EFTA Document EFTA01451485
From: Paul Morris Sent: 1/21/2014 1 To: Amanda Kirb I ; Brian M Biggar I ; Chip Packard er y Hart ]; Lawrence Weissman Mary C Keaven ]; Michael-1 Davis michael- acoby Morris Wolfgang-W Doerr [ Subject: AIS Requesti i• as been Submitted The Following Alternative Investment suitability request has been submitted. AIS Request Number: AIS-00003346 client Name : southern Financial LLC Comment on Approval: Reason for Rejection: Reason for Cancel: Reason for OnHold: Details Link
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From: Paul Morris Sent: 1/21/2014 1 To: Amanda Kirb I ; Brian M Biggar I ; Chip Packard er y Hart ]; Lawrence Weissman Mary C Keaven ]; Michael-1 Davis michael- acoby Morris Wolfgang-W Doerr [ Subject: AIS Requesti i• as been Submitted The Following Alternative Investment suitability request has been submitted. AIS Request Number: AIS-00003346 client Name : southern Financial LLC Comment on Approval: Reason for Rejection: Reason for Cancel: Reason for OnHold: Details Link
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Subject: Re: planning email for Patrick From: Stewart Oldfield Date: Mon, 25 Jun To: Steven Mattus Thanks. You think it's better to send before or after I sit with him? Stewart Oldfield, CFA, CAIA Director Deutsche Bank Deutsche Bank 345 P Tel. Mobi Email Trust Company Americas Wealth Management e• New York, NY 10154 Securities offered through Deutsche Bank Securities Inc. On Jun 25, 2018, at 6:41 PM, Steven Mattus rote: This is a great start! Reads like a CS MD application. C
EFTA Document EFTA01451466
From: Sent: To: Paul Morris 1/17/2014 4:50:49 PM Amanda Kirby Brian M Biggar Kimberly Hart [ Mary C Keaveneyl Michael S Jacoby Morris ; Wolfgang-W Doerr Subject: AlS Request AIS-00003326 has been Submitted Chip Packard ; Lawrence Weissman Michael-1 Davis Oliver Esslinger The Following Alternative Investment suitability request has been submitted. AIS Request Number: AIS-00003326 client Name : southern Financial LLC Comment on Approval: Reason for Rejection: Reason for Canc
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Subject: planning email for Patrick From: Stewart Oldfield Date: Mon, 25 Jun To: Terri Sohrab Bcc: Please let me know what you think. Career overview: 20yrs in banking overall 16yrs investment banking/capital markets (JPM and CS) 4 yrs private banking (DB) CFA and CAIA charterholder. Series 7,9,10,24,63 licenses JP Morgan Investment Bank (1998-2002) Debt capital markets/structured credit Credit Suisse Investment Bank (2002-2014) Equity derivatives, structured investments, liquid al
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Socials offered through Deutsche Bark Swain Inc. ,,Rre'o-P, Iv- Perfon't From: Paul Morris Sent: Tuesday, March 17, 2015 5:33 PM To: Andrea Tapia Subject: Re: February 2015 Revenue Report (by Account Type) [I] Classification: For Internal Use Only Hi there this does not capture kcp capital markets revs From: Andrea Tapia Sent: Tuesday, March 17, 2015 04:04 PM To: Chip Packard; Andrew Gallivan; Lee Flutter; Michael-3 Davis; Mark LaRoe; Michael S Jacoby; Patrick Harris; Diego Galan; Jer
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Andrea Tapia Vice President Deutsche Bank Trust Company Americas Deutsche Asset & Wealth Management 345 Park Avenue. 24th Floor New York. NY 10154-0004 Securities offered through Deutsche Bank Securties Inc PARrelowto- peril-mt From: Paul Morris Sent: Tuesday, March 17, 2015 5:33 PM To: Andrea Tapia Subject: Re: February 2015 Revenue Report (by Account Type) [I] Classification: For Internal Use Only Hi there this does not capture kcp capital markets revs From: Andrea Tapia Sent: T
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Subje From: Date: Wed, 11 Feb 2015 09:29:39 -0500 To: Paul Morris Stewart Oldfield Cc: Amanda Kirby Classification: For internal use only Please see your updated tiering worksheets attached, and if possible, let me know when I can expect to have these back in order to manage Chip's expectations. Kind regards, Andrea Tapia {cid:image001.gif@OlCE271E.01610240} Andrea Tapia Vice President Deutsche Deutsche 345 Park New York Tel. Mobile Email • Bank Trust Company Americas Asse
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