Subject: RE: SOF IV names [C] [I]
From: Nathaniel Morgan ‹ >
Date: Fri, 04 May 2018 15:02:03 -0400
To: Stewart Oldfield
Cc: Andrew King
William-M Finn
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
From: Stewart Oldfield
Sent: Wednesday, May 02, 2018 1:27 PM
To: Nathaniel Morgan
Cc: Andrew King ; William-M Finn a
Subject: Re: SOF IV names [C] [I]
Ah. That's complicated.
Stewart Oldfield, CFA, CAIA
Director
EFTA01423273
Deutsche Bank Trust Company Americas
Deutsche Bank Wealth Management
345 Park Avenue, New York, NY 10154
Tel.
Mobile
Email
Securities offered through Deutsche Bank Securities Inc.
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
EFTA01423274
Sent: Tuesday, May 01, 2018 6:11 PM
To: Nathaniel Mor an
Cc: Andrew King William-M Finn a>
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 Oldfield
Cc: Andrew King ; William-M Finn a>
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.
From: Nathaniel Morgan
Sent: Tuesday, May 01, 2018 5:52 PM
To: Stewart Oldfield
Cc: Andrew King ; William-M Finn a
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.
EFTA01423275
Thanks,
Nate
Name
AIS Info on File
Aspen Grove
Yes
Bright
Yes
Dimension
Yes
Dorrance
Yes
Epstein/Southern Financial
Yes
Everwatch
Yes
Forrestal
Yes
Georgetown
Yes
EFTA01423276
Gerschel
Yes
Highlander
Yes
Yes
Ironsides
Yes
Nicholas
Yes
Shamrock
Yes
Slome
Yes
Third Lake
Yes
Tisch
Yes
Warren
Yes
EFTA01423277
BBR
No
Ford
No
Pacific Life
No
Willett
No
Annandale
No
EFTA01423278