EFTA Document EFTA01379279
From: Stewart Oldfield Sent: 4/15/2019 11:28:07 AM To: Mayur Rathod I CC: Via -A Sawant I I Brodie Gitlin I I; Natalie Barak BCC: Subject: , Neptune LLC & Re: - GCIS # 489505, 487264 & 486426, KYC # 2075620 II) These accounts (and all accounts under the southern financial relationship) are being exited. No need to do any of this work. Thanks. Stewart Oldfield, CM, CAIA Deutsche Bank Trust Company Americas Deutsche Bank Wealth Management Securities offered through Deutsche Ban
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From: Stewart Oldfield Sent: 4/15/2019 11:28:07 AM To: Mayur Rathod I CC: Via -A Sawant I I Brodie Gitlin I I; Natalie Barak BCC: Subject: , Neptune LLC & Re: - GCIS # 489505, 487264 & 486426, KYC # 2075620 II) These accounts (and all accounts under the southern financial relationship) are being exited. No need to do any of this work. Thanks. Stewart Oldfield, CM, CAIA Deutsche Bank Trust Company Americas Deutsche Bank Wealth Management Securities offered through Deutsche Ban
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Subject: Re: Neptune LLC & Butterfly Trust - GCIS # 489505, 487264 & 486426, KYC # 2075620 [I] From: Stewart Oldfield Date: Tue, 16 Apr 2019 08:25:45 -0400 To: Vijay-A Sawan Cc: Mayur Rathod Bradley Gilli Natalie Barak Vinita Advani All closing. Thanks. Stewart Oldfield, CFA, CAIA Deutsche Bank Trust Company Americas Deutsche Bank Wealth Management 345 Park Avenue, New York, NY 10154 Tel. Mobil Email Securities offered through Deutsche Bank Securities Inc. On Apr 16, 2019, at 5:
EFTA Document EFTA01425674
Subject: Re: , Neptune LLC & Butterfly Trust - GCIS # , & , KYC # 2075620 [I] From: Stewart Oldfield d= > Date: Mon, 15 Apr 2019 11:28:07 -0400 To: Mayur Rathod Cc: Vijay-A Sawant Bradley Gillin Natalie Barak Vinita Advani Bcc: > These accounts (and all accounts under the southern financial relationship) are being exited. No need to do any of this work. Thanks. Stewart Oldfield, CFA, CAIA Deutsche Deutsche 345 Park Tel. Mobile Email Bank Trust Company Americas Bank Wealth
EFTA Document EFTA01380998
From: Stewart Oldfield Sent: Monday, April 15, 2019 8:58 PM To: Mayur Rathod < Cc: Vi'a -A Sawant >; Bradley Gillen ; Vinita Advani Neptune LLC & Butterfly Trust - GCIS Subsea: Re: >; Natalie Barak & KYC # These accounts (and all accounts under the southern financial relationship) are being exited. No need to do any of this work. Thanks. Stewart Oldfield, CFA, CAIA Deutsche Bank Trust Company Americas Deutsche Bank Wealth Management 345 Park Avenue, New York, NY 10154 Tel. Mobi
EFTA Document EFTA01438376
Subject: RE: , Neptune LLC & Butterfly Trust - GCIS # 489505, 487264 & 486426, KYC # 2075620 [I] From: Vijay-A Sawant <Wiliam> Date: Tue, 16 Apr 2019 05:56:06 -0400 To: Stewart Oldfield Mayur Rathod Cc: Bradley Gill Natalie Bara Vinita Advan Classification: For internal use only Hello Stewart, Thank you for the confirmation. Just for our records, could you confirm that the following accounts (due for remediation later this year) from the SOUTHERN FINANCIAL RELATIONSHIP are closing
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Stib'ect: RE: 2018 Periodic Review of High Risked Accounts (GCIS#489505), Butterfly Trust (GCIS#486426) and Neptune, LLC (GCIS#487264) under the SOUTHERN FINANCIAL RELATIONSHIP [I] From: Vijay-A Sawant ‹ > Date: Fri, 24 Aug 2018 05:08:31 -0400 To: Stewart Oldfield Richard Iarossi Cc: Mayur Rathod Bradley Gillin Hello Richard, We have received material change confirmation from Brad on below accounts as per attached email. So following are list of items pending on these accounts Butter
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KYC Print Page 1 of 43 DB PWM GLOBAL KYC/NCA: PART A KYC Case # : 01977698 One sheet must be established per relationship - list all accounts included in the relationship 1. Relationship Details Relationship Name: Relationship Manager: SOUTHERN FINANCIAL RELATIONSHIP: 00000483290 Stewart Oldfield New PWM Relationship Relationship to PWM: If existing, please indicate since when the relationship exists, provide reason for new profile and attach old profile: *** 2018 Periodic Review
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