepresentative Donor ,please a Wealth Founder of Owner ?OA FIM) (>=25%) describe required Foundation Non-PIC other roles entity and/or ?artin (indicate silicate related to ovmership relationship Ns %) between account parties) I. Epstein Virgin 1 0 0 Islands e O O D O DD O O O Foundation, Inc Jeffrey E. • O O 2 • SI El El OO • O O Epstein Erika 3 O • Kelerhals • O O • El O O • El El 4 O D Darren Owe O O O • 2 O O • O O 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002868 EFTA_000 16342 EFTA00167094  KYC Print Page 6 of 21 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summa 3A. Individual Details (foi all parties) Inillvklisars Name Hairy Feller - 00000487202 Date of Birth: Country of Residence: USA Country of Citizenship: USA has client resided outside of his/her country of nationality O Yes '7 pie Address of primary residence: for 5 years or more? Profession/Occupation: Accountant Tax ID / SSN: Current Employer: HBRK Associates, Inc Position/Me/Rank: Address of employer: Does the person work as senior ececuthe of a DEbrecognted regulated entity In the financial no yes r40 Meshy? Or an entty listed on a DE -recognised exchange? (Not applicable for operating entitles ® Is the edthdual a Politkally &Dosed Person (PEP)?tif Yet deso-ibe) • Yes No To the best of your knowledge, Is the individual related to an employee of the De group(' O Fan* O Friendship gl None FarnilyorFnerdsoNA dcsmbe) 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 in NI servicesflit Yes,ckscate) Indicate where and when the client meebng(s) took place If applicable, Indicate which bank officers have met the person: Gent Ornate (bent Place of Bank Officer Names) Bank Office: Other Location (specify); Date: Dorniole: Business Paul Morris gi O O 1O:212013 0 0 0 O O O • Wealth Details for this Individual are not fled In, because they are the same as for the following person: 3D. Wealth Details (Only for parties requiring source of wealth desorption 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 Wealth/Source of Fuels? Summarize Source of Wealth: O Business Owner U Salary/Earnings • Investment U Inheritance/Gifts O Other: Further Describe Source of Wealth /Detail the history of wealth for each of the settees: (e.g. For trusts, how did settler accunula e wealth? For inheritance, how did lenity accumulate weaah'For business owners, how long in business, how many ermloyees, level of profitability' Indicate type of business, countries of mapr aunties, importam business partners.) Estimated Annual income(S): Estimated amount of investable assets(S): Estimated Net Wo.th($): Amount of assets /tamed to invest with PWM($): Other Known Financial Institutions: Institution: Country: ER. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002869 EFTA_00016343 EFTA00167095  KYC Print Page 7 of 21 I Please indicate the family situation of the individual (mantel sleets, other family members, etc.): Imps://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid-OIN30000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002870 EFTA_00016344 EFTA00167096  KYC Print Page 8 of 21 One sheet must be estsblished for EACH INDIVIDUAL PARTY In Section 3. Account Ovmaship Somme 3A. Individual Details (for all parties) Indlvkluars Name Darren Indyke . 00000486405 Date of Earth: Country of Residence: USA Country of Citizenship: USA Has client resided outside of hkszher country of nationality O yes '7 No Address of primary residence: for 5 years or more, Prolessbn/OccupatIon: lawyer Tax ID / SSN: Current Empbyer: Southern Financial LLC Poutionflttle/RanIc Address of employer: 575 Lexington Avenue, 4th A New York NY United States 10022 Does the person work as senior executive of a DB-recognized regulated entity in the financial — ndustry, or an entity heed on a DB-recognised exchange' (Not applicable for operating entitles • Yes RI No Is the mdividual a politically Exposed Person (PEP)'fir Yes, cleseibe) • yes 1.4 No To the best of your knowledge, is the individual related to an employee of the De group'(! O Ea n-ity O Friendship CO None Family or Fnendship, descnbe 1 To the best of your knowledge, is the indondual party to a non-banking relationship with Deutsche Bank (e.g., external legal counsel, client referral source, supplier of goods or O Yes El No senaces)7(if Yesi cksente) Indicate where and when the dint meeting(s) took place: If applicable, Indicate which bank officers have met Me person: (Pent Private Client Place of Bank Officer Names Bank Office: Other Location (specify): Date: Domicile: Business • • • O O • O O • • Wealth Details for this Individual are not filed in, because they are the same as for the folkwing person: 39. 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 swath/source of Funds? Primary industry of source of Wealth/Source of Maids' Summarize Source of Wealth: O Business Owner Salary/Eamings n Investment N Inheritance/Gifts O Other: Ill Further Describe Source of Wealth /Detail the history of wealth for each of the soirees (e.g. For trusts, how did settfor accunula e weaker For inheritance, how did family accumulate wealth'Frs business owners, how long in business, how many employees, level of prernability' Indkote type of bustle's, countries of major activates, Important business partners.) Estimated Annual Income(S): Estimated amount of investable assets(S): Estimated Net Worth($): Amount of assets planned to invest with PWM($): Other Known Financial Institutions: Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002871 EFTA_00016345 EFTA00167097  KYC Print Page 9 of 21 I Please indicate the family situation of the individual (mantel sleets, other family members, etc.): Imps://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid-OIN30000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002872 EFTA_00016346 EFTA00167098  K YC Print Page 10 of 21 One sheet must be eslablished for EACH INDIVIDUAL PARTY In Section 2. Account Ownes_ hip Somme 3A. Individual Details (for all parties) Individual's Name Erika Kelierhals - 03000499664 Date of Birth: Country of Residence: USA Country of Citizenship: USA Has client resided outside of hkszher country of nationality O yes EA No Address of primary residence: for 5 years or more, Profession/Occupation: Attorney Tax ID / SSN: Current Employer: kellerhals Ferguson krotilln PLLC Position/Title/Rank Address of employer: 9100 Port of Sale Mal, Ste 15 St. Thomas VI United States 00802 Does the person work as senior executhee of a DB-recognized regulated entity in the financial — Wintry' or an entity hied a DB-recognised exchange' (Not applicable for operating entities • Yes RI No Is the ithhidual a Politically Exposed Person (PEP)'fff Yes, cleseibe) • Yes 5 No To the best of your knowledge, is the individual related to an employee of the DO group'(! O Ea re// O Friendship CO None Family or Friendship, dcscnbe 1 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 ONO servIces),fr Yesi cksente) Indicate where and when the client meeting(s) took place: If applcable, Indicate which bank officers have met the person: Clem Private Client Place of Bank Officer Names Bank Office: Other Location (specify): Date: Domicile: Business • • • O O • O O • • Wealth Details for this Individual are not filed n, because they are the same as for the foloMng person: 39. 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 swath/source of Rinds? Primary industry of source of Wealth/Source of Raids? Summarize Source of Wealth: O Business Owner Salary/Eamings • Investment N Inheritance/Gifts O Other: Ill Further Describe Source of Wealth /Detail the history of wealth for each of the sowces (e.g. For trusts, how did setttor accwnula e wealth? For inheritance, how did family accumulate vrealth'Fcc business owners, how brig in business, how many employees, level of profitability' Indicate type of Wale's, countries of major acUveles, important business partners) Estimated Annual Incomc(S): Estimated amount of investable assets(S): Estimated Net Worth($): Amount of assets planned to invest with PWM($): Other Known Financial Institutions: Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002873 EFTA_00016347