EFTA Document EFTA01375208
From: Stewart Oldfield Sent: 10/15/201810:48:40 AM To: Darren Indyke CC: Liam 0sulliyan BCC: Subject: Darren and Rich, copies of unexpired IDs ; Richard Kahn I ; Bradley Gitlin ; Richard larossi The IDs we have on file for you have expired. Please email copies of current ones when you can. Thanks Stewart Oldfield, CFA, CAIA Director Deutsche Bank Trust Company Americas Deutsche Bank Wealth Management 345 Park Avenue New York, NY 10154 Tel. Mobile Email Securities offered
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From: Stewart Oldfield Sent: 10/15/201810:48:40 AM To: Darren Indyke CC: Liam 0sulliyan BCC: Subject: Darren and Rich, copies of unexpired IDs ; Richard Kahn I ; Bradley Gitlin ; Richard larossi The IDs we have on file for you have expired. Please email copies of current ones when you can. Thanks Stewart Oldfield, CFA, CAIA Director Deutsche Bank Trust Company Americas Deutsche Bank Wealth Management 345 Park Avenue New York, NY 10154 Tel. Mobile Email Securities offered
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Subject: RE: Assistance Required in solving rejection points on KYC Case#01946825 [I] From: Stewart Oldfield e > Date: Thu, 06 Sep 2018 13:51:24 -0400 To: Vijay-A Sawant Let's chat tmw. Thanks From: Vijay-A Sawant Sent: Thursday, September 06, 2018 12:32 PM To: Stewart Oldfield e > Subject: RE: Assistance Required in solving rejection points on KYC Case#01946825 [I] Hi Stew, I called but you were busy. Anyways I am heading home for the day. You can email me your concerns or we can t
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Subject: Re: Southern Financial - Client Confirmation [C] From: Richard Kahn ‹ > Date: Thu, 29 Mar 2018 11:12:49 -0400 To: Xavier Avila Cc: Paul Barrett Martin Zeman Liam Osullivan Davide-A Sferrazza Nina Tona Stewart Oldfield attached info is correctthank you Richard Kahn HBRK Associates Inc. 575 Lexington Avenue 4th Floor New tel fax cel On Mar 28, 2018, at 6:04 PM, Xavier Avila wrote: Richard, as discussed today, in order for the Southern Financial account in Global Marke
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Subject: RE: Assistance Required in solving rejection points on KYC Case#01946825 [I] From: Stewart Oldfield e > Date: Thu, 06 Sep 2018 10:06:56 -0400 To: Vijay-A Sawant <Ma Please give me a call when you can. Thanks From: Vijay-A Sawant Sent: Tuesday, September To: Stewart Oldfield Cc: Bradley Gillin Vinita Advani ; Richard Iarossi Subject: RE: Assistance Required in solving rejection points on KYC Case#01946825 [I] Importance: High 04, 2018 9:57 AM Hi Stewart, We require the '
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Subject: FW: Southern Financial - Client Confirmation [C] From: Martin Zeman cc > Date: Thu, 22 Mar 2018 16:52:34 -0400 To: Stewart Oldfield Classification: Confidential From: Martin Zeman Sent: Monday, March 19, To: 'Richard Kahn' < 2018 5:15 PM < ›; Xavier Avila 'Paul Barrett > ; Davide-A Sferrazza Subject: Southern Financial - Client Confirmation [C] Classification: Confidential Richard, We are making sure that Southern Financial can trade in credit derivatives and to have t
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7/15/2019 KYC Print DB PWM GLOBAL KYC/NCA: PART A KYC Case # : 01651789 One sheet must be established per relationship - list all accounts included in the relationship 1. Relationship Details Relationship Name: Relationship Manager: EPSTEIN, JEFFREY RELATIONSHIP:00000483290 Stewart Oldfield New PWM Relationship Relationship to PWM: If existing, please indicate since when the relationship exists, provide reason for new profile and attach old profile: Update of KYC #01133113. Benefi
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From: Vijay•A Sawant Sent: 8/1/2018 8:07:05 AM To: Bradley Gillin ; Stewart Oldfield CC: Mayur Rathod Subject: 2018 Periodic Review o accts Mort, Inc nd Gratitude America Ltd under the SOUTHERN FINANCIAL RELATIONSHIP Attachments: Mort, Inc Checklist 2018.xlsx; Gratitude America Ltd Checklist 2018.xlsx; Entity Self Certification Form.pdf; Form 990 2016.pdf; Non Profit Resolution.pdf; KYC Print 01790739.pdf Importance: High Hello Brad/Stewart, This review relates to review of ab
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