EFTA Document EFTA01362527

Southern Financial LLC is one of the accounts GM wanted to off-board thus we are working on retaining the client. In order to do so, kindly provide the below into. PENDING W/BUSiNESS 1. Provide RR (Sales Rep) AND RP (Desk Head) 2. Provide Certification of Incorporation 3. AC0 Attestation —Xavier Avila 4. BSF Form — Please work with the client to have the attached filled out. 5. MD sales approval — Xavi please approve the below HI Xavl, Kindly provide MO sales approval for the NCA of Southern Financial LLC for the below products/entities. C•1/4t ,rn* tyres— • 01 C .51•11,M , Ar.• CS An ;L:N: ).VPI-,,O) 11:Pefee. OZAT CB AI 3.CI1) DO AG '324941) f x cast. CB AO ritto 44 'acts DO AO ;t1D11) Cdp MS1 03916 CB AS 1.4C44 Thanks Kind regards, Nina Tona Associate Business Control Manager, Key Client Partners —Americas Deutsche Bank Wealth Management 5022 Gate Parkway Jacksonville, rlorida 32256 MOM KCP products and services ore amended and availabt only for persons who ore sophisticated institutional investors within the meaning of the FINRA Rule 4512(C)(3), and who ore capable of evaluating the strategies. characteristics and investment risks of, and exercising independent judgment in evaluating, the ideas and products discussed herein. Trades and transactions ore subject to relevant internal approvals of 085tor its affiliates prior to execution, and the execution of any transaction or idea discussed here- is conditional on your becoming a client of Deutsche Sank Key Client Partners (KCP) products, investment ideas and solutions and related matters discussed herein ore provided for discussion purposes only, and strictly on a non- advisory basis. The KCP Americas desk does not provide investment advice. The information set forth herein is confidential and personal to you and is being presented for your information and for discussion purposes only. My reproduction and/or redistribution thereof (in whole or in part) or disclosure of its content without our written consent is strictly forbidden. This communication does not create any legally binding obligation on the part of 0851 or any of its affiliates. CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0051981 CONFIDENTIAL SDNY_GM_00198165 EFTA01362527