Subject: RE: SFL and Gratitude America Ltd [C] [I]
From: Ariane Dwyer ‹ >
Date: Wed, 07 Oct 2015 13:11:27 -0400
To: Paul Morris
Jj Litchford
Cc: Vahe Stepanian
Classification: For internal use only
Hi Paul,
They'll need to complete the boilerplate docs such as account agreement and
tax form. They will not need to complete a new KCP Non Advisory Letter and
Finra2111 as these serve for the relationship.
Best,
Ari
From: Paul Morris
Sent: Wednesday, October 07, 2015 1:04 PM
To: Vahe Stepanian; Jj Litchford
Cc: Ariane Dwyer
Subject: RE: SFL and Gratitude America Ltd [C] [I]
This is just simple brokerage yes? Not all the extra KCP letters etc correct?
Original Message
From: Vahe Stepanian
Sent: Wednesday, October 07, 2015 12:59 PM Eastern Standard Time
To: Paul Morris; Jj Litchford
Cc: Ariane Dwyer
Subject: RE: SFL and Gratitude America Ltd [C] [I]
Classification: For internal use only
EFTA01474925
Rich specifically asked to open another brokerage account, and he understood
that there is paperwork involved in doing so. Is there an alternative you
have in mind?
Thank you,
Vahe
From: Paul Morris
Sent: Wednesday, October 07, 2015 12:55 PM
To: Vahe Stepanian; Jj Litchford
Cc: Ariane Dwyer
Subject: RE: SFL and Gratitude America Ltd [C]
Vahe do we really need a full KCP account for this?
Original Message
From: Vahe Stepanian
Sent: Wednesday, October 07, 2015 12:51 PM Eastern Standard Time
To: Jj Litchford
Cc: Ariane Dwyer; Paul Morris
Subject: FW: SFL and Gratitude America Ltd [C]
Classification: Confidential
JJ - Rich Kahn just called us back. He would like to proceed with opening a
Pershing account on the KCP desk for Gratitude to hold the GILD stock.
Can you please send over all of the relevant KYC docs you have on your end
as it relates to this particular entity?
We would like to take a look before we send Rich a list of documentation
required to open the new acct.
Thank you,
Vahe
Original Message
From: Vahe Stepanian
Sent: Tuesday, October 06, 2015 9:07 AM
To: 'Richard Kahn'; Jj Litchford
EFTA01474926
Cc: Darren Indyke; Jeanne Brennan; Ariane Dwyer
Subject: RE: SFL and Gratitude America Ltd [C]
Classification: Confidential
Rich - adding Ari. We'll take a look this morning and be back to you.
Thanks,
Vahe
Original Message
From: Richard Kahn [mailto:
Sent: Tuesday, October 06, 2015 9:01 AM
To: Jj Litchford; Vahe Stepanian
Cc: Darren Indyke; Jeanne Brennan
Subject: re: SFL and Gratitude America Ltd
Jeffrey would like to transfer 100,000 of Gilead Stock (approximately
1050-1100 shares) to Gratitude
I believe we only have checking and savings account for Gratitude at DB
Please advise what we need to do to make this happen ASAP Thank you
Rich
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