EFTA01421388.pdf

Subject: Re: SOF IV names [C] [I] From: Stewart Oldfield ‹ > Date: Fri, 04 May 20 To: Nathaniel Morgan Cc: Andrew King William-M Finn Sure, that works. Thanks Stewart Oldfield, CFA, CAIA Director Deutsche Bank Trust Company Americas Deutsche Bank Wealth Management 345 Park Avenue, New York, NY 10154 Securities offered through Deutsche Bank Securities Inc. On May 4, 2018, at 3:02 PM, Nathaniel Morgan <[email protected]> wrote: Classification: For internal use only Hi Stew — We've submitted 20 and received docs for 19 of your prospects. 2 quick updates/questions: We asked Davide from KCP to submit the request for Southern Financial. Should KCP also submit Willett? Thanks! Nate EFTA01421388 From: Stewart Oldfield Sent: Wednesday, May To: Nathaniel Mor an Cc: Andrew King William-M Finn Subject: Re: SOF IV names [C] [I] Ah. That's complicated. Stewart Oldfield, CFA, CAIA Director Deutsche Bank Trust Company Americas Deutsche Bank Wealth Management 345 Park Avenue, New York, NY 10154 Securities offered through Deutsche Bank Securities Inc. EFTA01421389 On May 2, 2018, at 1:09 PM, Nathaniel Morgan wrote: Classification: For internal use only Hey Stew, For Willett — you aren't a part of the team in DbForce (Jim Donofrio and KCP East are) so I can't submit an AIS request. Any guidance would be helpful. Gracias, Nate From: Stewart Oldfield Sent: Tuesday, May 01, 2018 6:11 PM To: Nathaniel Morgan Cc: Andrew King William-M Finn Subject: RE: SOF IV names [I] [C] Always happy to help you help me From: Nathaniel Morgan Sent: Tuesday, May 01, 2018 6:10 PM To: Stewart Oldfi Cc: Andrew King William-M Finn Subject: RE: SOF IV names [I] [C] Classification: Confidential Thanks for the time on the phone Stew. We've got all that we need and will get rolling on the AIS requests. EFTA01421390 From: Nathaniel Morgan Sent: Tuesday, May 01, 2018 5:52 PM To: Stewart Oldfield Cc: Andrew King William-M Finn Subject: RE: SOF IV names [I] [C] Classification: Confidential Hi Stew, I've attached the form for the clients in red. Since everyone appears to be in DB force, we don't need the addresses and all that jazz. Just need the standard Suitability/Asset Allocation info, as well as phone #'s and emails if you have them. Thanks, Nate Name AIS Info on File Aspen Grove Yes Bright Yes Dimension Yes Dorrance EFTA01421391  Yes Epstein/Southern Financial Yes Everwatch Yes Forrestal Yes Georgetown Yes Gerschel Yes Highlander Yes Yes Ironsides Yes Nicholas Yes Shamrock EFTA01421392  Yes Slome Yes Third Lake Yes Tisch Yes Warren Yes BBR No Ford No Pacific Life No Willett No Annandale No EFTA01421393 EFTA01421394