EFTA Document EFTA01371587
From: Danya Friedman on behalf of Amlcompliance Inquiries Sent: 10/23/2017 10:17:00 AM To: Stewart Oldfield CC: Amlcompliance Inquiries ; Cynthia Rodriguez I; Andrew Gallivan Subject: Inquiry Regarding Account 44129244, Client: SOUTHERN TRUST COMPANY, INC.; Case No. 144434 - DUE October 30 Importance: High Classification: For Internal use only Good Morning: The above referenced account has had the following activity. To assist in this review and further document your supervis
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From: Danya Friedman on behalf of Amlcompliance Inquiries Sent: 10/23/2017 10:17:00 AM To: Stewart Oldfield CC: Amlcompliance Inquiries ; Cynthia Rodriguez I; Andrew Gallivan Subject: Inquiry Regarding Account 44129244, Client: SOUTHERN TRUST COMPANY, INC.; Case No. 144434 - DUE October 30 Importance: High Classification: For Internal use only Good Morning: The above referenced account has had the following activity. To assist in this review and further document your supervis
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4129244IMMEDIATELYSOUTHERNreferencedRelated Documents (6)
EFTA Document EFTA01282110
KYC l'rint Page 1 of 33 DB PWM GLOBAL KYC/NCA: PART A KYC Coy, : One sheet must be established pr relationship - list all accounts Included In the retationshi 1. Relationship Details Relationship Name: SOUTHERN FINANCIAL RELATIONSHIP. cooking Center: New Yak Relationship Manager: Stewart DIMS • New PWM Relationship 9 Existing PWM Relationship Relationship to PWM: If costing, please indicate sate when the relationship exists, provide reason for new profde and attach old profile:
EFTA Document EFTA01284127
KYC Print Page 1 of 21 DB PWM GLOBAL KYC/NCA: PART A KYC Case = Slats : 6. Approved One sheet must be establbhed per relationship - list all accounts included in the relationshi 1. Relationship Details Relationship Name: EPSTEIN, JEFFREY RELATIONSHIP Booldng Center. New York Relationship Manager. Stewart Okifield • New PWM Relationship 2 Existing PWM Relationship Relationship to PWM: If orating, please indicate since when the relationship exits, provide reason fee new profile and
EFTA Document EFTA01425911
Subject: RE: Inquiry Regarding Account Client: SOUTHERN TRUST COMPANY, INC.; Case No. 144434 - DUE October 30 [I] From: Stewart Oldfield ‹ > Date: Mon, 23 Oct 2017 10:37:15 -0400 To: Amlcompliance Inquiries Cc: Cynthia Rodriguez Andrew Gallivan Bcc: Purpose of the wire is advisory fees Alpha Group Capital is an RIA that is now providing advisory and trading services to Southern Trust and Southern Financial You should expect to see wires consistently between the two parties. Please c
EFTA Document EFTA01284148
KYC Print Page I of 10 DB PWM GLOBAL KYC/NCA: PART A KYC Case * : 01790724 One sheet must be established per relationshi • list all accounts included in the relationshi 1. Relationship Details Relabonship Name: SOUTHERN FINANCIAL FtELATIONSHIP.00000.483293 Booking Center: New York Relationship Manager: stewart oldfield III New FUN Relationship 74 Existing PWM Relationship Relationship to WM: If existing, please indicate since when the relationship exists, provide reason for new pr
EFTA Document EFTA01284112
KYC Print Page I of 15 DB PWM GLOBAL KYC/NCA: PART A KYC Case a : 01748087 One sheet must be established per relationship - list all accounts included in the relationshi 1. Relationship Details Relationship Name: sou it if RN FINANCIAL RELATIONSHIP:00000483290 Booting Center: New York Relationship Manager: Stewart Oldfiekt • New PWM Relationship 12 Existing PWM Relationship Reatiomaip to PWM: If elating, please Indicate since when the relatIonsrop edits, provide reason (or new Pr
KYC Print
DOJ EFTA Data Set 10 document EFTA01284127
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