EFTA01431095

Subject: RE: Transfers [C] From: Liam Osullivan Date: Thu, 28 Feb 2019 08:25:13 -0500 To: Richard Kahn Cc: Stewart Oldfielca> Classification: Confidential Good morning, The TD transfer is going through this morning. As of now there is 224,000 shares of Apple and approx. $42k in cash left in the account. The Interactive request was rejected. Reason given is Social Security/Tax ID mismatch. Liam fhttps://brandportal.intranet.db.com/img/modules/logogrey.gifl Liam O'Sullivan Investments & Trading I Institutional Wealth Partners DB Securities Inc Deutsche Bank Wealth Management 345 Park Avenue, New York, NY 10154-0004, USA Tel. Mobile Email Visit us: http://deutschewealth.com. fhttps://brandportal.intranet.db.com/img/modules/positive_impact_ENG.gifl IWP products and services are intended for and available only to sophisticated, experienced investors who qualify as "institutional accounts" EFTA01431095 under FINRA Rule 4512(c)(3), and are capable of evaluating the investment benefits and risks of, and exercising independent judgment in evaluating and determining whether to enter into, sophisticated trading strategies and financial transactions. Transactions are subject to relevant internal approvals of Deutsche Bank or its affiliates prior to execution, and no transaction, idea or opportunity discussed herein may be executed unless you are a client of Deutsche Bank and of the Institutional Wealth Partners group (IWP). Material herein regarding IWP products, investment ideas and solutions is for discussion purposes only. While brokerage services offered through the IWP Americas desk may include investment recommendations and brokerage advice, IWP does not provide investment management or investment advisory services, and private market opportunities and other products and services available through IWP are offered only on a non-advisory basis. This communication is confidential and personal to you, solely for your information and for discussion purposes only, and does not create any legally binding obligation. Reproduction or distribution of any material herein without our written consent is strictly forbidden. From: Richard Kahn [mailto: Sent: Wednesday, February 27, 2019 6:39 PM To: Liam Osullivan Subject: Re: Transfers [C] great news anything from Interactive Brokers? thank you for the update.. Richard Kahn EFTA01431096 HBRK Associates Inc. 575 Lexington Avenue, 4th Floor New York, NY 10022 tel fax cel On Feb 27, 2019, at 6:26 PM, Liam Osullivan wrote: Classification: Confidential Rich, I can see that the TD transfer request has been received and is being reviewed. EFTA01431097 Thank you, Liam <image001.gif> Liam O'Sullivan Investments & Trading I Institutional Wealth Partners DB Securities Inc Deutsche Bank Wealth Management 345 Park Avenue, New York, NY 10154-0004, USA Tel. Mobil Email Visit us: http://deutschewealth.com. <image002.gif> IWP products and services are intended for and available only to sophisticated, experienced investors who qualify as "institutional accounts" under FINRA Rule 4512(c)(3), and are capable of evaluating the investment benefits and risks of, and exercising independent judgment in evaluating and determining whether to enter into, sophisticated trading strategies and financial transactions. Transactions are subject to relevant internal approvals of Deutsche Bank or its affiliates prior to execution, and no transaction, idea or opportunity discussed herein may be executed unless you are a client of Deutsche Bank and of the Institutional Wealth Partners group (IWP). Material herein regarding IWP products, investment ideas and solutions is for discussion purposes only. While brokerage services offered through the IWP Americas desk may include investment recommendations and brokerage advice, IWP does not provide investment management or investment advisory services, and private market opportunities and other products and services available through IWP are offered only on a non-advisory basis. EFTA01431098 This communication is confidential and personal to you, solely for your information and for discussion purposes only, and does not create any legally binding obligation. Reproduction or distribution of any material herein without our written consent is strictly forbidden. This communication may contain confidential and/or privileged information. If you are not the intended recipient (or have received this communication in error) please notify the sender immediately and destroy this communication. Any unauthorized copying, disclosure or distribution of the material in this communication is strictly forbidden. Please refer to https://db.com/disclosures for additional EU corporate and regulatory disclosures. Deutsche Bank does not render legal or tax advice, and the information contained in this communication should not be regarded as such. This communication may contain confidential and/or privileged information. If you are not the intended recipient (or have received this communication in error) please notify the sender immediately and destroy this communication. Any unauthorized copying, disclosure or distribution of the material in this communication is strictly forbidden. Please refer to https://db.com/disclosures for additional EU corporate and regulatory disclosures. Deutsche Bank does not render legal or tax advice, and the information contained in this communication should not be regarded as such. EFTA01431099