EFTA01375554
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Related Documents (6)
EFTA Document EFTA01398793
Subject: RE: MD approval for ACUs completed for High Risk Clients [I] From: Andrew Gallivan Date: Fri, 07 Apr 2017 To: Vaishali-P Mehta < Classification: For internal use only Approved. From: Vaishali-P Mehta Sent: Friday, April 07, 2017 2:21 PM To: Andrew Gallivan Subject: FW: MD approval for ACUs completed for High Risk Clients [I] Classification: For internal use only Hi Andrew, In an effort to ensure that you have to approve only 1 email, I sent the below email, in hindsight I s
EFTA Document EFTA01426509
Subject: RE: Butterfl Trust - new KCP brokerage [C] From: Kimberly Hart Date: Mon, 03 Dec 2018 10:41:35 -0500 To: Stewart Oldfield Cc: Andrew Gallivan Classification: Confidential Can you set-up a meeting for you, me and Andrew to discuss? There has been negative press over the past couple of days which I think that we need to review and determine if we still feel comfortable not only maintaining but continuing to expand this relationship. I think that this may warrant a CAF to ensure
EFTA Document EFTA01432066
Subject: Re: URGENT!!! Need to close accounts ASAP - please prioritize today From: Daphne Cales ‹ > Date: Mon, 08 Jul 2019 08:51:19 -0400 To: Kimberly Hart Cc: Stewart Oldfield Andrew Gallivan Dawn Forbes Brigid Macias Kim, This will be taken care of today. Daphne Sent from my iPhone On Jul 8, 2019, at 7:33 AM, Kimberly Hart a wrote: > Classification: For internal use only The following need to be completed today: 1. $0 balance deposit accounts that are still open. Please coord
EFTA Document EFTA01381104
From: Henry Clark Sent: 11/7/2016 9:58:14 AM To: Stewart 0ldfield CC: Manish Pahlajani Subject: Pipeline ICI Attachments: Stewart Oldfield_Pipeline as at Nov 2.xlsx Classification: Confidential Thanks Stew. As discussed, please find a pull of your pipeline from November 02. I've filtered it for anything with probability greater than 50% and due to close in the next 90 days (from 11/02). Please can you update any data needed in the excel and return to me (please show what you've cha
EFTA Document EFTA01383206
From: Stewart Oldfield Sent: 5/26/2019 11:32:21 AM To: Donna Kerrigan Subject: Re: Southern financial [C) Are you in next week? Let's have a quick chat with Andrew since there is quite a bit of 2019 revenue on the account that he may not want elsewhere. Thanks Stewart Oldfield, CFA, CAIA Deutsche Bank Trust Company Americas Deutsche Bank Wealth Management 345 Park Avenue, New York, NY 10154 Tel. Mobile Email Securities offered through Deutsche Bank Securities Inc. On May 26, 20
EFTA Document EFTA01375636
Oliver Rothauser Director I Saks & Origination Institutional Wealth Partners #Positivelmpact Please be advised that, in connection with a potential investnwnt In GTIS (directly or indirectly), we IURSII Hill be treating you as IIII"histitutional account- as such temp is defined in FINRA Rule 4512(c$3) and as such we taped that you have total assets of S50 million or more, arc able to evaluate such transaction independently, without relying on any statements or views of DBSI, and will exerci
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