EFTA01408525.pdf

Subject: RE: Southern Financial LLC [I] [C] From: Davide-A Sferrazza Date: Tue, 06 Feb 2018 22:42:12 -0500 To: Nina Tona ‹ > Classification: Confidential Didn't forget, but can I call you on this tm morning so we can try to knock this off the never-ending list of to-dos? From: Nina Tona Sent: Tuesday, February 06, 2018 8:15 AM To: Davide-A Sferrazza ‹ > Subject: RE: Southern Financial LLC [I] [C] Classification: Confidential Don't forgot please J Thank you Nina Tona From: Davide-A Sferrazza Sent: Monday, February 05, 2018 3:43 PM To: Nina Tona ; Liam Osullivan <ffi Cc: Alastair Mackinlay Subject: RE: Southern Financial LLC [I] [C] Classification: Confidential Sorry, no, I did not get back to you. EFTA01408525 I will take a look at this again today! From: Nina Tona Sent: Monday, February 05, 2018 3:41 PM To: Davide-A Sferrazza <a; Liam Osullivan Cc: Alastair Mackinlay <M > Subject: RE: Southern Financial LLC [I] [C] Classification: Confidential Hi Davide, Was this ever provided? Thank you Nina Tona From: Nina Tona Sent: Thursday, January 18, 2018 12:14 PM To: Davide-A Sferrazza ; Liam Osullivan Xavier Avila ; Martin Zeman Cc: Alastair Mackinlay < >; Joshua Shoshan Subject: RE: Southern Financial LLC [I] [C] Classification: Confidential EFTA01408526 Hi Davide, Did you have a chance to look into the below? Thank you Nina Tona From: Davide-A Sferrazza Sent: Tuesday, January 16, 2018 6:35 PM To: Nina Tona ; Liam Osullivan Xavier Avila ›; Martin Zeman Cc: Alastair Mackinlay Joshua Shoshan Subject: RE: Southern Financial LLC [I] [C] Classification: Confidential Removed Mat from chain — I have some of this information from the KYC/account docs we have on file, but I will work with Stew Oldfield's team tomorrow to get the rest of this info and send all together. Thanks, Davide From: Nina Tona Sent: Tuesday, January 16, 2018 4:07 PM To: Liam Osullivan < ; Xavier Avila ; Martin Zeman EFTA01408527 Cc: Alastair Mackinlay ; Mathew Negus ; Joshua Shoshan ; Davide-A Sferrazza Subject: RE: Southern Financial LLC [I] [C] Classification: Confidential Hi Martin and Liam, Please also advise on the below. Organization Chart UBOs (Owners) that own greater than 10% The source of funds for the UBOs (owners) that are greater than 10% List of Legal representatives Annual report Thank you Nina Tona From: Liam Osullivan Sent: Friday, December 15, 2017 5:27 PM To: Xavier Avila ; Nina Tona <= >; Martin Zeman Cc: Alastair Mackinlay ; Mathew Negus ; Davide-A Sferrazza Subject: RE: Southern Financial LLC [I] [C] EFTA01408528 Classification: Confidential DBSI Account: Financial LLC DBSI Account #: Pershing LLC DTC: 443 Euroclear: 98730 Incoming USD instructions: Bank: Bank of New York ABA: Beneficiary: Pershing LLC Beneficiary #: FFC (ref): DBSI Account: Southern Financial LLC DBSI Account #: IIIIIIIIII I have attached both the Non USD currency instructions and the Foreign Trade Settlement Instructions. From: Xavier Avila Sent: Friday, December 15, 2017 5:09 PM To: Nina Tona ; Martin Zeman < =.; Liam Osullivan Cc: Alastair Mackinlay ; Mathew Negus ; Joshua Shoshan ; Davide-A EFTA01408529 Sferrazza ‹ > Subject: RE: Southern Financial LLC [I] Liam, can you provide the WM Pershing account details for Southern Financial LLC? Liam the below is an example of SSIs we got with another client. fcid:[email protected] Euroclear 93593 and CEDEL 13463 fcid:[email protected] From: Nina Tona Sent: Friday, December 15 2017 2:47 PM To: Martin Zeman ; Xavier Avila ‹ > Cc: Alastair Mackinlay ; Mathew Negus ; Joshua Shoshan ; Davide-A Sferrazza < Subject: RE: Southern Financial LLC [I] Xavi, In the addition to the SSI and call back person I also need the Tax Document. Thank you EFTA01408530 Nina Tona From: Nina Tona Sent: Thursday, December 14, 2017 5:16 PM To: Martin Zeman ; Xavier Avila <E > Cc: Alastair Mackinlay ; Mathew Negus ; Joshua Shoshan ; Davide-A Sferrazza Subject: RE: Southern Financial LLC [I] Martin, Please advise on the below. Standard settlement instructions- (Please note there are 8 products, will the SSI be the same or different?) SSI Call back person {cid:[email protected]} Thank you Nina Tona From: Martin Zeman Sent: Tuesday, December 05, 2017 1:47 PM To: Nina Tona ; Xavier Avila < Cc: Alastair Mackinlay ; Mathew Negus <II >; Joshua Shoshan >; Davide-A EFTA01408531 Sferrazza Subject: RE: Southern Financial LLC [I] Classification: For internal use only Nina, See attached — that should complete the whole process. Martin From: Nina Tona Sent: Wednesday, November 29, 2017 9:18 AM To: Xavier Avila ; Martin Zeman a> Cc: Alastair Mackinlay ; Mathew Negus Davide-A Sferrazza Subject: RE: Southern Financial LLC [I] Classification: For internal use only Hi Martin, Please advise if you have # 2 and 4. Thank you Nina Tona EFTA01408532 From: Xavier Avila Sent: Monday, November 27, 2017 10:29 AM To: Nina Tona ; Martin Zeman Cc: Alastair Mackinlay Mathew Negus ; Joshua Shoshan ; Davide-A Sferrazza Subject: RE: Southern Financial LLC [I] PENDING W/BUSINESS 1. Provide RR (Sales Rep) AND RP (Desk Head) I will be the ACO and the RP of the Account. Martin Zeman will be the RR. 2. Provide Certification of Incorporation Martin to follow up 3. ACO Attestation — Xavier Avila. I will be the ACO of the Account 4. BSF Form — Please work with the client to have the attached filled out. Martin/Davide to follow up 5. MD sales approval — Xavi please approve the below. Approved Hi Xavi, Kindly provide MD sales approval for the NCA of Southern Financial LLC for the below products/entities. Approved fcid:[email protected] EFTA01408533 From: Nina Tona Sent: Monday, November 27, 2017 8:47 AM To: Martin Zeman ; Xavier Avila < Cc: Alastair Mackinlay ; Mathew Negus •c > Subject: RE: Southern Financial LLC [I] Good Morning Xavi and Martin, Kindly advise on the below. PENDING W/BUSINESS 1. Provide RR (Sales Rep) AND RP (Desk Head) 2. Provide Certification of Incorporation 3. ACO Attestation — Xavier Avila 4. BSF Form — Please work with the client to have the attached filled out. 5. MD sales approval — Xavi please approve the below Hi Xavi, Kindly provide MD sales approval for the NCA of Southern Financial LLC for the below products/entities. fcid:[email protected] EFTA01408534 Thank you Nina Tona From: Nina Tona Sent: Thursday, November 16, 2017 9:35 AM To: Martin Zeman ; Xavier Avila ‹ > Cc: Alastair Mackinlay ; Mathew Negus Subject: RE: Southern Financial LLC [I] Classification: For internal use only Hi Martin and Xavi, Please advise on the below, we have 6 weeks to complete this process. PENDING W/BUSINESS 1. Provide RR (Sales Rep) AND RP (Desk Head) 2. Provide Certification of Incorporation 3. ACO Attestation — Xavier Avila 4. BSF Form — Please work with the client to have the attached filled out. 5. MD sales approval — Xavi please approve the below EFTA01408535 Hi Xavi, Kindly provide MD sales approval for the NCA of Southern Financial LLC for the below products/entities. fcid:[email protected] Thank you Nina Tona From: Nina Tona Sent: Tuesday, November 14, 2017 10:51 AM To: Martin Zeman ; Xavier Avila a> Cc: Alastair Mackinlay ; Mathew Negus Subject: Southern Financial LLC [I] Classification: For internal use only Hi Martin, Hope all is well. Southern Financial LLC is one of the accounts GM wanted to off-board thus we are working on retaining the client. In order to do so, kindly provide the below info. EFTA01408536 PENDING W/BUSINESS 1. Provide RR (Sales Rep) AND RP (Desk Head) 2. Provide Certification of Incorporation 3. ACO Attestation — Xavier Avila 4. BSF Form — Please work with the client to have the attached filled out. 5. MD sales approval — Xavi please approve the below Hi Xavi, Kindly provide MD sales approval for the NCA of Southern Financial LLC for the below products/entities. fcid:[email protected] Thanks Kind regards, fhttps://brandportal.intranet.db.com/img/modules/- DAWM_logo_metallic 46x46.gifl Nina Tona Associate Business Control Manager, Key Client Partners — Americas Deutsche Bank Wealth Management EFTA01408537 5022 Gate Parkway Jacksonville Florida 32256 mai KCP products and services are intended and available only for persons who are sophisticated institutional investors within the meaning of the FINRA Rule 4512(C)(3), and who are capable of evaluating the strategies, characteristics and investment risks of, and exercising independent judgment in evaluating, the ideas and products discussed herein. Trades and transactions are subject to relevant internal approvals of DBSI or its affiliates prior to execution, and the execution of any transaction or idea discussed herein is conditional on your becoming a client of Deutsche Bank. Key Client Partners (KCP) products, investment ideas and solutions and related matters discussed herein are provided for discussion purposes only, and strictly on a non-advisory basis. The KCP Americas desk does not provide investment advice. The information set forth herein is confidential and personal to you and is being presented for your information and for discussion purposes only. Any reproduction and/or redistribution thereof (in whole or in part) or disclosure of its content without our written consent is strictly forbidden. This communication does not create any legally binding obligation on the part of DBSI or any of its affiliates. EFTA01408538