EFTA01444960.pdf

SOUTHERN FINANCIAL LLC N4G024943 N4G023812 N4G025098 N4G025106 N4G025114 N4G023804 N4G025080 N4G026161 N4G024968 N4G024950 N4G024935 N4G025403 fll II 1111 II liill KS EFTA01444960 K/f (n a^"0" mCnOl^ m Deutsche Bian fc Pnvate Wealth Management Institutional Suitability Certificate Affirmative Indication Of Exercise Of Independent Judgment (Pursuant To FINRA Rule 2111 )i In connection with any recommended^ transaction or investment strategy by Deutsche Bank Securities Inc. (DBSI) or its Client Advisors, the undersigned acknowledges on behalf of the Institution named below that: I It is an Institutional Account as defined in FINRA Rule 4512(c)3; namely, • • 0 a) A bank, savings and loan association, insurance company, or registered investment company b) An investment adviser registered either with the Securities and Exchange Commission under Section 203 of The Investment Advisers Act of 1940 or with a state securities commission (or any agency or office performing like functions) c) Any other entity (whether a natural person, corporation, partnership, trust, or otherwise) with total assets of at least $50 million as of the date of this Certification (whether such assets are invested for such person's own account or under management for the account of others). IIVIPORTANT: You must select one of the above II. It (1) is capable of evaluating investment risks independently, both in general and with regard to all transactions and investment strategies involving a security or securities; and (2) will exercise independent judgment in evaluating the recommendations of Deutsche Bank Securities Inc. or its associated persons, unless it has otherwise notified Deutsche Bank Securities Inc. in writing; HI. It will notify the Deutsche Bank Securities Inc. Client Advisor servicing the Institutional Account if anything in this Certificate ceases to be true; IV. He or she is authorized to sign on behalf of the Institutional Account named below. By signing this Certificate, the undersigned affirms that the above statements are accurate but does not waive any rights afforded under U.S. federal or state securities laws, including without linnitation, any rights under Section 10(b) of the Securities Exchange Act of 1934, as amended, and the rules and regulations promulgated thereunder. NOTE: This Certificate shall apply with respect to all recommended transactions and investment strategies involving securities that are entered into by the "Institutional Account" named in this Certificate, whether for the account of such EFTA01444961 Institutional Account or for the account of any beneficial owner that has delegated decision making authority to such Institutional Account. Southern Financial LLC Institutional AeE.quint Name Btle of AuthorizedS"gflSfory— ) Signature of Authirized Signatory Southern Trust Company Inc. Institutional Account Name Titte/df Authorized Signajgdis"" Signeture of Authorized Slgnatoiy Client Advisor Signature 1 "H" j Jeffrey Epstoln AccountNumber KST""\ A / J>^\ / """" Date ' Available at http;//www.finra.org/lndu8tr//l"jfoulatloirilpINRAftlilos/ 'As defined in FINRA Rules. Date T, ; Jeffrey Epstein Account Number M4;6i oXitHJ"" "JCe(r" 01/ ^ ^135 (c>tesi EFTA01444962